Q3 2023 · 13F-HR
Knott David M Jrholdings as filed
Filed 2023-11-13 · accession 0001104659-23-116961
$261,929
Reported value
132
Positions
2023-09-30
Period end
Holdings as filed
| CUSIP | Ticker | Issuer | Value | % port. | Shares | Class | Voting |
|---|---|---|---|---|---|---|---|
| 131476103 | CLMTUSD | Calumet Specialty Products Partners, LP | $82,608 | 31.5% | 4,325,000 | Common | SOLE |
| 03769M106 | APO | Apollo Global Management, Inc. | $20,196 | 7.71% | 225,000 | Common | SOLE |
| G3730V105 | FTAI | FTAI Aviation Ltd. | $15,109 | 5.77% | 425,000 | Common | SOLE |
| 02079K107 | GOOG | Alphabet Inc-Cl C | $14,796 | 5.65% | 112,220 | Common | SOLE |
| 256086109 | DCGO | DocGo, Inc. | $10,260 | 3.92% | 1,925,000 | Common | SOLE |
| 59833J206 | — | Midwest Holding Inc. | $10,205 | 3.90% | 390,241 | Common | SOLE |
| 53220K504 | LGND | Ligand Pharmaceuticals Incorporated | $6,891 | 2.63% | 115,000 | Common | SOLE |
| 039697107 | ARDX | Ardelyx, Inc. | $6,120 | 2.34% | 1,500,000 | Common | SOLE |
| G2263T107 | — | Coliseum Acquisition Corp. Wts | $5,693 | 2.17% | 495,000 | Common | SOLE |
| 68218J103 | OABI | OmniAb Inc. | $5,639 | 2.15% | 1,086,505 | Common | SOLE |
| 131476903 | — | CALLS/Calumet Specialty Product @20 ex1/24 | $4,794 | 1.83% | 251,000 | Common | SOLE |
| 35243J101 | FBRT | Franklin BSP Realty Trust, Inc. | $4,336 | 1.66% | 327,524 | Common | SOLE |
| 81181c104 | — | Seagen Inc. | $3,819 | 1.46% | 18,000 | Common | SOLE |
| 717081103 | PFE | Pfizer Inc. | $3,235 | 1.24% | 97,537 | Common | SOLE |
| 81752T528 | CLOZ | The Panagram BBB-B CLO ETF | $3,164 | 1.21% | 121,032 | Common | SOLE |
| 46625H100 | JPM | JPMorgan Chase & Co. | $3,043 | 1.16% | 20,985 | Common | SOLE |
| 80105N113 | — | Sanofi | $3,004 | 1.15% | 56,000 | Common | SOLE |
| G50871105 | JAZZ | Jazz Pharmaceuticals PLC | $2,901 | 1.11% | 22,411 | Common | SOLE |
| 19249H103 | CHRS | Coherus Biosciences, Inc. | $2,356 | 0.90% | 630,000 | Common | SOLE |
| 37733W204 | GSK | GSK plc | $2,356 | 0.90% | 65,000 | Common | SOLE |
| 617760202 | MOR2 | MorphoSys AG | $2,318 | 0.88% | 345,000 | Common | SOLE |
| 05337M104 | — | Avadel Pharmaceuticals plc | $2,285 | 0.87% | 221,850 | Common | SOLE |
| 558868105 | MDGL | Madrigal Pharmaaceuticals, Inc. | $2,191 | 0.84% | 15,000 | Common | SOLE |
| 126408103 | CSX | CSX Corporation | $2,153 | 0.82% | 70,000 | Common | SOLE |
| 92686J106 | VKTX | Viking Therapeutics, Inc. | $2,054 | 0.78% | 185,555 | Common | SOLE |
| 91307C102 | UTHR | United Therapeutics Corporation | $2,021 | 0.77% | 8,949 | Common | SOLE |
| 46090A721 | ICLO | The Invesco AAA Floating Rate Note ETF | $1,979 | 0.76% | 77,377 | Common | SOLE |
| 15135U109 | CVE | Cenovus Energy Inc. | $1,978 | 0.76% | 95,000 | Common | SOLE |
| 90118T114 | — | Twelve Seas Investment Company II Warrants | $1,917 | 0.73% | 166,666 | Common | SOLE |
