Investment Manager

0001104659-17-051231.txt : 20170811 0001104659-17-051231.hdr.sgml : 20170811 20170811091934 ACCESSION NUMBER: 0001104659-17-051231 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170630 FILED AS OF DATE: 20170811 DATE AS OF CHANGE: 20170811 EFFECTIVENESS DATE: 20170811 FILER: COMPANY DATA: COMPANY CONFORMED NAME: KNOTT DAVID M CENTRAL INDEX KEY: 0000808722 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-03121 FILM NUMBER: 171023199 MAIL ADDRESS: STREET 1: 485 UNDERHILL BLVD STREET 2: STE 205 CITY: SYOSSET STATE: NY ZIP: 11791-3419 13F-HR 1 primary_doc.xml 13F-HR LIVE 0000808722 XXXXXXXX 06-30-2017 06-30-2017 false Knott David M

485 Underhill Blvd Ste 205 Syosset NY 11791-3419

13F HOLDINGS REPORT 028-03121 Y Mr. Knott is designated as 1 in Column 7 of the Information Table. Knott David M Investment Manager 516-364-0303 /s/David M. Knott Syosset NY 08-11-2017 1 123 239578 false 2 0001203370 028-10281 DORSET MANAGEMENT CORP INFORMATION TABLE 2 a17-20048_1informationtable.xml INFORMATION TABLE AbbVie Inc. Common 00287Y109 5090 70200 SH DFND 2 70200 0 0 ACADIA Pharmaceuticals Inc. Common 004225108 863 30947 SH DFND 2 30947 0 0 Alerian MLP Common 00162Q866 7 600 SH DFND 1 0 600 0 Allergan plc Common G0177J108 2296 9446 SH DFND 2 9446 0 0 AllianceBernstein Holdings LP Unit Ltd Common 01881G106 1159 49000 SH DFND 1 0 49000 0 AllianceBernstein Holdings LP Unit Ltd Common 01881G106 35 1500 SH DFND 1 1500 0 0 Ambac Financial Group, Inc. Common 023139884 2957 170426 SH DFND 2 170426 0 0 Anadarko Petroleum Corporation Common 032511107 2938 64800 SH DFND 2 64800 0 0 Anadarko Petroleum Corporation Common 032511107 322 7100 SH DFND 1 0 7100 0 Anadarko Petroleum Corporation Common 032511107 402 8860 SH DFND 1 8860 0 0 Anchor Bancorp Common 032838104 125 5000 SH DFND 1 0 5000 0 Anchor Bancorp Common 032838104 182 7250 SH DFND 1 7250 0 0 Apollo Global Management LLC Common 037612306 794 30000 SH DFND 2 30000 0 0 Apple Inc. Common 037833100 3456 24000 SH DFND 2 24000 0 0 Apple Inc. Common 037833100 76 525 SH DFND 1 0 525 0 Apple Inc. Common 037833100 76 525 SH DFND 1 525 0 0 Array BioPharm Inc. Common 04269X105 238 28400 SH DFND 2 28400 0 0 AT&T Inc. Common 00206R102 755 20000 SH DFND 1 0 20000 0 AT&T Inc. Common 00206R102 77 2050 SH DFND 1 2050 0 0 Avadel Pharmaceuticals plc Common 05337M104 1395 126463 SH DFND 2 126463 0 0 AxoGen, Inc. Common 05463X106 317 18898 SH DFND 2 18898 0 0 Bancorp 34, Inc. Common 05970V106 140 10000 SH DFND 2 10000 0 0 Bank Nova Scotia Halifax Common 064149107 24 400 SH DFND 1 0 400 0 Bellicum Pharmaceuticals, Inc. Common 079481107 233 19984 SH DFND 2 19984 0 0 Bristol-Myers Squibb Company Common 110122108 102 1822 SH DFND 2 1822 0 0 Canadian Natural Resources Inc. Common 136385101 397 13750 SH DFND 1 0 13750 0 Canadian Natural Resources Inc. Common 136385101 536 18600 SH DFND 1 18600 0 0 Capitol Federal Financial, Inc. Common 14057J101 9671 680600 SH DFND 2 680600 0 0 Capitol Federal Financial, Inc. Common 14057J101 57 4000 SH DFND 1 0 4000 0 Capitol Federal Financial, Inc. Common 14057J101 82 5800 SH DFND 1 5800 0 0 Cardiome Pharma Corp. Common 14159U301 608 134578 SH