KNOTT DAVID M JR

Filed: 11/12/2025ACC: 0001104659-25-110124

📋 What this filing means

KNOTT DAVID M JR filed this quarterly 13F‑HR report disclosing 88 equity positions with a total reported market value of $247.97M. This filing provides a transparent view of the manager's long equity holdings as of the quarter end.

Positions

$247.97M

Total AUM (reported)

12.60M

Total Shares

Allocation by class

COMMON$247.97M100.0%

Portfolio Concentration

Top 3$108.88M43.9%

4–10$64.52M26.0%

11–25$44.96M18.1%

Rest$29.61M11.9%

Top 3 weight

43.9%

Top 10 weight

69.9%

Voting Authority Distribution

Total shares with voting rights: 12.60M

Sole

Full voting authority

12.60M

% 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

Other88

Dominant voting typeSole · 100.0% of voting shares

Institutional Holdings88

Rows:

Calumet, Inc.

DFND

Common

Shares2.83M

TypeSH

Market value$51.56M

20.79%

Sole

2.83M

Shared

0.00

None

0.00

Apollo Global Management, Inc.

DFND

Common

Shares225K

TypeSH

Market value$29.99M

12.09%

Sole

225K

Shared

0.00

None

0.00

Alphabet Inc-Cl C

DFND

Common

Shares112.22K

TypeSH

Market value$27.33M

11.02%

Sole

112.22K

Shared

0.00

None

0.00

Janus Henderson AAA CLO ETF

DFND

Common

Shares437.75K

TypeSH

Market value$22.23M

8.96%

Sole

437.75K

Shared

0.00

None

0.00

Darling Ingredients Inc.

DFND

Common

Shares300K

TypeSH

Market value$9.26M

3.73%

Sole

300K

Shared

0.00

None

0.00

Xeris Biopharma Holdings, Inc.

DFND

Common

Shares1.01M

TypeSH

Market value$8.26M

3.33%

Sole

1.01M

Shared

0.00

None

0.00

Syndax Pharmaceutical, Inc.

DFND

Common

Shares428K

TypeSH

Market value$6.58M

2.66%

Sole

428K

Shared

0.00

None

0.00

JPMorgan Chase & Co.

DFND

Common

Shares20.37K

TypeSH

Market value$6.43M

2.59%

Sole

20.37K

Shared

0.00

None

0.00

Travere Therapeutics, Inc.

DFND

Common

Shares260K

TypeSH

Market value$6.21M

2.51%

Sole

260K

Shared

0.00

None

0.00

Avadel Pharmaceuticals plc

DFND

Common

Shares363K

TypeSH

Market value$5.54M

2.24%

Sole

363K

Shared

0.00

None

0.00

Protagonist Therapeutics, Inc

DFND

Common

Shares83K

TypeSH

Market value$5.51M

2.22%

Sole

83K

Shared

0.00

None

0.00

Bridgebio Pharma, Inc.

DFND

Common

Shares85K

TypeSH

Market value$4.41M

1.78%

Sole

85K

Shared

0.00

None

0.00

DocGo, Inc.

DFND

Common

Shares3.07M

TypeSH

Market value$4.18M

1.68%

Sole

3.07M

Shared

0.00

None

0.00

Verona Pharma PLC.

DFND

Common

Shares38.35K

TypeSH

Market value$4.09M

1.65%

Sole

38.35K

Shared

0.00

None

0.00

LENZ Therapeutics, Inc.

DFND

Common

Shares82K

TypeSH

Market value$3.82M

1.54%

Sole

82K

Shared

0.00

None

0.00

Catalyst Pharmaceuticals, Inc.

DFND

Common

Shares189K

TypeSH

Market value$3.72M

1.50%

Sole

189K

Shared

0.00

None

0.00

Rezolute, Inc.

DFND

Common

Shares275K

TypeSH

Market value$2.58M

1.04%

Sole

275K

Shared

0.00

None

0.00

Viridian Therapeutics, Inc.

