Q4 2023 · 13F-HR
Knott David M Jrholdings as filed
Filed 2024-02-13 · accession 0001104659-24-018785
$261,639
Reported value
113
Positions
2023-12-31
Period end
Holdings as filed
| CUSIP | Ticker | Issuer | Value | % port. | Shares | Class | Voting |
|---|---|---|---|---|---|---|---|
| 131476103 | CLMTUSD | Calumet Specialty Products Partners, LP | $77,288 | 29.5% | 4,325,000 | Common | SOLE |
| 03769M106 | APO | Apollo Global Management, Inc. | $20,968 | 8.01% | 225,000 | Common | SOLE |
| G3730V105 | FTAI | FTAI Aviation Ltd. | $19,720 | 7.54% | 425,000 | Common | SOLE |
| 81752T528 | CLOZ | The Panagram BBB-B CLO ETF | $18,991 | 7.26% | 719,368 | Common | SOLE |
| 02079K107 | GOOG | Alphabet Inc-Cl C | $15,815 | 6.04% | 112,220 | Common | SOLE |
| 256086109 | DCGO | DocGo, Inc. | $10,761 | 4.11% | 1,925,000 | Common | SOLE |
| 039697107 | ARDX | Ardelyx, Inc. | $8,556 | 3.27% | 1,380,000 | Common | SOLE |
| 53220K504 | LGND | Ligand Pharmaceuticals Incorporated | $8,214 | 3.14% | 115,000 | Common | SOLE |
| 46090A721 | ICLO | The Invesco AAA Floating Rate Note ETF | $7,848 | 3.00% | 307,019 | Common | SOLE |
| 68218J103 | OABI | OmniAb Inc. | $6,704 | 2.56% | 1,086,505 | Common | SOLE |
| 92686J106 | VKTX | Viking Therapeutics, Inc. | $5,040 | 1.93% | 270,822 | Common | SOLE |
| 47103U845 | JAAA | Janus Henderson AAA CLO ETF | $4,710 | 1.80% | 93,647 | Common | SOLE |
| 46625H100 | JPM | JPMorgan Chase & Co. | $3,570 | 1.36% | 20,985 | Common | SOLE |
| 05337M104 | — | Avadel Pharmaceuticals plc | $3,556 | 1.36% | 251,850 | Common | SOLE |
| 558868105 | MDGL | Madrigal Pharmaaceuticals, Inc. | $3,424 | 1.31% | 14,800 | Common | SOLE |
| 717081103 | PFE | Pfizer Inc. | $2,808 | 1.07% | 97,537 | Common | SOLE |
| 126408103 | CSX | CSX Corporation | $2,427 | 0.93% | 70,000 | Common | SOLE |
| 37733W204 | GSK | GSK plc | $2,409 | 0.92% | 65,000 | Common | SOLE |
| 45790W108 | — | Inozyme Pharma, Inc. | $2,405 | 0.92% | 564,549 | Common | SOLE |
| 81752T486 | CLOX | The Panagram AAA CLO ETF | $2,351 | 0.90% | 92,956 | Common | SOLE |
| 80105N105 | SNY | Sanofi | $2,337 | 0.89% | 47,000 | Common | SOLE |
| 14888U101 | CPRX | Catalyst Pharmaceuticals, Inc. | $2,109 | 0.81% | 125,450 | Common | SOLE |
| 89422G107 | TVTX | Travere Therapeutics, Inc. | $1,987 | 0.76% | 221,005 | Common | SOLE |
| 19249H103 | CHRS | Coherus Biosciences, Inc. | $1,753 | 0.67% | 526,312 | Common | SOLE |
| 15135U109 | CVE | Cenovus Energy Inc. | $1,582 | 0.60% | 95,000 | Common | SOLE |
| 471034845 | — | Janus Henderson AAA CLO ETF | $1,581 | 0.60% | 31,432 | Common | SOLE |
| 01881G106 | AB | AllianceBernstein Holding L.P. | $1,520 | 0.58% | 49,000 | Common | SOLE |
| 78377T107 | RHP | Ryman Hospitality Properties, Inc. | $1,321 | 0.50% | 12,000 | Common | SOLE |
| 92532F100 | VRTX | Vertex Pharmaceuticals, Inc. | $1,221 | 0.47% | 3,000 | Common | SOLE |
| 74366E102 | PTGX | Protagonist Therapeutics, Inc | $1,201 | 0.46% | 52,368 | Common | SOLE |
| 98420N105 | XENE | Xenon Pharmaceuticals Inc. | $1,099 | 0.42% | 23,866 | Common | SOLE |
