Knott David M
Reported holdings as of Q3 2021, from 12 quarterly filings.
This filer last reported in Q3 2021; the most recent quarter on file across all filers is Q3 2026. Firms that restructure stop filing under one CIK and start under another, so a successor entity may hold these positions now under a similar name.
Holdings
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| Security | Ticker | Value | Shares | Weight | Weight change | Held | Change |
|---|---|---|---|---|---|---|---|
| CALUMET SPECIALTY PRODS PART | CLMTXXXX | $28.2M | 3,567,500 | +2.55pp | 12q | +13.1%+$3.3M | |
| APOLLO GLOBAL MGMT INC | APOXXXX | $15.4M | 250,000 | -1.04pp | 9q | -16.7%-$3.1M | |
| ALPHABET INC | GOOG | $14.9M | 5,600 | +0.44pp | 11q | HELD | |
| FORTRESS TRANS INFRST INVS L | FTAIXXXX | $12.6M | 497,700 | -1.35pp | 6q | HELD | |
| GREENIDGE GENERATION HLDGS I PUT | GREEL | $11.5M | options only | - | new | OPTIONS | |
| LIGAND PHARMACEUTICALS INC | LGND | $10.4M | 75,000 | +0.30pp | 12q | HELD | |
| UPLAND SOFTWARE INC | UPLD | $10.0M | 300,000 | -0.74pp | 12q | HELD | |
| COLISEUM ACQUISITION CORP | MITA | $9.6M | 984,835 | - | new | NEW | |
| KADMON HLDGS INC | KDMN | $8.6M | 989,450 | +1.98pp | 9q | +18.0%+$1.3M | |
| MIDWEST HLDG INC | MDWT | $6.6M | 170,000 | +0.10pp | 5q | +3.0%+$194.5K | |
| GREENIDGE GENERATION HLDGS I | GREE | $5.7M | 224,000 | - | new | NEW | |
| COLISEUM ACQUISITION CORP? | MITAW | $5.7M | 495,000? | - | new | ||
| AFRICAN GOLD ACQUISITION COR? | AGACWS | $5.3M | 463,500? | +0.04pp | 2q | ||
| TWELVE SEAS INVESTMENT CO II | TWLV | $5.0M | 515,000 | +0.05pp | 2q | HELD | |
| PFIZER INC | PFE | $4.9M | 114,500 | +0.12pp | 12q | -4.5%-$232.3K | |
| GLASS HOUSES ACQUISITION COR | GLHA | $4.9M | 500,000 | +0.07pp | 2q | HELD | |
| FS KKR CAP CORP | FSK | $4.4M | 199,825 | -1.42pp | 4q | -49.4%-$4.3M | |
| KENNEDY-WILSON HOLDINGS INC | KW | $4.4M | 210,000 | +0.11pp | 6q | HELD | |
| EASTERN BANKSHARES INC | EBC | $3.9M | 190,000 | -0.06pp | 4q | -5.0%-$203.0K | |
| REGENERON PHARMACEUTICALS | REGN | $3.6M | 6,000 | +0.13pp | 2q | HELD | |
| TRILLIUM THERAPEUTICS INC | $3.5M | 198,699 | +0.58pp | 7q | HELD | ||
| LIVE OAK MOBILITY ACQUISI CO | LOKM | $3.5M | 360,152 | +0.01pp | 2q | HELD | |
| B RILEY PRIN 250 MERGER CORP | BRIV | $3.4M | 350,000 | - | new | NEW | |
| KAIROS ACQUISITION CORP | KAIR | $3.3M | 345,463 | +0.02pp | 3q | HELD | |
