Q2 2023 · 13F-HR
Knott David M Jrholdings as filed
Filed 2023-08-11 · accession 0001104659-23-090105
$251,270
Reported value
149
Positions
2023-06-30
Period end
Holdings as filed
| CUSIP | Ticker | Issuer | Value | % port. | Shares | Class | Voting |
|---|---|---|---|---|---|---|---|
| 131476103 | CLMTUSD | Calumet Specialty Products Partners, LP | $68,595 | 27.3% | 4,325,000 | Common | SOLE |
| 03769M106 | APO | Apollo Global Management, Inc. | $17,282 | 6.88% | 225,000 | Common | SOLE |
| 02079K107 | GOOG | Alphabet Inc-Cl C | $13,576 | 5.40% | 112,220 | Common | SOLE |
| G3730V105 | FTAI | FTAI Aviation Ltd. | $13,456 | 5.36% | 425,000 | Common | SOLE |
| 256086109 | DCGO | DocGo, Inc. | $13,118 | 5.22% | 1,400,000 | Common | SOLE |
| 59833J206 | — | Midwest Holding Inc. | $10,271 | 4.09% | 390,241 | Common | SOLE |
| 53220K504 | LGND | Ligand Pharmaceuticals Incorporated | $8,292 | 3.30% | 115,000 | Common | SOLE |
| 35243J101 | FBRT | Franklin BSP Realty Trust, Inc. | $6,075 | 2.42% | 429,047 | Common | SOLE |
| G2263T107 | — | Coliseum Acquisition Corp. Wts | $5,693 | 2.27% | 495,000 | Common | SOLE |
| 68218J103 | OABI | OmniAB, Inc. | $5,465 | 2.17% | 1,086,505 | Common | SOLE |
| G0112R124 | — | African Gold Acquistion Corp. Warrants | $5,184 | 2.06% | 450,750 | Common | SOLE |
| 039697107 | ARDX | Ardelyx, Inc. | $5,085 | 2.02% | 1,500,000 | Common | SOLE |
| 131476903 | — | CALLS/Calumet Specialty Product @20 ex1/24 | $3,981 | 1.58% | 251,000 | Common | SOLE |
| 05337M104 | — | Avadel Pharmaceuticals plc | $3,966 | 1.58% | 240,629 | Common | SOLE |
| 717081103 | PFE | Pfizer Inc. | $3,578 | 1.42% | 97,537 | Common | SOLE |
| 46583P102 | — | IVERIC bio, Inc. | $3,423 | 1.36% | 87,000 | Common | SOLE |
| 558868105 | MDGL | Madrigal Pharmaaceuticals, Inc. | $3,234 | 1.29% | 14,000 | Common | SOLE |
| 81181C104 | — | Seagen Inc. | $3,176 | 1.26% | 16,500 | Common | SOLE |
| 46625H100 | JPM | JPMorgan Chase & Co. | $3,052 | 1.21% | 20,985 | Common | SOLE |
| 80105N105 | SNY | Sanofi | $3,018 | 1.20% | 56,000 | Common | SOLE |
| G46188101 | HZNPN | Horizon Therapeutics Public Ltd. Company | $2,796 | 1.11% | 27,190 | Common | SOLE |
| G50871105 | JAZZ | Jazz Pharmaceuticals PLC | $2,778 | 1.11% | 22,411 | Common | SOLE |
| 126408103 | CSX | CSX Corporation | $2,387 | 0.95% | 70,000 | Common | SOLE |
| 37733W204 | GSK | GSK PLC | $2,317 | 0.92% | 65,000 | Common | SOLE |
| 81750R102 | MCRB1EUR | Seres Therapeutics, Inc. | $2,251 | 0.90% | 470,000 | Common | SOLE |
| G01767105 | ALKS | Alkermes PLC | $2,097 | 0.83% | 67,000 | Common | SOLE |
| 90118T114 | — | Twelve Seas Investment Company II Warrants | $1,917 | 0.76% | 166,666 | Common | SOLE |
| 00032Q104 | WHWK | Aadi Bioscience, Inc. | $1,785 | 0.71% | 261,000 | Common | SOLE |
| 165167735 | EXE | Chesapeake Energy Corporation | $1,674 | 0.67% | 20,000 | Common | SOLE |
| 15135U109 | CVE | Cenovus Energy Inc. | $1,613 | 0.64% | 95,000 | Common | SOLE |
| 01881G106 | AB | AllianceBernstein Holding L.P. | $1,592 | 0.63% | 49,500 | Common | SOLE |
| 35953C106 | FIP | FTAI Infrastructure LLC | $1,568 | 0.62% | 425,000 | Common | SOLE |
| 49836K102 | — | Kiwetinohk Energy Corp. | $1,451 | 0.58% | 160,000 | Common | SOLE |
