Investment Manager

0001104659-19-028772.txt : 20190513 0001104659-19-028772.hdr.sgml : 20190513 20190513075023 ACCESSION NUMBER: 0001104659-19-028772 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190331 FILED AS OF DATE: 20190513 DATE AS OF CHANGE: 20190513 EFFECTIVENESS DATE: 20190513 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: 19816902 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 03-31-2019 03-31-2019 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. David M. Knott, Jr., as Co-Manager of Dorset Management Corp., is included with Dorset Management Corp. Knott David M Investment Manager 516-364-0303 /s/ David M. Knott Syosset NY 05-13-2019 1 143 250878 false 2 0001203370 028-10281 DORSET MANAGEMENT CORP INFORMATION TABLE 2 a19-9846_1informationtable.xml INFORMATION TABLE AbbVie Inc. Common 00287Y109 403 5000 SH DFND 1 0 5000 0 Acceleron Pharma, Inc. Common 00434H108 810 17400 SH DFND 2 17400 0 0 Affimed N.V. Common N01045108 67 16037 SH DFND 2 16037 0 0 Aimmune Therapeutics, Inc. Common 00900T107 1231 55056 SH DFND 2 55056 0 0 Alimera Sciences, Inc. Common 016259103 427 402901 SH DFND 2 402901 0 0 AllianceBernstein Holdings LP Unit Ltd Common 01881G106 43 1500 SH DFND 1 1500 0 0 AllianceBernstein Holdings LP Unit Ltd Common 01881G106 1416 49000 SH DFND 1 0 49000 0 Alerian MLP Common 00162Q866 6 600 SH DFND 1 0 600 0 Alnylam Pharmaceuticals, Inc. Common 02043Q107 47 500 SH DFND 2 500 0 0 Alphabet Inc-Cl C Common 02079K107 8213 7000 SH DFND 2 7000 0 0 American Outdoor Brands Corporation Common 02874P103 3643 390000 SH DFND 2 390000 0 0 Anadarko Petroleum Corporation Common 032511107 403 8860 SH DFND 1 8860 0 0 Anadarko Petroleum Corporation Common 032511107 323 7100 SH DFND 1 0 7100 0 Apollo Global Management, LLC Common 037612306 9117 322708 SH DFND 2 322708 0 0 Apple Inc. Common 037833100 4559 24000 SH DFND 2 24000 0 0 Apple Inc. Common 037833100 100 525 SH DFND 1 525 0 0 Apple Inc. Common 037833100 100 525 SH DFND 1 0 525 0 Arena Pharmaceuticals, Inc. Common 040047607 1644 36676 SH DFND 2 36676 0 0 AT&T Inc. Common 00206R102 64 2050 SH DFND 1 2050 0 0 AT&T Inc. Common 00206R102 627 20000 SH DFND 1 0 20000 0 Aurinia Pharmaceuticals Inc. Common 05156V102 343 52700 SH DFND 2 52700 0 0 Bank Nova Scotia Halifax Common 064149107 21 400 SH DFND 1 0 400 0 Bellicum Pharmaceuticals, Inc. Common 079481107 425 126127 SH DFND 2 126127 0 0 BioDelivery Sciences International, Inc. Common 09060J106 2123 400500 SH DFND 2 400500 0 0 Biogen Inc. Common 09062X103 590 2498 SH DFND 2 2498 0 0 Bristol-Myers Squibb Company Common 110122108 259 5428 SH DFND 2 5428 0 0 Calumet Specialty Products Partners, LP Common 131476103 5461 1534031 SH DFND 2 1534031 0 0 Calumet Specialty Products Partners, LP Common 131476103 71 20000 SH DFND 1 20000 0 0 Canadian Natural Resources Inc. Common 136385101 512 18600 SH DFND 1 18600 0 0 Canadian Natural Resources Inc. Common 136385101 378 13750 SH DFND 1 0 13750 0 Capitol Federal Financial, Inc. Common 14057J101 8828 661250 SH DFND 2 661250 0 0 Capitol Federal Financial, Inc. Common 14057J101 77 5800 SH DFND 1 5800 0 0 Capitol Federal Financial, Inc. Common 14057J101 53 4000 SH DFND 1 0 4000 0 Cara Therapeutics Inc Common 140755109 140 7114 SH DFND 2 7114 0 0 Catalyst Pharmaceuticals, Inc. Common 14888U101 2605 510847 SH DFND 2 510847 0 0 Celgene Corporation Common 151020104 469 4967 SH DFND 2 4967 0 0 Centerstate Banks Corp Common 15201P109 123 5162 SH DFND 1 5162 0 0 Centerstate Banks Corp Common 15201P109 42 1780 SH DFND 1 0 1780 0 Check Cap Ltd. Common M2361E203 