| DANIMER SCIENTIFIC INC | DNMRXXXX | $3.3M | 200,000 | -0.59pp | 4q | HELD | |
| KKR & CO INC | KKR | $3.0M | 50,000 | -1.00pp | 7q | -50.0%-$3.0M | |
| AVADEL PHARMACEUTICALS PLC | AVDLXXXX | $3.0M | 301,864 | +0.35pp | 4q | -1.0%-$30.0K | |
| GLASS HOUSES ACQUISITION COR? | GLHAW | $2.9M | 250,000? | +0.02pp | 2q | ||
| UNITED THERAPEUTICS CORP DEL | UTHR | $2.8M | 15,300 | +0.05pp | 3q | HELD | |
| JPMORGAN CHASE & CO | JPM | $2.7M | 16,740 | -0.01pp | 12q | -7.9%-$234.1K | |
| BRISTOL-MYERS SQUIBB CO | BMY | $2.5M | 42,409 | -0.12pp | 12q | -2.3%-$59.2K | |
| ALLIANCEBERNSTEIN HLDG L P | AB | $2.5M | 50,500 | +0.07pp | 12q | HELD | |
| HORIZON THERAPEUTICS PUB L | HZNP | $2.2M | 20,000 | -0.27pp | 9q | -37.5%-$1.3M | |
| HORIZON ACQUISITION CORP | HZAC | $2.1M | 210,100 | - | new | NEW | |
| EIGER BIOPHARMACEUTICALS INC | EIGR | $2.1M | 312,492 | -0.11pp | 12q | +9.1%+$173.2K | |
| TWELVE SEAS INVESTMENT CO II? | TWLVW | $2.0M | 171,666? | +0.02pp | 2q | ||
| TASTEMAKER ACQUISITION CORP | PMGM | $2.0M | 200,000 | +0.03pp | 3q | HELD | |
| MEDICUS SCIENCES ACQUISITION | MSAC | $1.9M | 200,000 | - | new | NEW | |
| INNOVIVA INC | INVA | $1.9M | 115,269 | +0.47pp | 2q | +141.2%+$1.1M | |
| ZOGENIX INC | ZGNX | $1.9M | 124,688 | -0.08pp | 7q | HELD | |
| INCYTE CORP | INCY | $1.8M | 26,475 | - | new | NEW | |
| B RILEY PRINCIPAL 150 MERGER | BRPM | $1.7M | 176,963 | -1.23pp | 2q | -66.4%-$3.4M | |
| KAIROS ACQUISITION CORP? | KAIRW | $1.7M | 146,528? | +0.01pp | 3q | ||
| TG THERAPEUTICS INC | TGTX | $1.6M | 49,592 | -0.09pp | 6q | -1.6%-$26.0K | |
| COHERUS ONCOLOGY INC | CHRS | $1.6M | 102,555 | +0.11pp | 12q | +2.9%+$46.6K | |
| UNIQURE NV | QURE | $1.5M | 46,766 | +0.03pp | 8q | HELD | |
| XENON PHARMACEUTICALS INC | XENE | $1.4M | 94,488 | -0.41pp | 12q | -32.8%-$704.0K | |
| AURINIA PHARMACEUTICALS INC | AUPH | $1.4M | 62,896 | -0.25pp | 7q | -61.8%-$2.3M | |
| B RILEY PRIN 250 MERGER CORP? | BRIVW | $1.3M | 116,666? | - | new | ||
| VIKING THERAPEUTICS INC | VKTX | $1.3M | 208,102 | +0.03pp | 12q | HELD | |
| TASTEMAKER ACQUISITION CORP? | PMGMW | $1.1M | 100,000? | +0.01pp | 3q | ||
| GILEAD SCIENCES INC | GILD | $1.1M | 15,481 | +0.01pp | 5q | HELD | |
| RYMAN HOSPITALITY PPTYS INC | RHP | $1.0M | 12,400 | +0.03pp | 12q | HELD | |
| ROTH CH ACQUISITION III CO | ROCR | $994.0K | 100,000 | +0.01pp | 2q | HELD | |
| VERIZON COMMUNICATIONS INC | VZ | $972.0K | 17,991 | flat | 12q | +1.6%+$15.1K | |