| 609207105 | MDLZ | Mondelez International, Inc. | $1,014 | 0.39% | 14,000 | Common | SOLE |
| 00289Y206 | ABEO | Abeona Therapeutics Inc. | $993 | 0.38% | 198,300 | Common | SOLE |
| 98422E103 | XERS | Xeris Biopharma Holdings, Inc. | $912 | 0.35% | 387,910 | Common | SOLE |
| 00287Y109 | ABBV | AbbVie Inc. | $781 | 0.30% | 5,037 | Common | SOLE |
| 30052c107 | — | Evolus, Inc. | $769 | 0.29% | 73,066 | Common | SOLE |
| 26614N102 | DD | DuPont de Nemours, Inc. | $764 | 0.29% | 9,930 | Common | SOLE |
| 494368103 | KMB | Kimberly-Clark Corporation | $729 | 0.28% | 6,000 | Common | SOLE |
| 925050106 | VRNA | Verona Pharma PLC. | $650 | 0.25% | 32,672 | Common | SOLE |
| 87184Q206 | SYRS | Syros Pharmaceutical, Inc | $623 | 0.24% | 79,927 | Common | SOLE |
| 260557103 | DOW | Dow Inc. | $611 | 0.23% | 11,136 | Common | SOLE |
| 594918104 | MSFT | Microsoft Corporation | $602 | 0.23% | 1,600 | Common | SOLE |
| 22052L104 | CTVA | Corteva, Inc. | $554 | 0.21% | 11,563 | Common | SOLE |
| 136385101 | CNQ | Canadian Natural Resources Limited | $550 | 0.21% | 8,400 | Common | SOLE |
| 81750R102 | MCRB1EUR | Seres Therapeutics, Inc. | $519 | 0.20% | 370,730 | Common | SOLE |
| 10806X102 | BBIO | Bridgebio Pharma, Inc. | $484 | 0.18% | 12,000 | Common | SOLE |
| 037833100 | AAPL | Apple Inc. | $480 | 0.18% | 2,494 | Common | SOLE |
| 191216100 | KO | Coca-Cola Co. | $448 | 0.17% | 7,600 | Common | SOLE |
| G76279101 | ROIV | Roivant Science Ltd. | $418 | 0.16% | 37,200 | Common | SOLE |
| 98419J206 | XOMA | XOMA Corporation | $365 | 0.14% | 19,722 | Common | SOLE |
| 459200101 | IBM | International Business Machines | $350 | 0.13% | 2,142 | Common | SOLE |
| 205887102 | CAG | Conagra Brands, Inc. | $287 | 0.11% | 10,000 | Common | SOLE |
| 78464A870 | XBI | SPDR S&P Biotech ETF | $268 | 0.10% | 3,000 | Common | SOLE |
| 302635206 | FSK | FS KKR Capital Corp. | $228 | 0.09% | 11,425 | Common | SOLE |
| G4863A108 | BRSL | International Game Technology PLC | $206 | 0.08% | 7,500 | Common | SOLE |
| 532457108 | LLY | Eli Lilly & Co. | $175 | 0.07% | 300 | Common | SOLE |
| 52472M101 | LEGH | Legacy Housing Corporation | $164 | 0.06% | 6,500 | Common | SOLE |
| 30263Y104 | FSBW | FS Bancorp, Inc. | $162 | 0.06% | 4,380 | Common | SOLE |
| 49836K102 | — | Kiwetinohk Energy Corp. | $152 | 0.06% | 17,700 | Common | SOLE |
| 478160104 | JNJ | Johnson & Johnson | $145 | 0.06% | 922 | Common | SOLE |
| 302520101 | FNB | F.N.B. Corporation | $123 | 0.05% | 8,905 | Common | SOLE |
| 89151E109 | TTEN | TotalEnergies SE - ADR | $108 | 0.04% | 1,600 | Common | SOLE |
| 98420X103 | ASNSUSD | X4 Pharmaceutials, Inc. | $100 | 0.04% | 119,300 | Common | SOLE |
| 840441109 | SSBUSD | South State Corporation | $90 | 0.03% | 1,068 | Common | SOLE |
| 11135F101 | AVGO | Broadcom, Inc. | $79 | 0.03% | 71 | Common | SOLE |
| 464287481 | IWP | iShares Russell Mid-Cap Growth | $73 | 0.03% | 695 | Common | SOLE |
| 27627N105 | EBC | Eastern Bankshares Inc | $71 | 0.03% | 5,000 | Common | SOLE |
| 919794107 | VLY | Valley National Bancorp | $70 | 0.03% | 6,400 | Common | SOLE |
