Filed: 11/13/2023ACC: 0001104659-23-116961
📋 What this filing means
KNOTT DAVID M JR filed this quarterly 13F‑HR report disclosing 132 equity positions with a total reported market value of $261.9K. This filing provides a transparent view of the manager's long equity holdings as of the quarter end.
132
Positions
$261.9K
Total AUM (reported)
15.40M
Total Shares
Allocation by class
COMMON$261.9K100.0%
Portfolio Concentration
Top 3$117.9K45.0%
4–10$59.6K22.8%
11–25$44.0K16.8%
Rest$40.4K15.4%
Top 3 weight
45.0%
Top 10 weight
67.8%
Voting Authority Distribution
Total shares with voting rights: 15.40M
Sole
Full voting authority
15.40M
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
Other132
Dominant voting typeSole · 100.0% of voting shares
Institutional Holdings132
Rows:
Calumet Specialty Products Partners, LP
DFNDShares4.33M
TypeSH
Market value$82.6K
31.54%
Sole
4.33M
Shared
0.00
None
0.00
Apollo Global Management, Inc.
DFNDShares225K
TypeSH
Market value$20.2K
7.71%
Sole
225K
Shared
0.00
None
0.00
FTAI Aviation Ltd.
DFNDShares425K
TypeSH
Market value$15.1K
5.77%
Sole
425K
Shared
0.00
None
0.00
Alphabet Inc-Cl C
DFNDShares112.22K
TypeSH
Market value$14.8K
5.65%
Sole
112.22K
Shared
0.00
None
0.00
DocGo, Inc.
DFNDShares1.93M
TypeSH
Market value$10.3K
3.92%
Sole
1.93M
Shared
0.00
None
0.00
Midwest Holding Inc.
DFNDShares390.24K
TypeSH
Market value$10.2K
3.90%
Sole
390.24K
Shared
0.00
None
0.00
Ligand Pharmaceuticals Incorporated
DFNDShares115K
TypeSH
Market value$6.9K
2.63%
Sole
115K
Shared
0.00
None
0.00
Ardelyx, Inc.
DFNDShares1.50M
TypeSH
Market value$6.1K
2.34%
Sole
1.50M
Shared
0.00
None
0.00
Coliseum Acquisition Corp. Wts
DFNDShares495K
TypeSH
Market value$5.7K
2.17%
Sole
495K
Shared
0.00
None
0.00
OmniAb Inc.
DFNDShares1.09M
TypeSH
Market value$5.6K
2.15%
Sole
1.09M
Shared
0.00
None
0.00
CALLS/Calumet Specialty Product @20 ex1/24
DFNDShares251K
TypeSH
Market value$4.8K
1.83%
Sole
251K
Shared
0.00
None
0.00
Franklin BSP Realty Trust, Inc.
DFNDShares327.52K
TypeSH
Market value$4.3K
1.66%
Sole
327.52K
Shared
0.00
None
0.00
Seagen Inc.
DFNDShares18K
TypeSH
Market value$3.8K
1.46%
Sole
18K
Shared
0.00
None
0.00
Pfizer Inc.
DFNDShares97.54K
TypeSH
Market value$3.2K
1.24%
Sole
97.54K
Shared
0.00
None
0.00
The Panagram BBB-B CLO ETF
DFNDShares121.03K
TypeSH
Market value$3.2K
1.21%
Sole
121.03K
Shared
0.00
None
0.00
JPMorgan Chase & Co.
DFNDShares20.98K
TypeSH
Market value$3.0K
1.16%
Sole
20.98K
Shared
0.00
None
0.00
Sanofi
DFNDShares56K
TypeSH
Market value$3.0K
1.15%
Sole
56K
Shared
0.00
None
0.00
Jazz Pharmaceuticals PLC
DFNDShares22.41K
TypeSH
Market value$2.9K
1.11%
Sole
22.41K
Shared
0.00
None
0.00
Coherus Biosciences, Inc.