| DOMA HOLDINGS INC | DOMAW | $958.0K | 83,333 | - | new | NEW | |
| MONDELEZ INTL INC | MDLZ | $931.0K | 16,000 | -0.02pp | 12q | +0.6%+$5.8K | |
| CIDARA THERAPEUTICS INC COM NEW | CDTXXXXX | $930.0K | 415,308 | +0.04pp | 10q | HELD | |
| MARINUS PHARMACEUTICALS INC | MRNS | $924.0K | 81,166 | -0.18pp | 4q | HELD | |
| ABBVIE INC | ABBV | $863.0K | 8,000 | -0.01pp | 12q | HELD | |
| ASLAN PHARMACEUTICALS LTD | ASLN | $851.0K | 478,186 | -0.25pp | 3q | HELD | |
| JOHNSON & JOHNSON | JNJ | $840.0K | 5,200 | -0.05pp | 12q | -14.5%-$142.2K | |
| LIVE OAK MOBILITY ACQUISI CO? | LOKMWS | $828.0K | 72,030? | +0.01pp | 2q | ||
| DUPONT DE NEMOURS INC | DD | $826.0K | 12,160 | -0.03pp | 10q | HELD | |
| KIMBERLY-CLARK CORP | KMB | $795.0K | 6,000 | flat | 12q | HELD | |
| COLOMBIER ACQUISITION CORP | CLBR | $774.0K | 80,000 | - | new | NEW | |
| QUOTIENT TECHNOLOGY INC | QUOT | $728.0K | 125,000 | -0.22pp | 4q | HELD | |
| COCA COLA CO | KO | $703.0K | 13,400 | flat | 12q | HELD | |
| DOW HLDGS INC | DOW | $700.0K | 12,160 | -0.02pp | 10q | HELD | |
| CANADIAN NAT RES LTD MED TER | CNQ | $690.0K | 18,885 | -0.04pp | 12q | -15.3%-$124.2K | |
| B RILEY PRINCIPAL 150 MERGER? | BRPMW | $678.0K | 58,986? | +0.01pp | 2q | ||
| LONGVIEW ACQUISITION CORP II | LGV | $632.0K | 63,900 | +0.01pp | 2q | HELD | |
| AT&T INC | T | $543.0K | 20,125 | -0.01pp | 12q | HELD | |
| Macquire Infrastructure Corp UNVERIFIED ID | $542.0K | 13,350 | - | new | NEW | ||
| CORTEVA INC | CTVA | $508.0K | 12,075 | -0.01pp | 10q | HELD | |
| BUTTERFLY NETWORK INC | BFLY | $478.0K | 45,760 | -0.06pp | 3q | HELD | |
| WP CAREY INC | WPC | $438.0K | 6,000 | flat | 12q | HELD | |
| MICROSOFT CORP | MSFT | $395.0K | 1,400 | +0.01pp | 12q | HELD | |
| IMMUNOVANT INC | IMVT | $370.0K | 42,600 | -0.23pp | 3q | -56.2%-$475.0K | |
| GLOBUS MED INC | GMED | $355.0K | 4,631 | flat | 11q | HELD | |
| IBERE PHARMACEUTICALS | IBER | $349.0K | 36,000 | flat | 2q | HELD | |
| CONAGRA BRANDS INC | CAG | $339.0K | 10,000 | -0.01pp | 12q | HELD | |
| META PLATFORMS INC | META | $336.0K | 990 | flat | 3q | HELD | |
| COLOMBIER ACQUISITION CORP? | CLBRWS | $307.0K | 26,666? | - | new | ||
| APPLE INC | AAPL | $297.0K | 2,100 | +0.01pp | 12q | HELD | |
| ROTH CH ACQUISITION III CO | ROCRW | $288.0K | 25,000 | flat | 2q | HELD | |
| BRIGHTSTAR LOTTERY PLC | BRSL | $276.0K | 10,500 | -0.82pp | 11q | -90.2%-$2.5M | |
