KNOTT DAVID M JR

Filed: 11/10/2022ACC: 0001104659-22-117090

📋 What this filing means

KNOTT DAVID M JR filed this quarterly 13F‑HR report disclosing 184 equity positions with a total reported market value of $237.6K. This filing provides a transparent view of the manager's long equity holdings as of the quarter end.

184

Positions

$237.6K

Total AUM (reported)

19.39M

Total Shares

Allocation by class

COMMON$237.6K100.0%

Portfolio Concentration

Top 3$81.6K34.3%

4–10$53.1K22.4%

11–25$45.0K18.9%

Rest$58.0K24.4%

Top 3 weight

34.3%

Top 10 weight

56.7%

Voting Authority Distribution

Total shares with voting rights: 19.39M

Sole

Full voting authority

19.39M

% of voting shares100.0%

Shared

Joint voting authority

0.00

% of voting shares0.0%

None

No voting authority

0.00

% of voting shares0.0%

Investment Discretion (by position count)

Sole0

Shared0

Other184

Dominant voting typeSole · 100.0% of voting shares

Institutional Holdings184

Rows:

Calumet Specialty Products Partners, LP

DFND

Common

Shares4.44M

TypeSH

Market value$56.9K

23.93%

Sole

4.44M

Shared

0.00

None

0.00

DocGo, Inc.

DFND

Common

Shares1.40M

TypeSH

Market value$13.9K

5.84%

Sole

1.40M

Shared

0.00

None

0.00

Alphabet Inc Class C

DFND

Common

Shares112.22K

TypeSH

Market value$10.8K

4.54%

Sole

112.22K

Shared

0.00

None

0.00

Apollo Global Management, Inc.

DFND

Common

Shares225K

TypeSH

Market value$10.5K

4.40%

Sole

225K

Shared

0.00

None

0.00

Ligand Pharmaceuticals Incorporated

DFND

Common

Shares115K

TypeSH

Market value$9.9K

4.17%

Sole

115K

Shared

0.00

None

0.00

Franklin BSP Realty Trust, Inc.

DFND

Common

Shares859.05K

TypeSH

Market value$9.3K

3.89%

Sole

859.05K

Shared

0.00

None

0.00

Fortress Trans & Infrastructure Inv. LLC

DFND

Common

Shares425K

TypeSH

Market value$6.4K

2.68%

Sole

425K

Shared

0.00

None

0.00

Pfizer Inc.

DFND

Common

Shares143.50K

TypeSH

Market value$6.3K

2.64%

Sole

143.50K

Shared

0.00

None

0.00

Coliseum Acquisition Corp. Wts

DFND

Common

Shares495K

TypeSH

Market value$5.7K

2.40%

Sole

495K

Shared

0.00

None

0.00

African Gold Acquistion Corp. Warrants

DFND

Common

Shares450.75K

TypeSH

Market value$5.2K

2.18%

Sole

450.75K

Shared

0.00

None

0.00

Midwest Holding Inc.

DFND

Common

Shares390.24K

TypeSH

Market value$5.2K

2.17%

Sole

390.24K

Shared

0.00

None

0.00

Vertex Pharmaceuticals, Inc.

DFND

Common

Shares17K

TypeSH

Market value$4.9K

2.07%

Sole

17K

Shared

0.00

None

0.00

Johnson & Johnson

DFND

Common

Shares24.80K

TypeSH

Market value$4.1K

1.70%

Sole

24.80K

Shared

0.00

None

0.00

CTI BioPharma Corp.

DFND

Common

Shares566.69K

TypeSH

Market value$3.3K

1.39%

Sole

566.69K

Shared

0.00

None

0.00

Eiger BioPharmaceuticals, Inc.

DFND

Common

Shares409.29K

TypeSH

Market value$3.1K

1.30%

Sole

409.29K

Shared

0.00

None

0.00

Jazz Pharmaceuticals PLC

DFND

Common

Shares22.41K

TypeSH

Market value$3.0K

1.26%

Sole

22.41K

Shared

0.00

None

0.00

Glass Houses Acquisition Corp. Warrants

DFND

Common

Shares250K

TypeSH

Market value$2.9K

1.21%

Sole

250K

Shared

0.00

None

0.00

Kennedy-Wilson Holdings, Inc.

