0001047469-13-005915.txt : 20130513 0001047469-13-005915.hdr.sgml : 20130513 20130510182131 ACCESSION NUMBER: 0001047469-13-005915 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130331 FILED AS OF DATE: 20130513 DATE AS OF CHANGE: 20130510 EFFECTIVENESS DATE: 20130513 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: 13834973 MAIL ADDRESS: STREET 1: 485 UNDERHILL BLVD STREET 2: STE 205 CITY: SYOSSET STATE: NY ZIP: 11791-3419 13F-HR 1 a2215165z13f-hr.txt 13F-HR ------------------------------ | OMB APPROVAL | ------------------------------ | OMB Number: 3235-0006 | | Expires: October 31, 2000 | | Estimated average | | burden hours | | per response ........24.7 | ------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: March 31, 2013 ----------------------- Check Here if Amendment / /; Amendment Number: --------- This Amendment (Check only one.): / / is a restatement. / / adds new holdings entries. Institutional Investment Manager Filing this Report: Name: David M. Knott ------------------------------- Address: 485 Underhill Boulevard ------------------------------- Suite 205 ------------------------------- Syosset, NY 11791 ------------------------------- Form 13F File Number: 28-03121 --------------------- The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: David M. Knott ------------------------------- Title: Investment Manager ------------------------------- Phone: (516) 364-0303 ------------------------------- Signature, Place, and Date of Signing: /s/ David M. Knott Syosset, New York May 13, 2013 ------------------------------- ----------------- ------------- [Signature] [City, State] [Date] Report Type (Check only one.): /X/ 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) / / 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) / / 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 1 -------------------- Form 13F Information Table Entry Total: 99 -------------------- Form 13F Information Table Value Total: $528,590 -------------------- (thousands) List of Other Included Managers: Dorset Management Corporation ("Dorset") Page 2 FORM 13F INFORMATION TABLE

COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 ------------------------------------------------------------------------------------------------------------------------------- VOTING AUTHORITY TITLE OF CLASS CUSIP VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER --------------------------- NAME OF ISSUER CLASS ($) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE ------------------------------------------------------------------------------------------------------------------------------- ACADIA Pharmaceuticals Inc. Common 004225108 397,000 50,000 SH DEFINED Dorset 50,000 Anadarko Petroleum Corporation Common 032511107 8,745,000 100,000 SH DEFINED Dorset 100,000 Anadarko Petroleum Corporation Common 032511107 23,633,362 270,250 SH DEFINED Dorset 270,250 Anadarko Petroleum Corporation Common 032511107 402,270 4,600 SH OTHER 4,600 Anadarko Petroleum Corporation Common 032511107 918,225 10,500 SH OTHER 10,500 Anchor Bancorp WA Common 032838104 78,750 5,000 SH OTHER 5,000 Anchor Bancorp WA Common 032838104 118,125 7,500 SH OTHER 7,500 Apple Inc Common 037833100 33,200 75 SH OTHER 75 Apple Inc Common 037833100 33,200 75 SH OTHER 75 Approach Resources, Inc. Common 03834A103 8,736,550 355,000 SH DEFINED Dorset 355,000 Baker Hughes Incorporated Common 057224107 7,425,600 160,000 SH DEFINED Dorset 160,000 Cabot Oil & Gas Corporation Common 127097103 18,254,700 270,000 SH DEFINED Dorset 270,000 CAI International, Inc. Common 12477X106 1,014,464 35,200 SH DEFINED Dorset 35,200 Cameron International Corporation Common 13342B105 7,824,000 120,000 SH DEFINED Dorset 120,000 Canadian Natural Resources Ltd. Common 136385101 12,854,857 401,000 SH DEFINED Dorset 