Investment Manager

0001104659-20-060518.txt : 20200513 0001104659-20-060518.hdr.sgml : 20200513 20200513095659 ACCESSION NUMBER: 0001104659-20-060518 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200331 FILED AS OF DATE: 20200513 DATE AS OF CHANGE: 20200513 EFFECTIVENESS DATE: 20200513 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: 20871394 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 03-31-2020 03-31-2020 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-President of Dorset Management Corp., is included with Dorset Management Corp.; and as Co-Managing Member of KPM LLC, which is the co-General Partner and the sole Managing General Partner of Knott Partners LP and sole General Partner of Shoshone Partners LP and of Dorset Opportunity Fund LP, shares voting power. Knott David M Investment Manager (516) 364-0303 /s/ David M. Knott Syosset NY 05-13-2020 1 156 158451 false 2 0001203370 028-10281 DORSET MANAGEMENT CORP INFORMATION TABLE 2 a20-19501_1informationtable.xml INFORMATION TABLE AbbVie Inc. Common 00287Y109 2303 30233 SH DFND 2 0 30233 0 AbbVie Inc. Common 00287Y109 381 5000 SH DFND 1 0 5000 0 Acceleron Pharma, Inc. Common 00434H108 72 805 SH DFND 2 0 805 0 ADMA Biologics, Inc. Common 000899104 405 140757 SH DFND 2 0 140757 0 Akebia Therapeutics, Inc. Common 00972D105 1025 135169 SH DFND 2 0 135169 0 Alerian MLP Common 00162Q866 2 600 SH DFND 1 0 600 0 Alimera Sciences, Inc. Common 016259103 301 75194 SH DFND 2 0 75194 0 Alkermes PLC Common G01767105 837 58073 SH DFND 2 0 58073 0 Allergan plc Common G0177J108 151 850 SH DFND 2 0 850 0 AllianceBernstein Holdings PL Unit Ltd Common 01881G106 911 49000 SH DFND 1 0 49000 0 AllianceBernstein Holdings PL Unit Ltd Common 01881G106 28 1500 SH DFND 1 0 1500 0 Alphabet Inc-Cl C Common 02079K107 9186 7900 SH DFND 2 0 7900 0 Apollo Global Management, Inc. Common 03768E105 12479 372500 SH DFND 2 0 372500 0 Apple Inc. Common 037833100 134 525 SH DFND 1 0 525 0 Apple Inc. Common 037833100 134 525 SH DFND 1 0 525 0 Arena Pharmaceuticals, Inc. Common 040047607 310 7391 SH DFND 2 0 7391 0 ArTara Therapeutics, Inc. Common 04300J107 61 2635 SH DFND 2 0 2635 0 Ascendis Pharma A/S Common 04351P101 59 526 SH DFND 2 0 526 0 AT&T Inc. Common 00206R102 583 20000 SH DFND 1 0 20000 0 AT&T Inc. Common 00206R102 60 2050 SH DFND 1 0 2050 0 Aurinia Pharmaceuticals Inc. Common 05156V102 106 7300 SH DFND 2 0 7300 0 Bank Nova Scotia Halifax Common 064149107 16 400 SH DFND 1 0 400 0 BELLUS Health Inc. Common 07987C204 2419 242611 SH DFND 2 0 242611 0 Beyond Air Inc. Common 08862L103 46 5700 SH DFND 2 0 5700 0 BioCryst Pharmaceuticals, Inc. Common 09058V103 120 59990 SH DFND 2 0 59990 0 BioDelivery Sciences International, Inc. Common 09060J106 1916 505530 SH DFND 2 0 505530 0 Bristol-Myers Squibb Company Common 110122108 2559 45909 SH DFND 2 0 45909 0 Calumet Specialty Products Partners, LP Common 131476103 2100 2000000 SH DFND 2 0 2000000 0 Calumet