| 45790W108 | — | Inozyme Pharma, Inc. | $1,907 | 0.73% | 454,008 | Common | SOLE |
| 165167735 | EXE | Chesapeake Energy Corporation | $1,725 | 0.66% | 20,000 | Common | SOLE |
| 69047Q102 | OVV | Ovintiv Inc. | $1,665 | 0.64% | 35,000 | Common | SOLE |
| 47103U845 | JAAA | Janus Henderson AAA CLO ETF | $1,582 | 0.60% | 31,432 | Common | SOLE |
| 49836K102 | — | Kiwetinohk Energy Corp. | $1,532 | 0.58% | 160,000 | Common | SOLE |
| 01881G106 | AB | AllianceBernstein Holding L.P. | $1,502 | 0.57% | 49,500 | Common | SOLE |
| 00032Q104 | WHWK | Aadi Bioscience, Inc. | $1,283 | 0.49% | 265,000 | Common | SOLE |
| 61945C103 | MOS | The Mosaic Company | $1,246 | 0.48% | 35,000 | Common | SOLE |
| 92532F100 | VRTX | Vertex Pharmaceuticals, Inc. | $1,043 | 0.40% | 3,000 | Common | SOLE |
| 78377T107 | RHP | Ryman Hospitality Properties, Inc. | $999 | 0.38% | 12,000 | Common | SOLE |
| 50075N104 | — | Mondelez International Inc. | $972 | 0.37% | 14,000 | Common | SOLE |
| 89422G107 | TVTX | Travere Therapeutics, Inc. | $897 | 0.34% | 100,317 | Common | SOLE |
| 74366E102 | PTGX | Protagonist Therapeutics, Inc | $873 | 0.33% | 52,368 | Common | SOLE |
| 98420N105 | XENE | Xenon Pharmaceuticals Inc. | $815 | 0.31% | 23,866 | Common | SOLE |
| 00287Y109 | ABBV | AbbVie Inc. | $751 | 0.29% | 5,037 | Common | SOLE |
| 26614N102 | DD | DuPont de Nemours, Inc. | $741 | 0.28% | 9,930 | Common | SOLE |
| 494368103 | KMB | Kimberly-Clark Corporation | $725 | 0.28% | 6,000 | Common | SOLE |
| 03940c100 | — | Arcellx Inc | $718 | 0.27% | 20,000 | Common | SOLE |
| 00289Y206 | ABEO | Abeona Therapeutics Inc. | $674 | 0.26% | 160,000 | Common | SOLE |
| 31423J110 | — | FaZe Holdings Inc. Warrants | $671 | 0.26% | 58,321 | Common | SOLE |
| G01767105 | ALKS | Alkermes PLC | $630 | 0.24% | 22,491 | Common | SOLE |
| 30052C107 | EOLS | Evolus, Inc. | $622 | 0.24% | 68,066 | Common | SOLE |
| 22052L104 | CTVA | Corteva, Inc. | $592 | 0.23% | 11,563 | Common | SOLE |
| 260557103 | DOW | Dow Inc. | $574 | 0.22% | 11,136 | Common | SOLE |
| 136385101 | CNQ | Canadian Natural Resources Limited | $543 | 0.21% | 8,400 | Common | SOLE |
| 594918104 | MSFT | Microsoft Corporation | $505 | 0.19% | 1,600 | Common | SOLE |
| 037833100 | AAPL | Apple Inc. | $427 | 0.16% | 2,494 | Common | SOLE |
| 191216100 | KO | Coca-Cola Co. | $425 | 0.16% | 7,600 | Common | SOLE |
| 87184Q206 | SYRS | Syros Pharmaceutical, Inc | $419 | 0.16% | 105,975 | Common | SOLE |
| 81752T486 | CLOX | The Panagram AAA CLO ETF | $396 | 0.15% | 15,640 | Common | SOLE |
| 478160104 | JNJ | Johnson & Johnson | $335 | 0.13% | 2,151 | Common | SOLE |
| 00973Y108 | AKRO | Akero Therapeutics, Inc. | $325 | 0.12% | 6,419 | Common | SOLE |
| 693691107 | PSQH | PSQ Holdings, Inc. | $307 | 0.12% | 26,666 | Common | SOLE |