401,000 Canadian Natural Resources Ltd. Common 136385101 313,268 9,750 SH OTHER 9,750 Canadian Natural Resources Ltd. Common 136385101 681,156 21,200 SH OTHER 21,200 Capitol Federal Financial, Inc. Common 14057J101 24,140 2,000 SH DEFINED Dorset 2,000 Capitol Federal Financial, Inc. Common 14057J101 8,878,692 735,600 SH DEFINED Dorset 735,600 Capitol Federal Financial, Inc. Common 14057J101 24,140 2,000 SH OTHER 2,000 Capitol Federal Financial, Inc. Common 14057J101 72,420 6,000 SH OTHER 6,000 Chevron Corporation Common 166764100 7,129,200 60,000 SH DEFINED Dorset 60,000 China Ceramics Co. Ltd. Common G2113X100 501,503 233,257 SH DEFINED Dorset 233,257 Cimarex Energy Co. Common 171798101 6,789,600 90,000 SH DEFINED Dorset 90,000 Coca Cola Company Common 191216100 339,696 8,400 SH OTHER 8,400 Concho Resources, Inc Common 20605P101 17,537,400 180,000 SH DEFINED Dorset 180,000 Devon Energy Corp. Common 25179M103 1,128,400 20,000 SH DEFINED Dorset 20,000 Du Pont EI De Nemours & Co Common 263534109 49,160 1,000 SH OTHER 1,000 Du Pont EI De Nemours & Co Common 263534109 176,976 3,600 SH OTHER 3,600 Eagle Materials Inc Common 26969P108 15,192 228 SH OTHER 228 EnCana Corp. Common 292505104 9,724,500 500,000 SH DEFINED Dorset 500,000 Essex Rental Corporation Common 297187106 5,757,409 1,288,011 SH DEFINED Dorset 1,288,011 FMC Technologies, Inc. Common 302490101 15,773,100 290,000 SH DEFINED Dorset 290,000 FutureFuel Corporation Common 36116M106 12,150 1,000 SH DEFINED Dorset 1,000 FutureFuel Corporation Common 36116M106 6,903,472 568,187 SH DEFINED Dorset 568,187 General Electric Co Common 369604103 83,232 3,600 SH OTHER 3,600 Getty Realty Corporation Common 374297109 6,386,360 316,000 SH DEFINED Dorset 316,000 Halliburton Company Common 406216101 21,821,400 540,000 SH DEFINED Dorset 540,000 Helmerich & Payne, Inc. Common 423452101 13,354,000 220,000 SH DEFINED Dorset 220,000 Hertz Global Holdings, Inc. Common 42805T105 46,746 2,100 SH DEFINED Dorset 2,100 Hess Corporation Common 42809H107 25,779,600 360,000 SH DEFINED Dorset 360,000

COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 ------------------------------------------------------------------------------------------------------------------------------- VOTING AUTHORITY TITLE OF CLASS CUSIP VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER --------------------------- NAME OF ISSUER CLASS ($) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE ------------------------------------------------------------------------------------------------------------------------------- Hyde Park Acquisition Corp. II Common 448640102 1,458,550 145,855 SH DEFINED Dorset 145,855 J.C. Penney Company Common 708160106 764,566 50,600 SH DEFINED Dorset 50,600 Jamba, Inc. Common 47023A101 719,625 252,500 SH DEFINED Dorset 252,500 JP Morgan Chase & Co. Common 46625H100 313,236 6,600 SH OTHER 6,600 JP Morgan Chase & Co. Common 46625H100 697,662 14,700 SH OTHER 14,700 Johnson & Johnson Common 478160104 97,836 1,200 SH OTHER 1,200 Johnson & Johnson Common 478160104 423,956 5,200 SH OTHER 5,200 Kraft Foods Group Inc. Common 50076Q106 34,319 666 SH OTHER 666 Kraft Foods Group Inc. Common 50076Q106 137,329 2,665 SH OTHER 2,665 Kythera Biopharmaceutical Common 501570105 609,000 25,000 SH DEFINED Dorset 25,000 Lazard Ltd. Common G54050102 20,478 600 SH DEFINED Dorset 600 Ligand Pharmaceuticals Incorporated Common 53220K504 44,399 1,666 SH DEFINED Dorset 1,666 Ligand Pharmaceuticals Incorporated Common 53220K504 38,593,384 1,448,157 SH DEFINED Dorset 1,448,157 Ligand Pharmaceuticals Incorporated Common 53220K504 73,101 2,743 SH OTHER 2,743 M/I Homes, Inc. Common 55305B101 3,423,000 140,000 SH DEFINED Dorset 140,000 Marathon Oil Corporation Common 565849106 4,215,000 125,000 SH DEFINED Dorset 125,000 Microsoft Corporation Common 