| MEDICUS SCIENCES ACQUISITION? | MSACW | $256.0K | 22,222? | flat | 2q | ||
| FS BANCORP INC | FSBW | $253.0K | 7,300 | flat | 12q | +104.1%+$129.0K | |
| PROTARA THERAPEUTICS INC | TARA | $252.0K | 36,479 | -0.03pp | 6q | +0.9%+$2.2K | |
| WARRIOR TECHNOLOGIES ACQUI C | WARR | $245.0K | 25,000 | flat | 2q | HELD | |
| ALX Oncology Holdings Inc UNVERIFIED ID | $236.0K | 3,200 | +0.02pp | 3q | HELD | ||
| CODEXIS INC | CDXS | $233.0K | 10,000 | - | new | NEW | |
| CRISPR THERAPEUTICS AG | CRSP | $224.0K | 2,000 | -0.03pp | 2q | HELD | |
| POSEIDA THERAPEUTICS INC | PSTX | $216.0K | 29,566 | -0.03pp | 3q | HELD | |
| IBERE PHARMACEUTICALS? | IBERWS | $207.0K | 18,000? | flat | 2q | ||
| JUMIA TECHNOLOGIES AG | JMIA | $182.0K | 9,800 | -0.04pp | 3q | HELD | |
| CTI BIOPHARMA CORP | CTIC | $177.0K | 60,000 | +0.01pp | 4q | HELD | |
| AFRICAN GOLD ACQUISITION COR | AGAC | $175.0K | 18,000 | -0.17pp | 2q | -73.5%-$486.1K | |
| SEELOS THERAPEUTICS INC | SEEL | $174.0K | 72,367 | flat | 3q | HELD | |
| SIO GENE THERAPIES INC | SIOX | $174.0K | 80,000 | -0.01pp | 3q | HELD | |
| ACCELERON PHARMA INC | XLRN | $172.0K | 1,000 | - | new | NEW | |
| VALLEY NATL BANCORP | VLY | $171.0K | 12,800 | flat | 8q | +2.6%+$4.3K | |
| ALIMERA SCIENCES INC | ALIM | $162.0K | 38,226 | -0.06pp | 4q | HELD | |
| LEGACY HOUSING CORP | LEGH | $162.0K | 9,000 | flat | 12q | HELD | |
| SOUTHSTATE CORPORATION | SSBXXXX | $160.0K | 2,135 | flat | 6q | +2.5%+$4.0K | |
| RELMADA THERAPEUTICS INC | RLMD | $157.0K | 6,000 | -0.01pp | 6q | HELD | |
| LONGVIEW ACQUISITION CORP II | LGVWS | $147.0K | 12,780 | flat | 2q | HELD | |
| UP FINTECH HLDG LTD | TIGR | $145.0K | 13,736 | -0.09pp | 3q | HELD | |
| WARRIOR TECHNOLOGIES ACQUI C? | WARRWS | $144.0K | 12,500? | flat | 2q | ||
| Heritage Nola Bancorp, Inc. | HRGG | $139.0K | 9,000 | +0.01pp | 12q | HELD | |
| MEDTRONIC PLC | MDT | $132.0K | 1,050 | flat | 12q | HELD | |
| TOTALENERGIES SE | TTE | $120.0K | 2,500 | flat | 12q | +1.6%+$1.9K | |
| ZYMEWORKS INC | ZYME | $116.0K | 4,000 | - | new | NEW | |
| MERCK & CO INC | MRK | $111.0K | 1,475 | flat | 3q | +13.5%+$13.2K | |
| LAKEFRONT BIOTHERAPEUTICS NV | LKFT | $105.0K | 2,000 | -0.01pp | 3q | HELD | |
| F N B CORP | FNB | $103.0K | 8,905 | flat | 12q | HELD | |
| KRAFT HEINZ CO | KHC | $101.0K | 2,732 | -0.02pp | 12q | -30.0%-$43.2K | |
| SPDR SERIES TRUST | XBI | $101.0K | 800 | flat | 3q | HELD | |
| IOVANCE BIOTHERAPEUTICS INC | IOVA | $99.0K | 4,000 | - | new | NEW | |