DFND 2 134578 0 0 Catalyst Pharmaceuticals, Inc. Common 14888U101 982 355750 SH DFND 2 355750 0 0 Check Cap Ltd. Common 121721007 314 162871 SH DFND 2 162871 0 0 Check Cap Ltd. @7.50 Exp. 2/28/20 Common M2361E120 495 66059 SH DFND 2 66059 0 0 Chemours Co. Common 163851108 24 640 SH DFND 1 0 640 0 Chemours Co. Common 163851108 27 720 SH DFND 1 720 0 0 China Ceramics Co. Ltd. Common G2113X100 65 47195 SH DFND 2 47195 0 0 Coca Cola Inc. Common 191216100 260 5800 SH DFND 1 5800 0 0 Colony Northstar Inc. Common 19625W104 21 1466 SH DFND 1 0 1466 0 Coherus Biosciences, Inc. Common 19249H103 320 22320 SH DFND 2 22320 0 0 Community Healthcare Trust Incorporated Common 20369C106 1535 60000 SH DFND 2 60000 0 0 Condor Hospitality Trust, Inc. Common 20676Y403 535 50000 SH DFND 2 50000 0 0 CoreCivic, Inc. Common 21871N101 2069 75000 SH DFND 2 75000 0 0 Cousins Properties Inc. Common 222795106 118 13428 SH DFND 1 0 13428 0 Delta Air Lines, Inc. Common 247361702 3090 57500 SH DFND 2 57500 0 0 Dermira, Inc. Common 24983L104 537 18431 SH DFND 2 18431 0 0 Dow Chemical Company Common 260543103 1186 18800 SH DFND 1 0 18800 0 Du Pont E I De Nemours & Co. Common 263534109 904 11200 SH DFND 1 0 11200 0 Du Pont E I De Nemours & Co. Common 263534109 282 3500 SH DFND 1 3500 0 0 Eagle Material Inc. Common 26969P108 21 228 SH DFND 1 0 228 0 Eli Lilly & Co. Common 532457108 25 300 SH DFND 1 0 300 0 Entegra Financial Corp Common 29363J108 68 3000 SH DFND 1 0 3000 0 Entegra Financial Corp Common 29363J108 165 7250 SH DFND 1 7250 0 0 Entegra Financial Corp Common 29363J108 683 30000 SH DFND 2 30000 0 0 Edwards Lifesciences Corporation Common 28176E108 578 4891 SH DFND 1 4891 0 0 FNB Corporation Common 302520101 126 8905 SH DFND 1 0 8905 0 FutureFuel Corporation Common 36116M106 827 54804 SH DFND 2 54804 0 0 General Electric Common 369604103 681 25200 SH DFND 1 0 25200 0 General Electric Common 369604103 94 3480 SH DFND 1 3480 0 0 Gilead Sciences, Inc. Common 375558103 738 10420 SH DFND 2 10420 0 0 GlaxoSmithKline plc Common 37733W105 975 22600 SH DFND 2 22600 0 0 Global Blood Therapeutics, Inc. Common 37890U108 348 12724 SH DFND 2 12724 0 0 Global Medical REIT, Inc Common 37954A204 688 77000 SH DFND 2 77000 0 0 Hertz Global Holdings, Inc. Common 42806J106 173 15000 SH DFND 2 15000 0 0 Hospitality Properties Trust Common 44106M102 729 25000 SH DFND 1 0 25000 0 International Business Machines Corp Common 459200101 659 4284 SH DFND 1 0 4284 0 Immunomedics, Inc Common 452907108 581 65783 SH DFND 2 65783 0 0 Independence Realty Trust, Inc. Common 45378A106 494 50000 SH DFND 2 50000 0 0 Iridium Communications, Inc. Common 46269C102 3735 338000 SH DFND 2 338000 0 0 JBS S.A. Common 466110103 782 195500 SH DFND 2 195500 0 0 Johnson & Johnson Common 478160104 291 2200 SH DFND 1 0 2200 0 Johnson & Johnson Common 478160104 672 5080 SH DFND 1 5080 0 0 JP Morgan Chase & Co. Common 46625H100 804 8800 SH DFND 1 0 8800 0 JP Morgan Chase & Co. Common 46625H100 1302 14250 SH DFND 1 14250 0 0 Ligand Pharmaceuticals Incorporated Common 53220K504 120946 996257 SH DFND 2 996257 0 0 Ligand Pharmaceuticals Incorporated Common 53220K504 224 1843 SH DFND 1 0 1843 0 Macquarie