DFND

Common

Shares116.57K

TypeSH

Market value$2.52M

1.01%

Sole

116.57K

Shared

0.00

None

0.00

CSX Corporation

DFND

Common

Shares70K

TypeSH

Market value$2.48M

1.00%

Sole

70K

Shared

0.00

None

0.00

Liquidia Corporation

DFND

Common

Shares107.78K

TypeSH

Market value$2.45M

0.99%

Sole

107.78K

Shared

0.00

None

0.00

Arcellx Inc

DFND

Common

Shares25.70K

TypeSH

Market value$2.11M

0.85%

Sole

25.70K

Shared

0.00

None

0.00

Pfizer Inc.

DFND

Common

Shares74.54K

TypeSH

Market value$1.90M

0.77%

Sole

74.54K

Shared

0.00

None

0.00

AllianceBernstein Holding L.P.

DFND

Common

Shares48K

TypeSH

Market value$1.83M

0.74%

Sole

48K

Shared

0.00

None

0.00

AtriCure, Inc.

DFND

Common

Shares48K

TypeSH

Market value$1.69M

0.68%

Sole

48K

Shared

0.00

None

0.00

Cytokinetics, Incorporated

DFND

Common

Shares30K

TypeSH

Market value$1.65M

0.66%

Sole

30K

Shared

0.00

None

0.00

Issuer	Class	Shares	Type	Value / Portfolio %	Voting — Sole
Calumet, Inc.DFND	Common	2.83M	SH	$51.56M 20.79%	2.83M
Apollo Global Management, Inc.DFND	Common	225K	SH	$29.99M 12.09%	225K
Alphabet Inc-Cl CDFND	Common	112.22K	SH	$27.33M 11.02%	112.22K
Janus Henderson AAA CLO ETFDFND	Common	437.75K	SH	$22.23M 8.96%	437.75K
Darling Ingredients Inc.DFND	Common	300K	SH	$9.26M 3.73%	300K
Xeris Biopharma Holdings, Inc.DFND	Common	1.01M	SH	$8.26M 3.33%	1.01M
Syndax Pharmaceutical, Inc.DFND	Common	428K	SH	$6.58M 2.66%	428K
JPMorgan Chase & Co.DFND	Common	20.37K	SH	$6.43M 2.59%	20.37K
Travere Therapeutics, Inc.DFND	Common	260K	SH	$6.21M 2.51%	260K
Avadel Pharmaceuticals plcDFND	Common	363K	SH	$5.54M 2.24%	363K
Protagonist Therapeutics, IncDFND	Common	83K	SH	$5.51M 2.22%	83K
Bridgebio Pharma, Inc.DFND	Common	85K	SH	$4.41M 1.78%	85K
DocGo, Inc.DFND	Common	3.07M	SH	$4.18M 1.68%	3.07M
Verona Pharma PLC.DFND	Common	38.35K	SH	$4.09M 1.65%	38.35K
LENZ Therapeutics, Inc.DFND	Common	82K	SH	$3.82M 1.54%	82K
Catalyst Pharmaceuticals, Inc.DFND	Common	189K	SH	$3.72M 1.50%	189K
Rezolute, Inc.DFND	Common	275K	SH	$2.58M 1.04%	275K
Viridian Therapeutics, Inc.DFND	Common	116.57K	SH	$2.52M 1.01%	116.57K
CSX CorporationDFND	Common	70K	SH	$2.48M 1.00%	70K
Liquidia CorporationDFND	Common	107.78K	SH	$2.45M 0.99%	107.78K
Arcellx IncDFND	Common	25.70K	SH	$2.11M 0.85%	25.70K
Pfizer Inc.DFND	Common	74.54K	SH	$1.90M 0.77%	74.54K
AllianceBernstein Holding L.P.DFND	Common	48K	SH	$1.83M 0.74%	48K
AtriCure, Inc.DFND	Common	48K	SH	$1.69M 0.68%	48K
Cytokinetics, IncorporatedDFND	Common	30K	SH	$1.65M 0.66%	30K

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