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Livermore
Livermore
ZHEN

Knott David M

SEC CIK
0000808722
Latest filing
Nov 12, 2021

Holdings in Q3 2021

Holdings as of Sep 30, 2021, filed Nov 12, 2021. Long positions only; changes compare share counts with Q2 2021.

Institution overview
Positions
149
+3 vs. Q2 2021
Portfolio value
$239.9M
−$19.7M (−7.6%) vs. Q2 2021
Filed
Nov 12, 2021
SEC
Holdings of Knott David M in Q3 2021
SecurityClassSharesValue% of portfolioShare changeActionHistory
RMRRMR Group Inc.CL A16$1.00K<0.1%00.0%UnchangedHistory
WABWestinghouse Air Brake Technologies CorpStock17$2.00K<0.1%00.0%UnchangedHistory
Alps ETF Tr00162Q452ALERIAN MLP120$4.00K<0.1%00.0%Unchanged–
OGNOrganon & Co.Stock147$5.00K<0.1%+17+13.1%AddedHistory
SCUSculptor Capital Management, Inc.COM CL A200$6.00K<0.1%00.0%UnchangedHistory
Occidental Pete Corp WT Exp 080327674599162Stock297$7.00K<0.1%−73−19.7%Reduced–
STWDStarwood Property Trust, Inc.COM400$10.0K<0.1%00.0%UnchangedHistory
SVCService Properties TrustCOM SH BEN INT1,000$11.0K<0.1%00.0%UnchangedHistory
SMITSchmitt Industries IncCOM NEW2,500$11.0K<0.1%+2,500NewHistory
Brookline Cap Acquisition Co11374E112*W EXP 08/31/2022,000$23.0K<0.1%00.0%Unchanged–
BNSBank of Nova ScotiaCOM400$25.0K<0.1%00.0%UnchangedHistory
AOUTAmerican Outdoor Brands, Inc.Common1,024$25.0K<0.1%+1,024NewHistory
PBCTPeople's United Financial, Inc.COM1,500$26.0K<0.1%00.0%UnchangedHistory
CCChemours CoStock920$27.0K<0.1%00.0%UnchangedHistory
EXPEagle Materials IncCOM228$30.0K<0.1%00.0%UnchangedHistory
Brookline Cap Acquisition Co11374E104COM4,000$40.0K<0.1%00.0%Unchanged–
HYPRHyperfine, Inc.CL A SHS4,000$40.0K<0.1%00.0%UnchangedHistory
CFFNCapitol Federal Financial, Inc.COM4,000$46.0K<0.1%+200+5.3%AddedHistory
GEGeneral Electric CoCOM450$46.0K<0.1%+15+3.4%AddedConverted for a 1-for-8 splitHistory
OXYOccidental Petroleum CorpStock1,801$53.0K<0.1%−586−24.5%ReducedHistory
PRTSCarParts.com, Inc.COM3,700$58.0K<0.1%00.0%UnchangedHistory
LLYEli Lilly & CoStock300$69.0K<0.1%00.0%UnchangedHistory
Sailpoint Technologies Holdings, Inc.78781P105COM1,700$73.0K<0.1%00.0%Unchanged–
DBRGDigitalBridge Group, Inc.CL A COM12,466$75.0K<0.1%00.0%UnchangedHistory
CRISCuris IncCOM NEW10,000$78.0K<0.1%00.0%UnchangedHistory
TPSTTempest Therapeutics, Inc.Common5,359$78.0K<0.1%+5,359NewHistory
SWBISmith & Wesson Brands, Inc.COM4,097$85.0K<0.1%+4,097NewHistory
TMUST-Mobile US, Inc.Stock700$89.0K<0.1%00.0%UnchangedHistory
Independence Holdings CorpG4761A101CLASS A ORD SHS9,500$93.0K<0.1%00.0%Unchanged–
IOVAIovance Biotherapeutics, Inc.COM4,000$99.0K<0.1%+4,000NewHistory
State Street SPDR S&P Biotech ETF78464A870ETF800$101.0K<0.1%00.0%Unchanged–
KHCKraft Heinz CoStock2,732$101.0K<0.1%−1,169−30.0%ReducedHistory
FNBFNB CorpCOM8,905$103.0K<0.1%00.0%UnchangedHistory
LKFTLakefront Biotherapeutics NVSPON ADR2,000$105.0K<0.1%00.0%UnchangedHistory
MRKMerck & Co., Inc.Stock1,475$111.0K<0.1%+175+13.5%AddedHistory
ZYMEZymeworks Inc.COM4,000$116.0K<0.1%+4,000NewHistory
TTETotalEnergies SESPONSORED ADS2,500$120.0K0.1%+40+1.6%AddedHistory
MDTMedtronic plcStock1,050$132.0K0.1%00.0%UnchangedHistory
Heritage Nola Bancorp, Inc.42727P108Common9,000$139.0K0.1%00.0%Unchanged–
TIGRUP Fintech Holding LtdSPONSORED ADS13,736$145.0K0.1%00.0%UnchangedHistory
RLMDRelmada Therapeutics, Inc.COM6,000$157.0K0.1%00.0%UnchangedHistory
SSBSouthState Bank CorpCOM2,135$160.0K0.1%+53+2.5%AddedHistory
LEGHLegacy Housing CorpCOM9,000$162.0K0.1%00.0%UnchangedHistory
ALIMAlimera Sciences IncCOM NEW38,226$162.0K0.1%00.0%UnchangedHistory
VLYValley National BancorpCOM12,800$171.0K0.1%+320+2.6%AddedHistory
XLRNAcceleron Pharma IncCOM1,000$172.0K0.1%+1,000NewHistory
SEELSeelos Therapeutics, Inc.COM72,367$174.0K0.1%00.0%UnchangedHistory