Infrastructure Common 55608B105 706 9000 SH DFND 1 0 9000 0 Macquarie Infrastructure Common 55608B105 259 3300 SH DFND 1 3300 0 0 Medtronics Inc. Common G5960L103 93 1050 SH DFND 1 0 1050 0 Merck & Co. Inc. Common 58933Y105 32 500 SH DFND 1 0 500 0 Merck & Co. Inc. Common 58933Y105 51 800 SH DFND 1 800 0 0 Microsoft Corporation Common 594918104 4642 67350 SH DFND 2 67350 0 0 Microsoft Corporation Common 594918104 69 1000 SH DFND 1 0 1000 0 Microsoft Corporation Common 594918104 28 400 SH DFND 1 400 0 0 Mondelez Int'l Inc. Common 609207105 130 3000 SH DFND 1 0 3000 0 Mondelez Int'l Inc. Common 609207105 125 2900 SH DFND 1 2900 0 0 Novelion Therapeutics, Inc. Common 67001K202 1008 109184 SH DFND 2 109184 0 0 Och-Ziff Capital Management Group Common 67551U105 5 2000 SH DFND 1 2000 0 0 Oritani Financial Corp Common 68633D103 34 2000 SH DFND 1 0 2000 0 Oritani Financial Corp Common 68633D103 99 5800 SH DFND 1 5800 0 0 OvaScience, Inc. Common 69014Q101 25 16000 SH DFND 2 16000 0 0 PCSB Financial Corporation Common 69324R104 341 20000 SH DFND 2 20000 0 0 Parkway Inc. Common 70156Q107 38 1678 SH DFND 1 0 1678 0 Peoples United Financial Common 712704105 26 1500 SH DFND 1 0 1500 0 Pfizer Inc. Common 717081103 29851 888676 SH DFND 2 888676 0 0 Pfizer Inc. Common 717081103 2956 88000 SH DFND 1 0 88000 0 Pfizer Inc. Common 717081103 1982 59000 SH DFND 1 59000 0 0 Physicians Realty Trust Common 71943U104 1124 55800 SH DFND 2 55800 0 0 RMR Group Inc. Common 74967R106 1 16 SH DFND 1 0 16 0 Rand Logistics, Inc. Common 752182105 259 664435 SH DFND 2 664435 0 0 Ryman Hospitality Ppty Inc. Common 78377T107 768 12000 SH DFND 1 0 12000 0 Ryman Hospitality Ppty Inc. Common 78377T107 26 400 SH DFND 1 400 0 0 Reed's Inc. Common 758338107 288 117592 SH DFND 2 117592 0 0 Seaspan Corporation Common B0GNP3045 1000 140000 SH DFND 2 140000 0 0 Standard AVB Financial Corp. Common 85303B100 565 20000 SH DFND 2 20000 0 0 Starwood Ppty Inc. Common 85571B105 9 400 SH DFND 1 400 0 0 Stemline Therapeutics, Inc. Common 85858C107 384 41692 SH DFND 2 41692 0 0 Sunshine Bancorp, Inc. Common 86777J108 426 20000 SH DFND 2 20000 0 0 Sunshine Bancorp, Inc. Common 86777J108 43 2000 SH DFND 1 0 2000 0 Sunshine Bancorp, Inc. Common 86777J108 124 5800 SH DFND 1 5800 0 0 Synergy Pharmaceuticals, Inc. Common 871639308 705 158400 SH DFND 2 158400 0 0 The Howard Hughes Corporation Common 44267D107 1843 15000 SH DFND 2 15000 0 0 The Kraft Heinz Company Common 500754106 599 7000 SH DFND 2 7000 0 0 The Kraft Heinz Company Common 500754106 160 1865 SH DFND 1 0 1865 0 The Kraft Heinz Company Common 500754106 260 3035 SH DFND 1 3035 0 0 TheStreet Inc. Common 88368Q103 83 100600 SH DFND 2 100600 0 0 Total SA Common 89151E109 144 2900 SH DFND 1 0 2900 0 Total SA Common 89151E109 117 2360 SH DFND 1 2360 0 0 Verizon Communications Inc. Common 92343V104 759 16991 SH DFND 1 0 16991 0 Verizon Communications Inc. Common 92343V104 59 1320 SH DFND 1 1320 0 0 Viveve Medical, Inc. Common 92852W204 391 54465 SH DFND 2 54465 0 0 Weyerhaeuser Company Common 962166104 670 20000 SH DFND 2 20000 0 0 Wheeler Real Estate Investment Trust, Inc. Common 963025606 692 30000 SH DFND 2 30000 0 0