Specialty Products Partners, LP Common 131476103 21 20000 SH DFND 1 0 20000 0 Canadian Natural Resources Inc. Common 136385101 186 13750 SH DFND 1 0 13750 0 Canadian Natural Resources Inc. Common 136385101 248 18285 SH DFND 1 0 18285 0 Capitol Federal Financial Inc. Common 14057J101 67 5800 SH DFND 1 0 5800 0 Catalyst Pharmaceuticals, Inc. Common 14888U101 205 53117 SH DFND 2 0 53117 0 Centerstate Banks Corp Common 15201P109 31 1780 SH DFND 1 0 1780 0 Centerstate Banks Corp Common 15201P109 89 5162 SH DFND 1 0 5162 0 Check Cap Ltd. Common M2361E203 3 2224 SH DFND 2 0 2224 0 Chemours Co. Common 163851108 4 440 SH DFND 1 0 440 0 Chemours Co. Common 163851108 6 720 SH DFND 1 0 720 0 ChemoCentryx, Inc. Common 16383L106 4035 100431 SH DFND 2 0 100431 0 Coca Cola Common 191216100 336 7600 SH DFND 1 0 7600 0 Coca Cola Common 191216100 257 5800 SH DFND 1 0 5800 0 Cidara Therapeutics, Inc. Common 171757107 997 402061 SH DFND 2 0 402061 0 Coherus Biosciences, Inc. Common 19249H103 1087 67039 SH DFND 2 0 67039 0 Collegium Pharmaceutical, Inc. Common 19459J104 801 49071 SH DFND 2 0 49071 0 Colony Northstar Inc. Common 19625W104 3 1466 SH DFND 1 0 1466 0 Columbia Financial, Inc. Common 197641103 336 23363 SH DFND 2 0 23363 0 Conagra Brands Common 205887102 293 10000 SH DFND 1 0 10000 0 Corteva Inc. Common 22052L104 260 11051 SH DFND 1 0 11051 0 Corteva Inc. Common 22052L104 35 1494 SH DFND 1 0 1494 0 Cousins Properties Common 222795106 98 3357 SH DFND 1 0 3357 0 Dell Technologies Inc. Common 24703L202 254 6426 SH DFND 2 0 6426 0 Dow Inc. Common 260557103 311 10624 SH DFND 1 0 10624 0 Dow Inc. Common 260557103 44 1494 SH DFND 1 0 1494 0 Dupont De Nemours Inc. Common 26614N102 362 10624 SH DFND 1 0 10624 0 Dupont De Nemours Inc. Common 26614N102 51 1494 SH DFND 1 0 1494 0 Eagle Materials Inc. Common 26969P108 13 228 SH DFND 1 0 228 0 Eiger BioPharmaceuticals, Inc. Common 28249U105 1793 263748 SH DFND 2 0 263748 0 Eli Lilly Inc. Common 532457108 42 300 SH DFND 1 0 300 0 Fannie Mae 4.75 percent Series M Common 313586836 404 43000 SH DFND 2 0 43000 0 Fannie Mae 5.1 percent Series E Common 313586604 149 17500 SH DFND 2 0 17500 0 Fannie Mae 5.125 percent Series L Common 313586844 84 8680 SH DFND 2 0 8680 0 Fannie Mae 5.81 percent Series H Common 313586885 100 10000 SH DFND 2 0 10000 0 Fannie Mae 8.25 percent Series S Common 313586752 222 35000 SH DFND 2 0 35000 0 Fannie Mae 8.25 percent Series T Common 313586737 2190 396736 SH DFND 2 0 396736 0 Fannie Mae Float - Series G Common 313586802 214 22477 SH DFND 2 0 22477 0 Fannie Mae Float Series F Common 313586703 764 81890 SH DFND 2 0 81890 0 Fannie Mae Float Series P Common 313586786 1171 254559 SH DFND 2 0 254559 0 Fortress Trans & Infrastructure Inv. LLC Common 34960P107 7286 888509 SH DFND 2 0 888509 0 Freddie Mac 5 percent Series F Common 313400863 203 21590 SH DFND 2 0 21590 0 Freddie Mac 5.3 percent Common 313400822 285 30000 SH DFND 2 0 30000 0 Freddie Mac 5.57 