594918104 6,227,308 217,700 SH DEFINED Dorset 217,700 Molson Coors Brewing Company Common 60871R209 3,209,808 65,600 SH DEFINED Dorset 65,600 Mondelez Intl Inc Common 609207105 61,230 2,000 SH OTHER 2,000 Mondelez Intl Inc Common 609207105 244,920 8,000 SH OTHER 8,000 Murphy Oil Corporation Common 626717102 7,647,600 120,000 SH DEFINED Dorset 120,000 National Oilwell Varco Inc. Common 637071101 12,735,000 180,000 SH DEFINED Dorset 180,000 Noble Corporation Common H5833N103 13,734,000 360,000 SH DEFINED Dorset 360,000 Noble Energy, Inc. Common 655044105 19,662,200 170,000 SH DEFINED Dorset 170,000 OBA Financial Services, Inc. Common 67424G101 475,000 25,000 SH DEFINED Dorset 25,000 OBA Financial Services, Inc. Common 67424G101 95,000 5,000 SH OTHER 5,000 Oritani Financial Corporation Common 68633D103 30,980 2,000 SH OTHER 2,000 Oritani Financial Corporation Common 68633D103 92,940 6,000 SH OTHER 6,000 PepsiCo, Inc. Common 713448108 58,937 745 SH DEFINED Dorset 745 Pfizer Inc. Common 717081103 86,580 3,000 SH DEFINED Dorset 3,000 Pfizer Inc. Common 717081103 35,147,901 1,217,876 SH DEFINED Dorset 1,217,876 Pfizer Inc. Common 717081103 507,936 17,600 SH OTHER 17,600 Pfizer Inc. Common 717081103 1,731,600 60,000 SH OTHER 60,000 Pioneer Natural Resources Company Common 723787107 21,122,500 170,000 SH DEFINED Dorset 170,000 Proctor & Gamble Company Common 742718109 90,545 1,175 SH DEFINED Dorset 1,175 ProShares UltraShort 20+ Year Treasury Common 74347B201 52,568 800 SH DEFINED Dorset 800 QLT Inc. Common 746927102 3,941,986 445,926 SH DEFINED Dorset 445,926 Rand Logistics, Inc. Common 752182105 5,512 900 SH DEFINED Dorset 900 Rand Logistics, Inc. Common 752182105 10,974,512 1,791,757 SH DEFINED Dorset 1,791,757 Ryman Hospitality Properties, Inc. Common 78377T107 4,575,000 100,000 SH DEFINED Dorset 100,000 Sanofi Aventis Rights exp 12/31/20 Common 80105N113 110,980 62,000 SH DEFINED Dorset 62,000

COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 ------------------------------------------------------------------------------------------------------------------------------- VOTING AUTHORITY TITLE OF CLASS CUSIP VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER --------------------------- NAME OF ISSUER CLASS ($) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE ------------------------------------------------------------------------------------------------------------------------------- Schlumberger Limited Common 806857108 24,713,700 330,000 SH DEFINED Dorset 330,000 Sealed Air Corporation Common 81211K100 19,288 800 SH DEFINED Dorset 800 SM Energy Company Common 78454L100 17,766,000 300,000 SH DEFINED Dorset 300,000 Southwestern Energy Company Common 845467109 11,178,000 300,000 SH DEFINED Dorset 300,000 Spirit AeroSystems Holdings, Inc. Common 848574109 30,384 1,600 SH DEFINED Dorset 1,600 Standard Financial Corp. Common 853393106 390,000 20,000 SH DEFINED Dorset 20,000 State Investors Bancorp, Inc. Common 857030100 433,500 30,000 SH DEFINED Dorset 30,000 Target Corporation Common 87612E106 390,165 5,700 SH DEFINED Dorset 5,700 The Babcock & Wilcox Company Common 05615F102 29,830 1,050 SH DEFINED Dorset 1,050 The Howard Hughes Corporation Common 44267D107 2,514,300 30,000 SH DEFINED Dorset 30,000 The Stephan Co. Common 858603103 42,564 21,282 SH DEFINED Dorset 21,282 TheStreet Inc. Common 88368Q103 223,470 117,000 SH DEFINED Dorset 117,000 Total SA Common 89151E109 115,152 2,400 SH OTHER 2,400 Total SA Common 89151E109 115,152 2,400 SH OTHER 2,400 Wet Seal Inc. Common 961840105 1,624,760 538,000 SH DEFINED Dorset 538,000 Whiting Petroleum Corporation Common 966387102 22,888,168 450,200 SH DEFINED Dorset 450,200 WPX Energy Inc. Common 98212B103 12,095,100 755,000 SH DEFINED Dorset 755,000 Total 528,589,732 17,412,796 10,244,918 7,167,878