SIOXSio Gene Therapies Inc.COMMON80,000$174.0K0.1%00.0%UnchangedHistory
African Gold Acquisition CorG0112R108SHS CL A18,000$175.0K0.1%−50,000−73.5%Reduced–
CTICCti Biopharma CorpCOM60,000$177.0K0.1%00.0%UnchangedHistory
JMIAJumia Technologies AGSPONSORED ADS9,800$182.0K0.1%00.0%UnchangedHistory
PSTXPoseida Therapeutics, Inc.COM29,566$216.0K0.1%00.0%UnchangedHistory
CRSPCRISPR Therapeutics AGNAMEN AKT2,000$224.0K0.1%00.0%UnchangedHistory
CDXSCodexis, Inc.COM10,000$233.0K0.1%+10,000NewHistory
ALXOAlx Oncology Holdings IncCommon3,200$236.0K0.1%00.0%UnchangedHistory
Warrior Technologies Acqui C936273101COM CL A25,000$245.0K0.1%00.0%Unchanged–
TARAProtara Therapeutics, Inc.COM STK36,479$252.0K0.1%+315+0.9%AddedHistory
FSBWFS Bancorp, Inc.COM7,300$253.0K0.1%+146+2.0%AddedConverted for a 2-for-1 splitHistory
BRSLBrightstar Lottery PLCSHS USD10,500$276.0K0.1%−97,000−90.2%ReducedHistory
AAPLApple Inc.Stock2,100$297.0K0.1%00.0%UnchangedHistory
METAMeta Platforms, Inc.Stock990$336.0K0.1%00.0%UnchangedHistory
CAGConagra Brands Inc.Stock10,000$339.0K0.1%00.0%UnchangedHistory
Ibere PharmaceuticalsG46843101SHS CL A36,000$349.0K0.1%00.0%Unchanged–
GMEDGlobus Medical IncStock4,631$355.0K0.1%00.0%UnchangedHistory
IMVTImmunovant, Inc.COM42,600$370.0K0.2%−54,694−56.2%ReducedHistory
MSFTMicrosoft CorpStock1,400$395.0K0.2%00.0%UnchangedHistory
WPCW. P. Carey Inc.COM6,000$438.0K0.2%00.0%UnchangedHistory
BFLYButterfly Network, Inc.COM CL A45,760$478.0K0.2%00.0%UnchangedHistory
CTVACorteva, Inc.Stock12,075$508.0K0.2%+42+0.3%AddedHistory
Macquire Infrastructure Corp556088105Common13,350$542.0K0.2%+13,350New–
TAT&T Inc.Stock20,125$543.0K0.2%+75+0.4%AddedHistory
LGVLongview Acquisition Corp. IICOM CL A63,900$632.0K0.3%00.0%UnchangedHistory
CNQCanadian Natural Resources LtdCOM18,885$690.0K0.3%−3,400−15.3%ReducedHistory
DOWDow Inc.Stock12,160$700.0K0.3%+42+0.3%AddedHistory
KOCoca Cola CoStock13,400$703.0K0.3%00.0%UnchangedHistory
QUOTQuotient Technology Inc.COM125,000$728.0K0.3%00.0%UnchangedHistory
Colombier Acquisition Corp19533H108CL A80,000$774.0K0.3%+80,000New–
KMBKimberly Clark CorpStock6,000$795.0K0.3%00.0%UnchangedHistory
DDDuPont de Nemours, Inc.COM12,160$826.0K0.3%+42+0.3%AddedHistory
JNJJohnson & JohnsonStock5,200$840.0K0.4%−880−14.5%ReducedHistory
Aslan Pharmaceuticals Ltd04522R101ADS478,186$851.0K0.4%00.0%Unchanged–
ABBVAbbVie Inc.Stock8,000$863.0K0.4%00.0%UnchangedHistory
MRNSMarinus Pharmaceuticals, Inc.COM NEW81,166$924.0K0.4%00.0%UnchangedHistory
CDTXCidara Therapeutics, Inc.COM415,308$930.0K0.4%00.0%UnchangedHistory
MDLZMondelez International, Inc.Stock16,000$931.0K0.4%+100+0.6%AddedHistory
VZVerizon Communications IncStock17,991$972.0K0.4%+280+1.6%AddedHistory
Roth CH Acquisition III Co77867Q102COM100,000$994.0K0.4%00.0%Unchanged–
RHPRyman Hospitality Properties, Inc.COM12,400$1.04M0.4%00.0%UnchangedHistory
GILDGilead Sciences, Inc.Stock15,481$1.08M0.5%00.0%UnchangedHistory
VKTXViking Therapeutics, Inc.COM208,102$1.31M0.5%00.0%UnchangedHistory
AUPHAurinia Pharmaceuticals Inc.COM62,896$1.39M0.6%−101,944−61.8%ReducedHistory
XENEXenon Pharmaceuticals Inc.COM94,488$1.44M0.6%−46,063−32.8%ReducedHistory
QUREuniQure N.V.SHS46,766$1.50M0.6%00.0%UnchangedHistory
CHRSCoherus Oncology, Inc.COM102,555$1.65M0.7%+2,900+2.9%AddedHistory
TGTXTG Therapeutics, Inc.COM49,592$1.65M0.7%−781−1.6%ReducedHistory
B Riley Principal 150 Merger05601V103COM CL A176,963$1.73M0.7%−350,000−66.4%Reduced–
INCYIncyte CorpCOM26,475$1.82M0.8%+26,475NewHistory
ZGNXZogenix, Inc.COM NEW124,688$1.89M0.8%00.0%UnchangedHistory
INVAInnoviva, Inc.COM115,269$1.93M0.8%+67,471+141.2%AddedHistory
Medicus Sciences AcquisitionG5960S108CL A SHS200,000$1.95M0.8%+200,000New–