6 2224 SH DFND 2 2224 0 0 Check Cap Ltd. @7.50 Exp. 2/28/20 Common M2361E120 482 64309 SH DFND 2 64309 0 0 Chemours Co. Common 163851108 27 720 SH DFND 1 720 0 0 Chemours Co. Common 163851108 24 640 SH DFND 1 0 640 0 Coherus Biosciences, Inc. Common 19249H103 552 40469 SH DFND 2 40469 0 0 Colony Northstar Inc. Common 19625W104 8 1466 SH DFND 1 0 1466 0 Coca Cola Common 191216100 272 5800 SH DFND 1 5800 0 0 Coca Cola Common 191216100 356 7600 SH DFND 1 0 7600 0 Columbia Financial, Inc. Common 197641103 366 23363 SH DFND 2 23363 0 0 Community Healthcare Trust Incorporated Common 20369C106 2153 60000 SH DFND 2 60000 0 0 Conagra Brands Common 205887102 277 10000 SH DFND 1 0 10000 0 Concert Pharmaceuticals, Inc. Common 206022105 1009 83607 SH DFND 2 83607 0 0 CoreCivic, Inc. Common 21871N101 1459 75000 SH DFND 2 75000 0 0 Cousins Properties Common 222795106 130 13428 SH DFND 1 0 13428 0 Dell Technologies Inc. Common 24703L202 377 6426 SH DFND 2 6426 0 0 Delta Air Lines, Inc. Common 247361702 2970 57500 SH DFND 2 57500 0 0 DowDupont Inc. Common 26078J100 239 4486 SH DFND 1 4486 0 0 DowDupont Inc. Common 26078J100 1768 33158 SH DFND 1 0 33158 0 Eagle Materials Common 26969P108 19 228 SH DFND 1 0 228 0 Eiger BioPharmaceuticals, Inc. Common 28249U105 1836 131333 SH DFND 2 131333 0 0 Eli Lilly Inc. Common 532457108 39 300 SH DFND 1 0 300 0 Entegra Financial Corporation Common 29363J108 163 7250 SH DFND 1 7250 0 0 Entegra Financial Corporation Common 29363J108 67 3000 SH DFND 1 0 3000 0 Essential Properties Realty Trust, Inc. Common 29670E107 781 40000 SH DFND 2 40000 0 0 FNB Corporation Common 302520101 94 8905 SH DFND 1 0 8905 0 Foamix Pharmaceuticals Ltd. Common M46135105 1299 346346 SH DFND 2 346346 0 0 Ford Motor Company Common 345370860 44 5000 SH DFND 1 0 5000 0 Fortress Trans & Infrastructure Inv. LLC Common 34960P101 12833 750000 SH DFND 2 750000 0 0 FS Bancorp Inc Common 30263Y104 107 2117 SH DFND 1 2117 0 0 FS Bancorp Inc Common 30263Y104 74 1460 SH DFND 1 0 1460 0 General Electric Common 369604103 35 3480 SH DFND 1 3480 0 0 General Electric Common 369604103 12 1200 SH DFND 1 0 1200 0 General Motors Common 37045V100 186 5000 SH DFND 1 0 5000 0 Global Medical REIT, Inc. Ser A Cum Pfd. Common 37957W203 893 35000 SH DFND 2 35000 0 0 Globus Medical, Inc. Common 379577208 94 1900 SH DFND 2 1900 0 0 Heritage NOLA Bancorp Inc. Common 42727P108 115 9000 SH DFND 1 9000 0 0 Heritage NOLA Bancorp Inc. Common 42727P108 38 3000 SH DFND 1 0 3000 0 Hospitality Properties Trust Common 44106M102 658 25000 SH DFND 1 0 25000 0 Horizon Pharma Public Limited Company Common G4617B105 1264 47840 SH DFND 2 47840 0 0 Intec Pharma Ltd. Common M53644106 2129 290434 SH DFND 2 290434 0 0 International Business Machines Common 459200101 604 4284 SH DFND 1 0 4284 0 International Gaming Technologies Common G4863A108 1494 115000 SH DFND 2 115000 0 0 Iridium Communications, Inc. Common 46269C102 2998 113399 SH DFND 2 113399 0 0 Johnson & Johnson Common 478160104 710 5080 SH DFND 1 5080 0 0 Johnson & Johnson Common 478160104 308 2200 SH DFND 1 0 2200 0 JP Morgan & Chase Common 46625H100 1443 14250 SH DFND 1 14250 0 0 JP Morgan & Chase Common 46625H100 891 8800 SH DFND 1 0 8800 0 Kimberly Clark Corporation Common 494368103 743 6000 SH DFND 1 0 6000 0 Krystal Biotech, Inc. Common 501147102 121 3686 SH DFND 2 3686 0 0 Legacy Housing Corp Common 52472M101 60 5000 SH DFND 1 5000 0 0 Legacy Housing Corp Common 52472M101 48 4000 SH DFND 1 0 4000 0 Lexicon Pharmaceuticals, Inc. Common 528872302 167 30000 SH DFND 2 30000 0 0 Ligand Pharmaceuticals