| 459200101 | IBM | International Business Machines | $301 | 0.11% | 2,142 | Common | SOLE |
| 98419J206 | XOMA | XOMA Corporation | $278 | 0.11% | 19,722 | Common | SOLE |
| 205887102 | CAG | Conagra Brands, Inc. | $274 | 0.10% | 10,000 | Common | SOLE |
| 10806X102 | BBIO | Bridgebio Pharma, Inc. | $237 | 0.09% | 9,000 | Common | SOLE |
| 459902102 | — | International Game Technology PLC | $227 | 0.09% | 7,500 | Common | SOLE |
| 282559103 | ETNBGBP | 89Bio, Inc. | $225 | 0.09% | 14,574 | Common | SOLE |
| 302635107 | — | FS KKR Capital Corp. | $225 | 0.09% | 11,425 | Common | SOLE |
| 81750R102 | MCRB1EUR | Seres Therapeutics, Inc. | $167 | 0.06% | 70,000 | Common | SOLE |
| 532457108 | LLY | Eli Lilly & Co. | $161 | 0.06% | 300 | Common | SOLE |
| 30263Y104 | FSBW | FS Bancorp, Inc. | $129 | 0.05% | 4,380 | Common | SOLE |
| 52472M101 | LEGH | Legacy Housing Corporation | $126 | 0.05% | 6,500 | Common | SOLE |
| 89151E109 | TTEN | TotalEnergies SE - ADR | $105 | 0.04% | 1,600 | Common | SOLE |
| 49177J102 | KVUE | Kenvue, Inc. | $105 | 0.04% | 5,215 | Common | SOLE |
| 302520101 | FNB | F.N.B. Corporation | $96 | 0.04% | 8,905 | Common | SOLE |
| 840441109 | SSBUSD | South State Corporation | $72 | 0.03% | 1,068 | Common | SOLE |
| 674599105 | OXY | Occidental Petroleum Corporation | $68 | 0.03% | 1,055 | Common | SOLE |
| 27627N105 | EBC | Eastern Bankshares Inc | $63 | 0.02% | 5,000 | Common | SOLE |
| 464287481 | IWP | iShares Russell Mid-Cap Growth | $63 | 0.02% | 695 | Common | SOLE |
| 11135F101 | AVGO | Broadcom, Inc. | $59 | 0.02% | 71 | Common | SOLE |
| 67066G104 | NVDA | Nvidia Corp | $56 | 0.02% | 128 | Common | SOLE |
| 42727P108 | HRGG | Heritage NOLA Bancorp, Inc. | $55 | 0.02% | 3,000 | Common | SOLE |
| 919794107 | VLY | Valley National Bancorp | $55 | 0.02% | 6,400 | Common | SOLE |
| 235851102 | DHR | Danaher Corporation | $45 | 0.02% | 180 | Common | SOLE |
| 02079k305 | — | Alphabet Inc CL A | $39 | 0.01% | 300 | Common | SOLE |
| 023135106 | AMZN | Amazon.com Inc. | $38 | 0.01% | 300 | Common | SOLE |
| 26969P108 | EXP | Eagle Materials Inc. | $38 | 0.01% | 228 | Common | SOLE |
| 931142103 | WMT | Wal-Mart Stores, Inc. | $36 | 0.01% | 225 | Common | SOLE |
| 911363109 | URI | United Rental, Inc. | $35 | 0.01% | 78 | Common | SOLE |
| 74762E110 | — | Quanta Services, Inc. | $33 | 0.01% | 176 | Common | SOLE |
| 464287804 | IJR | iShares Core S&P Small-Cap ETF | $30 | 0.01% | 313 | Common | SOLE |
| 91324p102 | — | United Healthcare Corp. | $29 | 0.01% | 57 | Common | SOLE |
| 464287473 | IWS | iShares Russell Mid-Cap Value | $28 | 0.01% | 273 | Common | SOLE |
| 03940R107 | ARCH1USD | Arc Resources Ltd. | $27 | 0.01% | 1,229 | Common | SOLE |
| 29444U700 | EQIX | Equinix Inc | $27 | 0.01% | 37 | Common | SOLE |
| G5494J103 | — | Linde PLC | $26 | 0.01% | 70 | Common | SOLE |