| 69047Q102 | OVV | Ovintiv Inc. | $1,332 | 0.53% | 35,000 | Common | SOLE |
| 03940C100 | ACLXGBX | Arcellx Inc | $1,265 | 0.50% | 40,000 | Common | SOLE |
| 92686J106 | VKTX | Viking Therapeutics, Inc. | $1,225 | 0.49% | 75,549 | Common | SOLE |
| 61945C103 | MOS | The Mosaic Company | $1,225 | 0.49% | 35,000 | Common | SOLE |
| 45790W108 | — | Inozyme Pharma, Inc. | $1,225 | 0.49% | 220,000 | Common | SOLE |
| 78377T107 | RHP | Ryman Hospitality Properties, Inc. | $1,152 | 0.46% | 12,400 | Common | SOLE |
| 876545112 | — | Tastemaker Acquisition Corp. Warrants | $1,150 | 0.46% | 100,000 | Common | SOLE |
| 92532F100 | VRTX | Vertex Pharmaceuticals, Inc. | $1,056 | 0.42% | 3,000 | Common | SOLE |
| 19249H103 | CHRS | Coherus Biosciences, Inc. | $1,046 | 0.42% | 245,010 | Common | SOLE |
| 50075N104 | — | Mondelez International, Inc. | $1,021 | 0.41% | 14,000 | Common | SOLE |
| 98420N105 | XENE | Xenon Pharmaceuticals Inc. | $919 | 0.37% | 23,866 | Common | SOLE |
| 494368103 | KMB | Kimberly-Clark Corporation | $828 | 0.33% | 6,000 | Common | SOLE |
| 26614N102 | DD | DuPont de Nemours, Inc. | $709 | 0.28% | 9,930 | Common | SOLE |
| 00287Y109 | ABBV | AbbVie Inc. | $679 | 0.27% | 5,037 | Common | SOLE |
| 31423J110 | — | FaZe Holdings Inc. WTS | $671 | 0.27% | 58,321 | Common | SOLE |
| 22052L104 | CTVA | Corteva, Inc. | $663 | 0.26% | 11,563 | Common | SOLE |
| 00289Y206 | ABEO | Abeona Therapeutics Inc. | $645 | 0.26% | 160,000 | Common | SOLE |
| 260557103 | DOW | Dow Inc. | $593 | 0.24% | 11,136 | Common | SOLE |
| 191216100 | KO | Coca-Cola Co. | $578 | 0.23% | 9,600 | Common | SOLE |
| 594918104 | MSFT | Microsoft Corporation | $545 | 0.22% | 1,600 | Common | SOLE |
| 037833100 | AAPL | Apple Inc. | $484 | 0.19% | 2,494 | Common | SOLE |
| 136385101 | CNQ | Canadian Natural Resources Limited | $473 | 0.19% | 8,400 | Common | SOLE |
| 478160104 | JNJ | Johnson & Johnson | $463 | 0.18% | 2,800 | Common | SOLE |
| 08862L103 | — | Beyond Air Inc. | $373 | 0.15% | 87,522 | Common | SOLE |
| 205887102 | CAG | Conagra Brands, Inc. | $337 | 0.13% | 10,000 | Common | SOLE |
| 19533H116 | — | Colombier Acquisition Corp. Wts. | $307 | 0.12% | 26,666 | Common | SOLE |
| 87184Q206 | SYRS | Syros Pharmaceutical, Inc | $303 | 0.12% | 96,260 | Common | SOLE |
| 74760R113 | — | QualTek Services Inc. - Warrants | $288 | 0.11% | 25,000 | Common | SOLE |
| 459200101 | IBM | International Business Machines | $287 | 0.11% | 2,142 | Common | SOLE |
| 98419J206 | XOMA | XOMA Corporation | $283 | 0.11% | 15,000 | Common | SOLE |
| 73730P108 | PSTXUSD | Poseida Therapeutics, Inc. | $248 | 0.10% | 140,921 | Common | SOLE |
| 459902102 | — | International Game Technology PLC | $239 | 0.10% | 7,500 | Common | SOLE |
| 302635107 | — | FS KKR Capital Corp. | $219 | 0.09% | 11,425 | Common | SOLE |
| 52472M101 | LEGH | Legacy Housing Corporation | $151 | 0.06% | 6,500 | Common | SOLE |
| 30052c107 | — | Evolus, Inc. | $149 | 0.06% | 20,500 | Common | SOLE |
| 532457108 | LLY | Eli Lilly & Co. | $141 | 0.06% | 300 | Common | SOLE |
| 30263Y104 | FSBW | FS Bancorp, Inc. | $132 | 0.05% | 4,380 | Common | SOLE |
| 302520101 | FNB | F.N.B. Corporation | $102 | 0.04% | 8,905 | Common | SOLE |