percent Series V Common 313400673 371 80000 SH DFND 2 0 80000 0 Freddie Mac 5.9 percent Series U Common 313400681 47 10000 SH DFND 2 0 10000 0 Freddie Mac 6 percent Series P Common 313400749 51 5200 SH DFND 2 0 5200 0 Freddie Mac 6.02 percent Series X Common 313400657 316 53811 SH DFND 2 0 53811 0 Freddie Mac 8.375 percent Series Z Common 313400624 850 139500 SH DFND 2 0 139500 0 FNB Corporation Common 302520101 66 8905 SH DFND 1 0 8905 0 FS Bancorp Inc. Common 30263Y104 53 1460 SH DFND 1 0 1460 0 FS Bancorp Inc. Common 30263Y104 76 2117 SH DFND 1 0 2117 0 FS KKR Capital Corp. Common 302635107 4200 1400000 SH DFND 2 0 1400000 0 FS KKR Capital Corp. Common 302635107 350 116500 SH DFND 1 0 116500 0 FS KKR Capital Corp. Common 302635107 193 64200 SH DFND 1 0 64200 0 General Electric Common 369604103 10 1200 SH DFND 1 0 1200 0 General Electric Common 369604103 28 3480 SH DFND 1 0 3480 0 Gilead Sciences, Inc. Common 375558103 112 1500 SH DFND 2 0 1500 0 Global Medical REIT, Inc. Ser A Cum Pfd. Common 37957W203 801 35000 SH DFND 2 0 35000 0 Globus Medical, Inc. Common 379577208 123 2900 SH DFND 2 0 2900 0 Heritage NOLA Bancorp Inc. Common 42727P108 91 9000 SH DFND 1 0 9000 0 Horizon Therapeutics Public Ltd. Company Common G46188101 1763 59531 SH DFND 2 0 59531 0 International Business Machines Common 459200101 475 4284 SH DFND 1 0 4284 0 International Gaming Technologies Common G4863A108 3570 600000 SH DFND 2 0 600000 0 International Gaming Technologies Common G4863A108 45 7500 SH DFND 1 0 7500 0 JetBlue Airways Corp. Common 477143101 90 10000 SH DFND 2 0 10000 0 Johnson & Johnson Common 478160104 288 2200 SH DFND 1 0 2200 0 Johnson & Johnson Common 478160104 666 5080 SH DFND 1 0 5080 0 JP Morgan Chase Common 46625H100 792 8800 SH DFND 1 0 8800 0 JP Morgan Chase Common 46625H100 1283 14250 SH DFND 1 0 14250 0 Kadmon Holdings, Inc. Common 48283N106 1600 381900 SH DFND 2 0 381900 0 Kimberly Clark Corporation Common 494368103 767 6000 SH DFND 1 0 6000 0 KKR & Co. Inc. Common 48251W104 4811 205000 SH DFND 2 0 205000 0 Krystal Biotech, Inc. Common 501147102 306 7079 SH DFND 2 0 7079 0 Legacy Housing Corporation Common 52472M101 37 4000 SH DFND 1 0 4000 0 Legacy Housing Corporation Common 52472M101 46 5000 SH DFND 1 0 5000 0 Ligand Pharmaceuticals Incorporated Common 53220K504 24885 342198 SH DFND 2 0 342198 0 Ligand Pharmaceuticals Incorporated Common 53220K504 134 1843 SH DFND 1 0 1843 0 Ligand Pharmaceuticals Incorporated Common 53220K504 654 9000 SH DFND 1 0 9000 0 LKQ Corporation Common 501889208 3077 150000 SH DFND 2 0 150000 0 Macquarie Infrastructure Corporation Common 55608B105 249 9850 SH DFND 1 0 9850 0 Macquarie Infrastructure Corporation Common 55608B105 83 3300 SH DFND 1 0 3300 0 MEI Pharma, Inc. Common 55279B202 62 38590 SH DFND 2 0 38590 0 Menlo Therapeutics Inc. Common 586858102 66 24606 SH DFND 2 0 24606 0 MPLX LP Common 55336V100 1162 100000 SH DFND 2 0 100000 0 Medtronics Common G5960L103 95 