Filed: 8/11/2023ACC: 0001104659-23-090105
📋 What this filing means
KNOTT DAVID M JR filed this quarterly 13F‑HR report disclosing 149 equity positions with a total reported market value of $251.3K. This filing provides a transparent view of the manager's long equity holdings as of the quarter end.
149
Positions
$251.3K
Total AUM (reported)
15.26M
Total Shares
Allocation by class
COMMON$251.3K100.0%
Portfolio Concentration
Top 3$99.5K39.6%
4–10$62.4K24.8%
11–25$50.2K20.0%
Rest$39.2K15.6%
Top 3 weight
39.6%
Top 10 weight
64.4%
Voting Authority Distribution
Total shares with voting rights: 15.26M
Sole
Full voting authority
15.26M
shares
% of voting shares100.0%
Shared
Joint voting authority
0.00
shares
% of voting shares0.0%
None
No voting authority
0.00
shares
% of voting shares0.0%
Investment Discretion (by position count)
Sole0
Shared0
Other149
Dominant voting typeSole · 100.0% of voting shares
Institutional Holdings149
Rows:
Calumet Specialty Products Partners, LP
DFNDShares4.33M
TypeSH
Market value$68.6K
27.30%
Sole
4.33M
Shared
0.00
None
0.00
Apollo Global Management, Inc.
DFNDShares225K
TypeSH
Market value$17.3K
6.88%
Sole
225K
Shared
0.00
None
0.00
Alphabet Inc-Cl C
DFNDShares112.22K
TypeSH
Market value$13.6K
5.40%
Sole
112.22K
Shared
0.00
None
0.00
FTAI Aviation Ltd.
DFNDShares425K
TypeSH
Market value$13.5K
5.36%
Sole
425K
Shared
0.00
None
0.00
DocGo, Inc.
DFNDShares1.40M
TypeSH
Market value$13.1K
5.22%
Sole
1.40M
Shared
0.00
None
0.00
Midwest Holding Inc.
DFNDShares390.24K
TypeSH
Market value$10.3K
4.09%
Sole
390.24K
Shared
0.00
None
0.00
Ligand Pharmaceuticals Incorporated
DFNDShares115K
TypeSH
Market value$8.3K
3.30%
Sole
115K
Shared
0.00
None
0.00
Franklin BSP Realty Trust, Inc.
DFNDShares429.05K
TypeSH
Market value$6.1K
2.42%
Sole
429.05K
Shared
0.00
None
0.00
Coliseum Acquisition Corp. Wts
DFNDShares495K
TypeSH
Market value$5.7K
2.27%
Sole
495K
Shared
0.00
None
0.00
OmniAB, Inc.
DFNDShares1.09M
TypeSH
Market value$5.5K
2.17%
Sole
1.09M
Shared
0.00
None
0.00
African Gold Acquistion Corp. Warrants
DFNDShares450.75K
TypeSH
Market value$5.2K
2.06%
Sole
450.75K
Shared
0.00
None
0.00
Ardelyx, Inc.
DFNDShares1.50M
TypeSH
Market value$5.1K
2.02%
Sole
1.50M
Shared
0.00
None
0.00
CALLS/Calumet Specialty Product @20 ex1/24
DFNDShares251K
TypeSH
Market value$4.0K
1.58%
Sole
251K
Shared
0.00
None
0.00
Avadel Pharmaceuticals plc
DFNDShares240.63K
TypeSH
Market value$4.0K
1.58%
Sole
240.63K
Shared
0.00
None
0.00
Pfizer Inc.
DFNDShares97.54K
TypeSH
Market value$3.6K
1.42%
Sole
97.54K
Shared
0.00
None
0.00
IVERIC bio, Inc.
DFNDShares87K
TypeSH
Market value$3.4K
1.36%
Sole
87K
Shared
0.00
None
0.00
Madrigal Pharmaaceuticals, Inc.
DFNDShares14K
TypeSH
Market value$3.2K
1.29%
Sole
14K
Shared
0.00
None
0.00
Seagen Inc.
DFNDShares16.50K
TypeSH
Market value$3.2K
1.26%
Sole
16.50K
Shared
0.00
None
0.00
JPMorgan Chase & Co.