DFND

Common

Shares175K

TypeSH

Market value$2.7K

1.14%

Sole

175K

Shared

0.00

None

0.00

Horizon Therapeutics Public Ltd. Company

DFND

Common

Shares43.49K

TypeSH

Market value$2.7K

1.13%

Sole

43.49K

Shared

0.00

None

0.00

AbbVie Inc.

DFND

Common

Shares20.04K

TypeSH

Market value$2.7K

1.13%

Sole

20.04K

Shared

0.00

None

0.00

Xenon Pharmaceuticals Inc.

DFND

Common

Shares59.50K

TypeSH

Market value$2.1K

0.90%

Sole

59.50K

Shared

0.00

None

0.00

JP Morgan Chase

DFND

Common

Shares20.39K

TypeSH

Market value$2.1K

0.90%

Sole

20.39K

Shared

0.00

None

0.00

iPath Series B S&P 500 VIX Short-Term Fut

DFND

Common

Shares100K

TypeSH

Market value$2.1K

0.89%

Sole

100K

Shared

0.00

None

0.00

Merck & Co., Inc.

DFND

Common

Shares24.50K

TypeSH

Market value$2.1K

0.89%

Sole

24.50K

Shared

0.00

None

0.00

Medicus Science Acquisition, Corp.

DFND

Common

Shares200K

TypeSH

Market value$2.0K

0.83%

Sole

200K

Shared

0.00

None

0.00

Issuer	Class	Shares	Type	Value / Portfolio %	Voting — Sole
Calumet Specialty Products Partners, LPDFND	Common	4.44M	SH	$56.9K 23.93%	4.44M
DocGo, Inc.DFND	Common	1.40M	SH	$13.9K 5.84%	1.40M
Alphabet Inc Class CDFND	Common	112.22K	SH	$10.8K 4.54%	112.22K
Apollo Global Management, Inc.DFND	Common	225K	SH	$10.5K 4.40%	225K
Ligand Pharmaceuticals IncorporatedDFND	Common	115K	SH	$9.9K 4.17%	115K
Franklin BSP Realty Trust, Inc.DFND	Common	859.05K	SH	$9.3K 3.89%	859.05K
Fortress Trans & Infrastructure Inv. LLCDFND	Common	425K	SH	$6.4K 2.68%	425K
Pfizer Inc.DFND	Common	143.50K	SH	$6.3K 2.64%	143.50K
Coliseum Acquisition Corp. WtsDFND	Common	495K	SH	$5.7K 2.40%	495K
African Gold Acquistion Corp. WarrantsDFND	Common	450.75K	SH	$5.2K 2.18%	450.75K
Midwest Holding Inc.DFND	Common	390.24K	SH	$5.2K 2.17%	390.24K
Vertex Pharmaceuticals, Inc.DFND	Common	17K	SH	$4.9K 2.07%	17K
Johnson & JohnsonDFND	Common	24.80K	SH	$4.1K 1.70%	24.80K
CTI BioPharma Corp.DFND	Common	566.69K	SH	$3.3K 1.39%	566.69K
Eiger BioPharmaceuticals, Inc.DFND	Common	409.29K	SH	$3.1K 1.30%	409.29K
Jazz Pharmaceuticals PLCDFND	Common	22.41K	SH	$3.0K 1.26%	22.41K
Glass Houses Acquisition Corp. WarrantsDFND	Common	250K	SH	$2.9K 1.21%	250K
Kennedy-Wilson Holdings, Inc.DFND	Common	175K	SH	$2.7K 1.14%	175K
Horizon Therapeutics Public Ltd. CompanyDFND	Common	43.49K	SH	$2.7K 1.13%	43.49K
AbbVie Inc.DFND	Common	20.04K	SH	$2.7K 1.13%	20.04K
Xenon Pharmaceuticals Inc.DFND	Common	59.50K	SH	$2.1K 0.90%	59.50K
JP Morgan ChaseDFND	Common	20.39K	SH	$2.1K 0.90%	20.39K
iPath Series B S&P 500 VIX Short-Term FutDFND	Common	100K	SH	$2.1K 0.89%	100K
Merck & Co., Inc.DFND	Common	24.50K	SH	$2.1K 0.89%	24.50K
Medicus Science Acquisition, Corp.DFND	Common	200K	SH	$2.0K 0.83%	200K

Page 1 of 8

…