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