1050 SH DFND 1 0 1050 0 Merck & Co. Inc. Common 58993Y105 38 500 SH DFND 1 0 500 0 Merck & Co. Inc. Common 58993Y105 62 800 SH DFND 1 0 800 0 Microsoft Corporation Common 594918104 158 1000 SH DFND 1 0 1000 0 Microsoft Corporation Common 594918104 63 400 SH DFND 1 0 400 0 Mondelez Int'l Inc. Common 609207105 651 13000 SH DFND 1 0 13000 0 Mondelez Int'l Inc. Common 609207105 145 2900 SH DFND 1 0 2900 0 Occidental Pete Corp Common 674599105 15 1273 SH DFND 1 0 1273 0 Occidental Pete Corp Common 674599105 20 1700 SH DFND 1 0 1700 0 Peoples United Financial Common 712704105 17 1500 SH DFND 1 0 1500 0 Pfizer Inc. Common 717081103 3297 101000 SH DFND 1 0 101000 0 Pfizer Inc. Common 717081103 1009 30900 SH DFND 1 0 30900 0 PUTS/CEL-SCI Corporation @5 Exp. 4/17/20 Common 9EDXJT914 25 49 SH DFND 2 0 49 0 PUTS/CEL-SCI Corporation @5 Exp. 6/19/20 Common 9EDXJT9R4 50 100 SH DFND 2 0 100 0 Quotient Limited Common G73268107 405 102427 SH DFND 2 0 102427 0 RA Pharmaceuticals Inc. Common 74933V108 307 6400 SH DFND 2 0 6400 0 Radius Health Inc. Common 750469207 559 43034 SH DFND 2 0 43034 0 RMR Group Inc. Common 74967R106 0 16 SH DFND 1 0 16 0 Ryman Hospitality Ppty Inc. Common 78377T107 430 12000 SH DFND 1 0 12000 0 Ryman Hospitality Ppty Inc. Common 78377T107 14 400 SH DFND 1 0 400 0 Sculptor Capital Management Common 811246107 3 200 SH DFND 1 0 200 0 Service Ppty Trust Common 81761L102 5 1000 SH DFND 1 0 1000 0 Starwood Ppty Common 85571B105 4 400 SH DFND 1 0 400 0 Stemline Therapeutics, Inc. Common 85858C107 435 89864 SH DFND 2 0 89864 0 Stericycle, Inc. Common 858912108 13072 269083 SH DFND 2 0 269083 0 Strongbridge Biopharma PLC Common G85347105 344 181800 SH DFND 2 0 181800 0 The Kraft Heinz Company Common 500754106 30 1199 SH DFND 1 0 1199 0 The Kraft Heinz Company Common 500754106 75 3035 SH DFND 1 0 3035 0 Total SA Common 89151E109 19 500 SH DFND 1 0 500 0 Total SA Common 89151E109 88 2360 SH DFND 1 0 2360 0 Trillium Therapeutics Inc. Common 89620X506 551 136500 SH DFND 2 0 136500 0 uniQure N.V. Common N90064101 675 14220 SH DFND 2 0 14220 0 Upland Software, Inc. Common 91544A109 11077 413000 SH DFND 2 0 413000 0 Valley National Bancorp Common 919794107 23 3200 SH DFND 1 0 3200 0 Valley National Bancorp Common 919794107 68 9280 SH DFND 1 0 9280 0 Verizon Communications Inc. Common 92343V104 913 16991 SH DFND 1 0 16991 0 Verizon Communications Inc. Common 92343V104 71 1320 SH DFND 1 0 1320 0 Verrica Pharmaceuticals, Inc. Common 92511W108 161 14747 SH DFND 2 0 14747 0 Viking Therapeutics, Inc. Common 92686J106 1021 218102 SH DFND 2 0 218102 0 WABTEC Common 929740108 0 6 SH DFND 1 0 6 0 WABTEC Common 929740108 1 17 SH DFND 1 0 17 0 Wheeler Real Estate Investment Trust, Inc. Common 963025606 126 14309 SH DFND 2 0 14309 0 WP Carey Common 92936U109 348 6000 SH DFND 1 0 6000 0 Xenon Pharmaceuticals Inc. Common 98420N105 1987 175204 SH DFND 2 0 175204 0 Zogenix, Inc. Common 98978L204 1305 52765 SH DFND 2 0 52765 0