| 00973Y108 | AKRO | Akero Therapeutics, Inc. | $94 | 0.04% | 2,000 | Common | SOLE |
| 89151E109 | TTEN | TotalEnergies SE - ADR | $92 | 0.04% | 1,600 | Common | SOLE |
| 52187K200 | CYPH | Leap Therapeutics, Inc. | $90 | 0.04% | 28,730 | Common | SOLE |
| 500754106 | KHC | The Kraft Heinz Company | $85 | 0.03% | 2,399 | Common | SOLE |
| 840441109 | SSBUSD | South State Corporation | $70 | 0.03% | 1,068 | Common | SOLE |
| 464287481 | IWP | iShares Russell Mid-Cap Growth | $67 | 0.03% | 695 | Common | SOLE |
| 11135F101 | AVGO | Broadcom, Inc. | $62 | 0.02% | 71 | Common | SOLE |
| 674599105 | OXY | Occidental Petroleum Corporation | $62 | 0.02% | 1,055 | Common | SOLE |
| 27627N105 | EBC | Eastern Bankshares Inc | $61 | 0.02% | 5,000 | Common | SOLE |
| 67066G104 | NVDA | Nvidia Corp | $54 | 0.02% | 128 | Common | SOLE |
| 919794107 | VLY | Valley National Bancorp | $50 | 0.02% | 6,400 | Common | SOLE |
| 46432F842 | IEFA | iShares Core MSCI EAFE | $43 | 0.02% | 633 | Common | SOLE |
| 26969P108 | EXP | Eagle Materials Inc. | $43 | 0.02% | 228 | Common | SOLE |
| 235851102 | DHR | Danaher Corporation | $43 | 0.02% | 180 | Common | SOLE |
| 023135106 | AMZN | Amazon.com Inc. | $39 | 0.02% | 300 | Common | SOLE |
| 02079k305 | — | Alphabet Inc CL A | $36 | 0.01% | 300 | Common | SOLE |
| 74762E102 | QURE | Quanta Services, Inc. | $35 | 0.01% | 176 | Common | SOLE |
| 931142103 | WMT | Wal-Mart Stores, Inc. | $35 | 0.01% | 225 | Common | SOLE |
| 911363109 | URI | United Rental, Inc. | $35 | 0.01% | 78 | Common | SOLE |
| 464287804 | IJR | iShares Core S&P Small-Cap | $31 | 0.01% | 313 | Common | SOLE |
| 464287473 | IWS | iShares Russell Mid-Cap Value | $30 | 0.01% | 273 | Common | SOLE |
| 42727P108 | HRGG | Heritage NOLA Bancorp, Inc. | $29 | 0.01% | 3,000 | Common | SOLE |
| 29444U700 | EQIX | Equinix Inc | $29 | 0.01% | 37 | Common | SOLE |
| 464287648 | IWO | iShares Russell 2000 Growth | $29 | 0.01% | 118 | Common | SOLE |
| 98956P102 | ZBH | Zimmer Biomet Holdings Inc | $28 | 0.01% | 190 | Common | SOLE |
| 03852U106 | ARMK | Aramark | $28 | 0.01% | 651 | Common | SOLE |
| G54950103 | LIN | Linde PLC | $27 | 0.01% | 70 | Common | SOLE |
| 91324P102 | UNH | United Healthcare Corp. | $27 | 0.01% | 57 | Common | SOLE |
| 46266C105 | IQV | IQVIA Holdings Inc | $27 | 0.01% | 122 | Common | SOLE |
| 585055106 | — | Medtronic, Inc. | $26 | 0.01% | 300 | Common | SOLE |
| 617446448 | MS | Morgan Stanley Group Inc. | $25 | 0.01% | 293 | Common | SOLE |
| 437076102 | HD | Home Depot Inc. | $25 | 0.01% | 80 | Common | SOLE |
| 464288885 | EFG | ishares MSCI EAFE Growth Index Fund | $24 | 0.01% | 252 | Common | SOLE |
| 929160109 | VMC | Vulcan Materials Co | $23 | 0.01% | 103 | Common | SOLE |
| 883556102 | TMO | Thermo Fisher Scientific, Inc. | $23 | 0.01% | 45 | Common | SOLE |
| H1467J104 | CB | Chubb Corporation | $23 | 0.01% | 121 | Common | SOLE |
| 87612E106 | TGT | Target Corporation | $22 | 0.01% | 166 | Common | SOLE |
| 03940R107 | ARCH1USD | Arc Resources Ltd. | $22 | 0.01% | 1,229 | Common | SOLE |
| 169656105 | CMG | Chipotle Mexican Grill, Inc. | $21 | 0.01% | 10 | Common | SOLE |
| 09247X101 | BLKCHF | Blackrock, Inc. | $21 | 0.01% | 31 | Common | SOLE |
| 09260d107 | — | Blackstone Group LP | $20 | 0.01% | 210 | Common | SOLE |