| INDEPENDENCE HOLDINGS CORP | ACQR | $93.0K | 9,500 | flat | 2q | HELD | |
| T-MOBILE US INC | TMUS | $89.0K | 700 | flat | 3q | HELD | |
| SMITH & WESSON BRANDS INC | SWBI | $85.0K | 4,097 | - | new | NEW | |
| CURIS INC | CRIS | $78.0K | 10,000 | flat | 3q | HELD | |
| Tempest Therapeutics, Inc. UNVERIFIED ID | $78.0K | 5,359 | - | new | NEW | ||
| DIGITALBRIDGE GROUP INC | DBRG | $75.0K | 12,466 | -0.01pp | 2q | HELD | |
| SAILPOINT TECHNOLOGIES HLDGS | SAIL | $73.0K | 1,700 | flat | 3q | HELD | |
| ELI LILLY & CO | LLY | $69.0K | 300 | flat | 12q | HELD | |
| CARPARTS COM INC | PRTS | $58.0K | 3,700 | -0.01pp | 3q | HELD | |
| OCCIDENTAL PETE CORP | OXY | $53.0K | 1,801 | -0.01pp | 9q | -24.5%-$17.2K | |
| CAPITOL FED FINL INC | CFFN | $46.0K | 4,000 | flat | 12q | +5.3%+$2.3K | |
| GENERAL ELECTRIC CO | GEXXXX | $46.0K | 450 | flat | 12q | -87.1%-$309.7K | |
| BROOKLINE CAP ACQUISITION CO | BCAC | $40.0K | 4,000 | flat | 3q | HELD | |
| HEALTHCOR CATALIO ACQU CORP | HCAQ | $40.0K | 4,000 | flat | 3q | HELD | |
| EAGLE MATLS INC | EXP | $30.0K | 228 | flat | 12q | HELD | |
| CHEMOURS CO | CC | $27.0K | 920 | flat | 12q | HELD | |
| PEOPLES UNITED FINANCIAL INC | PBCT | $26.0K | 1,500 | flat | 11q | HELD | |
| American Outdoor Brands UNVERIFIED ID | $25.0K | 1,024 | - | new | NEW | ||
| BANK NOVA SCOTIA B C | BNS | $25.0K | 400 | flat | 12q | HELD | |
| BROOKLINE CAP ACQUISITION CO? | BCACW | $23.0K | 2,000? | flat | 3q | ||
| INDEPENDENCE HOLDINGS CORP? | ACQRW | $22.0K | 1,900? | flat | 2q | ||
| SCHMITT INDS INC ORE | SMIT | $11.0K | 2,500 | - | new | NEW | |
| SERVICE PPTYS TR | SVC | $11.0K | 1,000 | flat | 9q | HELD | |
| STARWOOD PPTY TR INC | STWD | $10.0K | 400 | flat | 12q | HELD | |
| OCCIDENTAL PETE CORP | OXYWS | $7.0K | 297 | flat | 4q | -19.7%-$1.7K | |
| SCULPTOR CAP MGMT | SCU | $6.0K | 200 | flat | 9q | HELD | |
| ORGANON & CO | OGN | $5.0K | 147 | flat | 2q | +13.1% | |
| ALPS ETF TR | AMLP | $4.0K | 120 | flat | 6q | HELD | |
| WABTEC | WAB | $2.0K | 17 | flat | 11q | +54.5% | |
| RMR GROUP INC | RMR | $1.0K | 16 | flat | 4q | HELD |
By sector
Industry comes from the SIC code on each company's own SEC filings, which is self-reported and sometimes out of date. Derivative exposure is counted with the shares. Securities the SEC assigns no industry - funds, trusts, foreign issues - are shown as not classified rather than dropped.