DFNDShares20.98K
TypeSH
Market value$3.1K
1.21%
Sole
20.98K
Shared
0.00
None
0.00
Sanofi
DFNDShares56K
TypeSH
Market value$3.0K
1.20%
Sole
56K
Shared
0.00
None
0.00
Horizon Therapeutics Public Ltd. Company
DFNDShares27.19K
TypeSH
Market value$2.8K
1.11%
Sole
27.19K
Shared
0.00
None
0.00
Jazz Pharmaceuticals PLC
DFNDShares22.41K
TypeSH
Market value$2.8K
1.11%
Sole
22.41K
Shared
0.00
None
0.00
CSX Corporation
DFNDShares70K
TypeSH
Market value$2.4K
0.95%
Sole
70K
Shared
0.00
None
0.00
GSK PLC
DFNDShares65K
TypeSH
Market value$2.3K
0.92%
Sole
65K
Shared
0.00
None
0.00
Seres Therapeutics, Inc.
DFNDShares470K
TypeSH
Market value$2.3K
0.90%
Sole
470K
Shared
0.00
None
0.00
| Issuer | Class | Shares | Type | Value / Portfolio % | Voting — Sole | Shared | None |
|---|---|---|---|---|---|---|---|
Calumet Specialty Products Partners, LPDFND | Common | 4.33M | SH | $68.6K 27.30% | 4.33M | 0.00 | 0.00 |
Apollo Global Management, Inc.DFND | Common | 225K | SH | $17.3K 6.88% | 225K | 0.00 | 0.00 |
Alphabet Inc-Cl CDFND | Common | 112.22K | SH | $13.6K 5.40% | 112.22K | 0.00 | 0.00 |
FTAI Aviation Ltd.DFND | Common | 425K | SH | $13.5K 5.36% | 425K | 0.00 | 0.00 |
DocGo, Inc.DFND | Common | 1.40M | SH | $13.1K 5.22% | 1.40M | 0.00 | 0.00 |
Midwest Holding Inc.DFND | Common | 390.24K | SH | $10.3K 4.09% | 390.24K | 0.00 | 0.00 |
Ligand Pharmaceuticals IncorporatedDFND | Common | 115K | SH | $8.3K 3.30% | 115K | 0.00 | 0.00 |
Franklin BSP Realty Trust, Inc.DFND | Common | 429.05K | SH | $6.1K 2.42% | 429.05K | 0.00 | 0.00 |
Coliseum Acquisition Corp. WtsDFND | Common | 495K | SH | $5.7K 2.27% | 495K | 0.00 | 0.00 |
OmniAB, Inc.DFND | Common | 1.09M | SH | $5.5K 2.17% | 1.09M | 0.00 | 0.00 |
African Gold Acquistion Corp. WarrantsDFND | Common | 450.75K | SH | $5.2K 2.06% | 450.75K | 0.00 | 0.00 |
Ardelyx, Inc.DFND | Common | 1.50M | SH | $5.1K 2.02% | 1.50M | 0.00 | 0.00 |
CALLS/Calumet Specialty Product @20 ex1/24DFND | Common | 251K | SH | $4.0K 1.58% | 251K | 0.00 | 0.00 |
Avadel Pharmaceuticals plcDFND | Common | 240.63K | SH | $4.0K 1.58% | 240.63K | 0.00 | 0.00 |
Pfizer Inc.DFND | Common | 97.54K | SH | $3.6K 1.42% | 97.54K | 0.00 | 0.00 |
IVERIC bio, Inc.DFND | Common | 87K | SH | $3.4K 1.36% | 87K | 0.00 | 0.00 |
Madrigal Pharmaaceuticals, Inc.DFND | Common | 14K | SH | $3.2K 1.29% | 14K | 0.00 | 0.00 |
Seagen Inc.DFND | Common | 16.50K | SH | $3.2K 1.26% | 16.50K | 0.00 | 0.00 |
JPMorgan Chase & Co.DFND | Common | 20.98K | SH | $3.1K 1.21% | 20.98K | 0.00 | 0.00 |
SanofiDFND | Common | 56K | SH | $3.0K 1.20% | 56K | 0.00 | 0.00 |
Horizon Therapeutics Public Ltd. CompanyDFND | Common | 27.19K | SH | $2.8K 1.11% | 27.19K | 0.00 | 0.00 |
Jazz Pharmaceuticals PLCDFND | Common | 22.41K | SH | $2.8K 1.11% | 22.41K | 0.00 | 0.00 |
CSX CorporationDFND | Common | 70K | SH | $2.4K 0.95% | 70K | 0.00 | 0.00 |
GSK PLCDFND | Common | 65K | SH | $2.3K 0.92% | 65K | 0.00 | 0.00 |
Seres Therapeutics, Inc.DFND | Common | 470K | SH | $2.3K 0.90% | 470K | 0.00 | 0.00 |
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