Incorporated Common 53220K504 43018 342198 SH DFND 2 342198 0 0 Ligand Pharmaceuticals Incorporated Common 53220K504 232 1843 SH DFND 1 0 1843 0 LKQ Corporation Common 501889208 8514 300000 SH DFND 2 300000 0 0 Lowe's Companies, Inc. Common 548661107 4926 45000 SH DFND 2 45000 0 0 Macquarie Infrastructure Corporation Common 55608B105 6744 163600 SH DFND 2 163600 0 0 Macquarie Infrastructure Corporation Common 55608B105 136 3300 SH DFND 1 3300 0 0 Macquarie Infrastructure Corporation Common 55608B105 371 9000 SH DFND 1 0 9000 0 Medtronics Inc. Common G5960L103 91 1050 SH DFND 1 0 1050 0 MEI Pharma, Inc. Common 55279B202 118 38590 SH DFND 2 38590 0 0 Merck & Co. Inc. Common 58993Y105 67 800 SH DFND 1 800 0 0 Merck & Co. Inc. Common 58993Y105 42 500 SH DFND 1 0 500 0 Microsoft Corporation Common 594918104 47 400 SH DFND 1 400 0 0 Microsoft Corporation Common 594918104 118 1000 SH DFND 1 0 1000 0 Mondelez Int'l Inc. Common 609207105 145 2900 SH DFND 1 2900 0 0 Mondelez Int'l Inc. Common 609207105 649 13000 SH DFND 1 0 13000 0 MPLX LP Common 55336V100 10839 329558 SH DFND 2 329558 0 0 Novartis AG Common 66987V109 288 3000 SH DFND 2 3000 0 0 Novelion Therapeutics, Inc. Common 67001K202 134 109135 SH DFND 2 109135 0 0 NuVasive, Inc. Common 670704105 114 2000 SH DFND 2 2000 0 0 Och-Ziff Capital Management Group Common 67551U105 3 200 SH DFND 1 200 0 0 Oritani Financial Corp Common 68633D103 96 5800 SH DFND 1 5800 0 0 Oritani Financial Corp Common 68633D103 33 2000 SH DFND 1 0 2000 0 Oracle Corporation Common 68389X105 8057 150000 SH DFND 2 150000 0 0 Orthofix Medical Inc. Common 68752M108 113 2000 SH DFND 2 2000 0 0 Peoples United Financial Common 712704105 25 1500 SH DFND 1 0 1500 0 Pfizer Inc. Common 717081103 1869 44000 SH DFND 1 44000 0 0 Pfizer Inc. Common 717081103 4289 101000 SH DFND 1 0 101000 0 Quotient Limited Common G73268107 1532 170000 SH DFND 2 170000 0 0 RMR Group Inc. Common 74967R106 1 16 SH DFND 1 0 16 0 Radius Health Inc. Common 750469207 1541 77269 SH DFND 2 77269 0 0 Ryman Hospitality Ppty Inc. Common 78377T107 33 400 SH DFND 1 400 0 0 Ryman Hospitality Ppty Inc. Common 78377T107 987 12000 SH DFND 1 0 12000 0 Starwood Ppty Common 85571B105 9 400 SH DFND 1 400 0 0 Stemline Therapeutics, Inc. Common 85858C107 2028 157795 SH DFND 2 157795 0 0 Stericycle, Inc. Common 858912108 12195 224083 SH DFND 2 224083 0 0 The Howard Hughes Corporation Common 44267D107 2849 25900 SH DFND 2 25900 0 0 The Kraft Heinz Company Common 500754106 99 3035 SH DFND 1 3035 0 0 The Kraft Heinz Company Common 500754106 191 5865 SH DFND 1 0 5865 0 The Michaels Companies, Inc. Common 59408Q106 3426 300000 SH DFND 2 300000 0 0 The Star Group, Inc. Common 85570W100 8244 470800 SH DFND 2 470800 0 0 Total SA Common 89151E109 131 2360 SH DFND 1 2360 0 0 Total SA Common 89151E109 161 2900 SH DFND 1 0 2900 0 Upland Software, Inc. Common 91544A109 18554 438000 SH DFND 2 438000 0 0 Verizon Communications Inc. Common 92343V104 78 1320 SH DFND 1 1320 0 0 Verizon Communications Inc. Common 92343V104 1005 16991 SH DFND 1 0 16991 0 Viking Therapeutics, Inc. Common 92686J106 2168 218102 SH DFND 2 218102 0 0 Viveve Medical, Inc. Common 92852W204 41 43649 SH DFND 2 43649 0 0 WABTEC Common 929740108 1 17 SH DFND 1 17 0 0 WABTEC Common 929740108 0 6 SH DFND 1 0 6 0 Wheeler Real Estate Investment Trust, Inc. Common 963025606 201 14309 SH DFND 2 14309 0 0 WP Carey Common 92936U109 470 6000 SH DFND 1 0 6000 0 Xenon Pharmaceuticals Inc. Common 98420N105 1823 179390 SH DFND 2 179390 0 0 Zogenix, Inc. Common 98978L204 1432 26039 SH DFND 2 26039 0 0