| Sector | Value | Share |
|---|---|---|
| Biotech & Pharma | $41.4M | 16.4% |
| Software & IT Services | $25.8M | 10.2% |
| Banks & Lending | $18.7M | 7.4% |
| Holding & Investment | $5.8M | 2.3% |
| Capital Markets | $5.8M | 2.3% |
| Funds & ETFs | $4.4M | 1.7% |
| Other sectors | $11.2M | 4.4% |
| Not classified | $139.7M | 55.3% |
What the disclosed book did
This is not the fund's return. A 13F shows long US equity positions only, so shorts, bonds, foreign listings, private holdings and cash are all invisible here. What this measures is the quarter's change in value of the positions this manager disclosed, had they been left untouched - the return a reader following the filing would have earned.
| Quarter | Book | Market | Difference | Priced |
|---|---|---|---|---|
| Q3 2021 | +0.5% | +0.3% | +0.2% | 97% |
| Q2 2021 | +3.3% | +8.0% | -4.7% | 98% |
| Q1 2021 | +17.3% | +6.0% | +11.3% | 99% |
| Q4 2020 | +16.7% | +11.6% | +5.1% | 95% |
| Q3 2020 | -0.9% | +8.6% | -9.5% | 100% |
| Q2 2020 | +33.4% | +19.6% | +13.7% | 89% |
| Q1 2020 | -33.8% | -19.9% | -13.9% | 94% |
| Q4 2019 | +13.9% | +8.5% | +5.5% | 95% |
Market is SPY over the same two quarter ends, priced the same way as everything else here - the median across every filer reporting it. It is a large-cap US proxy, so a manager holding small caps or biotech will beat or trail it for reasons that are not skill. Prices are quarter-end to quarter-end and say nothing about the path in between, or about trades opened and closed inside a quarter.
Quarter by quarter
| Quarter | Value | Positions | New | Added | Trimmed | Exited | Top 10 | Days to file |
|---|---|---|---|---|---|---|---|---|
| Q3 2021 | $275.2M | 150 | 21 | 17 | 22 | 18 | 46.5% | 43 |
| Q2 2021 | $281.3M | 147 | 37 | 25 | 10 | 19 | 45.9% | 44 |
| Q1 2021 | $233.8M | 129 | 41 | 13 | 25 | 22 | 47.8% | 43 |
| Q4 2020 | $221.0M | 110 | 22 | 17 | 14 | 10 | 55.6% | 43 |
| Q3 2020 | $170.4M | 98 | 11 | 14 | 10 | 5 | 60.5% | 44 |
| Q2 2020 | $183.2M | 92 | 11 | 16 | 11 | 40 | 61.0% | 43 |
| Q1 2020 | $158.5M | 121 | 18 | 14 | 19 | 11 | 61.0% | 43 |
| Q4 2019 | $246.7M | 114 | 11 | 12 | 12 | 16 | 58.5% | 45 |
| Q3 2019 | $238.0M | 119 | 21 | 20 | 17 | 13 | 58.4% | 43 |
| Q2 2019 | $237.1M | 111 | 12 | 20 | 7 | 11 | 59.3% | 43 |
| Q1 2019 | $250.9M | 110 | 14 | 18 | 11 | 5 | 56.1% | 43 |
| Q4 2018 | $212.8M | 101 | 0 | 0 | 0 | 0 | 60.1% | 43 |
Rows marked UNVERIFIED ID, PLACEHOLDER ID, TICKER AS ID or NON-CUSIP ID carry an identifier that is not a valid CUSIP. They are shown because the filer reported that money, but treat the security named with caution - hover the chip for what is wrong with it, and see the methodology.
Held counts consecutive filings in which this manager reported the position, and can reach further back than the quarters listed above: the tabs begin at Q4 2018 because earlier coverage is too sparse to describe a market, but tenure is counted over every filing we hold, some reaching to 2007. A position sold and later rebought starts again from one.
Weight change is the shift in this position's share of the whole book, in percentage points. It is the more useful column: when money flows into or out of a broad fund, almost every holding is bought or sold at once, so added and trimmed largely track flows. A weight that rose while the book shrank is a decision. Both compare with the previous quarter this filer reported, not the previous calendar quarter.