| 00766T100 | ACM | Aecom | $19 | 0.01% | 228 | Common | SOLE |
| 949746101 | WMT2 | Wells Fargo & Company | $19 | 0.01% | 438 | Common | SOLE |
| 03027X100 | AMT | American Tower Corp. | $18 | 0.01% | 93 | Common | SOLE |
| 126650100 | CVS | CVS Caremark Corporation | $18 | 0.01% | 258 | Common | SOLE |
| 369604103 | GE | General Electric Company | $18 | 0.01% | 162 | Common | SOLE |
| 46434G103 | IEMG | iShares Core MSCI Emerging Markets | $18 | 0.01% | 363 | Common | SOLE |
| 00724f101 | — | Adobe | $17 | 0.01% | 35 | Common | SOLE |
| 79466L302 | CRM | Salesforce, Inc. | $16 | 0.01% | 77 | Common | SOLE |
| 808513105 | SCHW | Charles Schwab Corporation | $16 | 0.01% | 284 | Common | SOLE |
| 166764100 | CVX | Chevron Corporation | $15 | 0.01% | 96 | Common | SOLE |
| 550021109 | LULU | Lululemon Athletica Inc. | $15 | 0.01% | 39 | Common | SOLE |
| 806857108 | SLB | Schlumberger Limited | $14 | 0.01% | 292 | Common | SOLE |
| 464288323 | NYF | iShares New York Muni Bond | $13 | 0.01% | 242 | Common | SOLE |
| 693718108 | PCAR | Paccar Inc | $12 | 0.00% | 148 | Common | SOLE |
| 14057J101 | CFFN | Capitol Federal Financial, Inc. | $12 | 0.00% | 2,000 | Common | SOLE |
| 20825c104 | — | ConocoPhillips | $12 | 0.00% | 113 | Common | SOLE |
| 464287630 | IWN | iShares Russell 2000 Value | $12 | 0.00% | 86 | Common | SOLE |
| 254687106 | DIS | The Walt Disney Company | $10 | 0.00% | 116 | Common | SOLE |
| 368736104 | GNRC | Generac Holdings, Inc. | $10 | 0.00% | 69 | Common | SOLE |
| 654106103 | NKE | Nike Inc. | $10 | 0.00% | 91 | Common | SOLE |
| 163851108 | CC | The Chemours Company | $9 | 0.00% | 240 | Common | SOLE |
| 46429B416 | EWUS | iShares MSCI United Kingdom Small-Cap | $8 | 0.00% | 246 | Common | SOLE |
| 85571B105 | STWD | Starwood Property Trust, Inc. | $8 | 0.00% | 400 | Common | SOLE |
| 50155Q100 | KD | Kyndryl Holdings Inc. | $6 | 0.00% | 428 | Common | SOLE |
| 002824100 | ABT | Abbott Laboratories | $5 | 0.00% | 50 | Common | SOLE |
| 742718109 | PG | Proctor & Gamble Company | $5 | 0.00% | 35 | Common | SOLE |
| 46435G334 | EWU | iShares MSCI United Kingdom | $4 | 0.00% | 116 | Common | SOLE |
| 674599162 | OXY/WS | Occidential Pertro Wts exp. 8/3/27 | $4 | 0.00% | 194 | Common | SOLE |
| 464286806 | EWG | iShares MSCI Germany | $4 | 0.00% | 150 | Common | SOLE |
| 464286608 | EZU | iShares MSCI Eurozone | $3 | 0.00% | 55 | Common | SOLE |
| 78464A391 | EBND | SPDR Sec SER TR Bloom Emer Mkts Loc BD etf | $3 | 0.00% | 147 | Common | SOLE |
| 464288877 | EFV | ishares Msci Value Index Fund | $3 | 0.00% | 63 | Common | SOLE |
| 464288513 | HYG | iShares iBoxx $ High Yield Corporate Bond | $2 | 0.00% | 32 | Common | SOLE |
| 811246107 | — | Sculptor Cap Mgmt CL A | $2 | 0.00% | 200 | Common | SOLE |
| 929740108 | WAB | Wabtec Corporation | $1 | 0.00% | 6 | Common | SOLE |
| 464288281 | EMB | iShares JPMorgan USD Emerging Markets Bond | $1 | 0.00% | 17 | Common | SOLE |
| 78486Q101 | — | SVB Financial Group | $0 | — | 48 | Common | SOLE |
Source: SEC EDGAR · raw 13F holdings as filed. The Class column shows the option type when reported (Put/Call) or Common when the issuer's equity is held directly. 13F discloses long positions only.