| 464287648 | IWO | iShares Russell 2000 Growth | $26 | 0.01% | 118 | Common | SOLE |
| 617446448 | MS | Morgan Stanley Group Inc. | $24 | 0.01% | 293 | Common | SOLE |
| 46266c105 | — | IQVIA Holdings Inc | $24 | 0.01% | 122 | Common | SOLE |
| 437076102 | HD | Home Depot Inc. | $24 | 0.01% | 80 | Common | SOLE |
| 585055106 | — | Medtronic, Inc. | $24 | 0.01% | 300 | Common | SOLE |
| 883556102 | TMO | Thermo Fisher Scientific, Inc. | $23 | 0.01% | 45 | Common | SOLE |
| 464288885 | EFG | ishares MSCI EAFE Growth Index Fund | $22 | 0.01% | 252 | Common | SOLE |
| 09260d107 | — | Blackstone Group LP | $22 | 0.01% | 210 | Common | SOLE |
| 929160109 | VMC | Vulcan Materials Co | $21 | 0.01% | 103 | Common | SOLE |
| 09247X101 | BLKCHF | Blackrock, Inc. | $20 | 0.01% | 31 | Common | SOLE |
| 00766T100 | ACM | Aecom | $19 | 0.01% | 228 | Common | SOLE |
| 949746101 | WMT2 | Wells Fargo & Company | $18 | 0.01% | 438 | Common | SOLE |
| 00724f101 | — | Adobe | $18 | 0.01% | 35 | Common | SOLE |
| 169656105 | CMG | Chipotle Mexican Grill, Inc. | $18 | 0.01% | 10 | Common | SOLE |
| 369604103 | GE | General Electric Company | $18 | 0.01% | 162 | Common | SOLE |
| 806857108 | SLB | Schlumberger Limited | $17 | 0.01% | 292 | Common | SOLE |
| 79466L302 | CRM | Salesforce, Inc. | $16 | 0.01% | 77 | Common | SOLE |
| 166764100 | CVX | Chevron Corporation | $16 | 0.01% | 96 | Common | SOLE |
| 550021109 | LULU | Lululemon Athletica Inc. | $15 | 0.01% | 39 | Common | SOLE |
| 20825C104 | COP | ConocoPhillips | $14 | 0.01% | 113 | Common | SOLE |
| 693718108 | PCAR | Paccar Inc | $13 | 0.00% | 148 | Common | SOLE |
| 464287630 | IWN | iShares Russell 2000 Value | $12 | 0.00% | 86 | Common | SOLE |
| 500754106 | KHC | The Kraft Heinz Company | $11 | 0.00% | 333 | Common | SOLE |
| 14057J101 | CFFN | Capitol Federal Financial, Inc. | $10 | 0.00% | 2,000 | Common | SOLE |
| 254687106 | DIS | The Walt Disney Company | $9 | 0.00% | 116 | Common | SOLE |
| 654106103 | NKE | Nike Inc. | $9 | 0.00% | 91 | Common | SOLE |
| 85571B105 | STWD | Starwood Property Trust, Inc. | $8 | 0.00% | 400 | Common | SOLE |
| 368736104 | GNRC | Generac Holdings, Inc. | $8 | 0.00% | 69 | Common | SOLE |
| 163851108 | CC | The Chemours Company | $7 | 0.00% | 240 | Common | SOLE |
| 50155Q100 | KD | Kyndryl Holdings Inc. | $6 | 0.00% | 428 | Common | SOLE |
| 742718109 | PG | Proctor & Gamble Company | $5 | 0.00% | 35 | Common | SOLE |
| 002824100 | ABT | Abbott Laboratories | $5 | 0.00% | 50 | Common | SOLE |
| 674599162 | OXY/WS | Occidential Pertro Wts exp. 8/3/27 | $4 | 0.00% | 194 | Common | SOLE |
| 811246107 | — | Sculptor Cap Mgmt CL A | $2 | 0.00% | 200 | Common | SOLE |
| 929740108 | WAB | Wabtec Corporation | $1 | 0.00% | 6 | 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.