Options (1)

Puts and calls in the same filing. Amounts are the market value of the underlying shares, which is what 13F reports.

Option positions of Knott David M in Q3 2021
SecurityClassPutsCalls
Greenidge Generation Holdings Inc.39531G950Common$11.5M–

Sold out since Q2 2021 (17)

Positions held at the end of Q2 2021 that are gone from this filing.

Positions of Knott David M sold out since Q2 2021
SecurityClassShares in Q2 2021Value in Q2 2021% of portfolio in Q2 2021History
MITAUColiseum Acquisition Corp.UNIT 04/02/20281,485,000$14.7M5.7%History
Pershing Square Tontine Hldg71531R109COM CL A275,000$6.26M2.4%–
CNSTConstellation Pharmaceuticals IncCOM91,909$3.11M1.2%History
HZONHorizon Acquisition Corp IISHS CL A210,100$2.09M0.8%History
Medicus Science Acquisition, Corp.G59605108Common200,000$1.93M0.7%–
INSEInspired Entertainment, Inc.COM100,000$1.27M0.5%History
Colombier Acquisition Corp19533H207UNIT 99/99/999980,000$794.0K0.3%–
IBMInternational Business Machines CorpStock4,284$628.0K0.2%History
Macquarie Infrastructure Cor55608B105COM13,150$503.0K0.2%–
PRGOPERRIGO Co plcSHS4,915$225.0K0.1%History
TPSTTempest Therapeutics, Inc.COM13,833$155.0K0.1%History
CUZCousins Properties IncCOM NEW3,357$123.0K<0.1%History
EDITEditas Medicine, Inc.COM1,000$57.0K<0.1%History
VRCAVerrica Pharmaceuticals Inc.COM1,375$16.0K<0.1%History
VTRSViatris IncStock794$11.0K<0.1%History
Arc Resources Ltd00208D408COM1,348$11.0K<0.1%–
Capitol Investment Corp V14064F118*W EXP 99/99/99983,333–––