DFNDShares630K
TypeSH
Market value$2.4K
0.90%
Sole
630K
Shared
0.00
None
0.00
GSK plc
DFNDShares65K
TypeSH
Market value$2.4K
0.90%
Sole
65K
Shared
0.00
None
0.00
MorphoSys AG
DFNDShares345K
TypeSH
Market value$2.3K
0.88%
Sole
345K
Shared
0.00
None
0.00
Avadel Pharmaceuticals plc
DFNDShares221.85K
TypeSH
Market value$2.3K
0.87%
Sole
221.85K
Shared
0.00
None
0.00
Madrigal Pharmaaceuticals, Inc.
DFNDShares15K
TypeSH
Market value$2.2K
0.84%
Sole
15K
Shared
0.00
None
0.00
CSX Corporation
DFNDShares70K
TypeSH
Market value$2.2K
0.82%
Sole
70K
Shared
0.00
None
0.00
Viking Therapeutics, Inc.
DFNDShares185.56K
TypeSH
Market value$2.1K
0.78%
Sole
185.56K
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 | $82.6K 31.54% | 4.33M | 0.00 | 0.00 |
Apollo Global Management, Inc.DFND | Common | 225K | SH | $20.2K 7.71% | 225K | 0.00 | 0.00 |
FTAI Aviation Ltd.DFND | Common | 425K | SH | $15.1K 5.77% | 425K | 0.00 | 0.00 |
Alphabet Inc-Cl CDFND | Common | 112.22K | SH | $14.8K 5.65% | 112.22K | 0.00 | 0.00 |
DocGo, Inc.DFND | Common | 1.93M | SH | $10.3K 3.92% | 1.93M | 0.00 | 0.00 |
Midwest Holding Inc.DFND | Common | 390.24K | SH | $10.2K 3.90% | 390.24K | 0.00 | 0.00 |
Ligand Pharmaceuticals IncorporatedDFND | Common | 115K | SH | $6.9K 2.63% | 115K | 0.00 | 0.00 |
Ardelyx, Inc.DFND | Common | 1.50M | SH | $6.1K 2.34% | 1.50M | 0.00 | 0.00 |
Coliseum Acquisition Corp. WtsDFND | Common | 495K | SH | $5.7K 2.17% | 495K | 0.00 | 0.00 |
OmniAb Inc.DFND | Common | 1.09M | SH | $5.6K 2.15% | 1.09M | 0.00 | 0.00 |
CALLS/Calumet Specialty Product @20 ex1/24DFND | Common | 251K | SH | $4.8K 1.83% | 251K | 0.00 | 0.00 |
Franklin BSP Realty Trust, Inc.DFND | Common | 327.52K | SH | $4.3K 1.66% | 327.52K | 0.00 | 0.00 |
Seagen Inc.DFND | Common | 18K | SH | $3.8K 1.46% | 18K | 0.00 | 0.00 |
Pfizer Inc.DFND | Common | 97.54K | SH | $3.2K 1.24% | 97.54K | 0.00 | 0.00 |
The Panagram BBB-B CLO ETFDFND | Common | 121.03K | SH | $3.2K 1.21% | 121.03K | 0.00 | 0.00 |
JPMorgan Chase & Co.DFND | Common | 20.98K | SH | $3.0K 1.16% | 20.98K | 0.00 | 0.00 |
SanofiDFND | Common | 56K | SH | $3.0K 1.15% | 56K | 0.00 | 0.00 |
Jazz Pharmaceuticals PLCDFND | Common | 22.41K | SH | $2.9K 1.11% | 22.41K | 0.00 | 0.00 |
Coherus Biosciences, Inc.DFND | Common | 630K | SH | $2.4K 0.90% | 630K | 0.00 | 0.00 |
GSK plcDFND | Common | 65K | SH | $2.4K 0.90% | 65K | 0.00 | 0.00 |
MorphoSys AGDFND | Common | 345K | SH | $2.3K 0.88% | 345K | 0.00 | 0.00 |
Avadel Pharmaceuticals plcDFND | Common | 221.85K | SH | $2.3K 0.87% | 221.85K | 0.00 | 0.00 |
Madrigal Pharmaaceuticals, Inc.DFND | Common | 15K | SH | $2.2K 0.84% | 15K | 0.00 | 0.00 |
CSX CorporationDFND | Common | 70K | SH | $2.2K 0.82% | 70K | 0.00 | 0.00 |
Viking Therapeutics, Inc.DFND | Common | 185.56K | SH | $2.1K 0.78% | 185.56K | 0.00 | 0.00 |
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