| 674599105 | OXY | Occidential Pertro Wts exp. 8/3/27 | $67 | 0.03% | 1,249 | Common | SOLE |
| 67066G104 | NVDA | Nvidia Corp | $63 | 0.02% | 128 | Common | SOLE |
| 45258J102 | IMVT | Immunovant Inc. | $63 | 0.02% | 1,485 | Common | SOLE |
| 42727P108 | HRGG | Heritage NOLA Bancorp, Inc. | $56 | 0.02% | 3,000 | Common | SOLE |
| 49177J102 | KVUE | Kenvue, Inc. | $48 | 0.02% | 2,235 | Common | SOLE |
| 26969P108 | EXP | Eagle Materials Inc. | $46 | 0.02% | 228 | Common | SOLE |
| 023135106 | AMZN | Amazon.com Inc. | $46 | 0.02% | 300 | Common | SOLE |
| 911363109 | URI | United Rental, Inc. | $45 | 0.02% | 78 | Common | SOLE |
| 02079k305 | — | Alphabet Inc CL A | $42 | 0.02% | 300 | Common | SOLE |
| 235851102 | DHR | Danaher Corporation | $42 | 0.02% | 180 | Common | SOLE |
| 52187K200 | CYPH | Leap Therapeutics, Inc. | $41 | 0.02% | 10,000 | Common | SOLE |
| 74762E110 | — | Quanta Services, Inc. | $38 | 0.01% | 176 | Common | SOLE |
| 931142103 | WMT | Wal-Mart Stores, Inc. | $35 | 0.01% | 225 | Common | SOLE |
| 464287804 | IJR | iShares Core S&P Small-Cap | $34 | 0.01% | 313 | Common | SOLE |
| 464287473 | IWS | iShares Russell Mid-Cap Value | $32 | 0.01% | 273 | Common | SOLE |
| 29444u700 | — | Equinix Inc | $30 | 0.01% | 37 | Common | SOLE |
| 464287648 | IWO | iShares Russell 2000 Growth | $30 | 0.01% | 118 | Common | SOLE |
| 91324p102 | — | United Healthcare Corp. | $30 | 0.01% | 57 | Common | SOLE |
| G5494J103 | — | Linde PLC | $29 | 0.01% | 70 | Common | SOLE |
| 46266C105 | IQV | IQVIA Holdings Inc | $28 | 0.01% | 122 | Common | SOLE |
| 437076102 | HD | Home Depot Inc. | $28 | 0.01% | 80 | Common | SOLE |
| 09260d107 | — | Blackstone Group LP | $27 | 0.01% | 210 | Common | SOLE |
| 585055106 | — | Medtronic, Inc. | $25 | 0.01% | 300 | Common | SOLE |
| 09247X101 | BLKCHF | Blackrock, Inc. | $25 | 0.01% | 31 | Common | SOLE |
| 883556102 | TMO | Thermo Fisher Scientific, Inc. | $24 | 0.01% | 45 | Common | SOLE |
| 03940R107 | ARCH1USD | Arch Resources Ltd. | $24 | 0.01% | 1,229 | Common | SOLE |
| 169656105 | CMG | Chipotle Mexican Grill, Inc. | $23 | 0.01% | 10 | Common | SOLE |
| 929160109 | VMC | Vulcan Materials Co | $23 | 0.01% | 103 | Common | SOLE |
| 369604103 | GE | General Electric Company | $21 | 0.01% | 162 | Common | SOLE |
| 00724f101 | — | Adobe | $21 | 0.01% | 35 | Common | SOLE |
| 550021109 | LULU | Lululemon Athletica Inc. | $20 | 0.01% | 39 | Common | SOLE |
| 79466L302 | CRM | Salesforce, Inc. | $20 | 0.01% | 77 | Common | SOLE |
| 806857108 | SLB | Schlumberger Limited | $15 | 0.01% | 292 | Common | SOLE |
| 166764100 | CVX | Chevron Corporation | $14 | 0.01% | 96 | Common | SOLE |
| 20825c104 | — | ConocoPhillips | $13 | 0.00% | 113 | Common | SOLE |
| 14057J101 | CFFN | Capitol Federal Financial, Inc. | $13 | 0.00% | 2,000 | Common | SOLE |
| 500754106 | KHC | The Kraft Heinz Company | $12 | 0.00% | 333 | Common | SOLE |
| 50155Q100 | KD | Kyndryl Holdings Inc. | $9 | 0.00% | 428 | Common | SOLE |
| 31423J102 | — | FaZe Holdings Inc. | $8 | 0.00% | 667 | Common | SOLE |
| 85571B105 | STWD | Starwood Property Trust, Inc. | $8 | 0.00% | 400 | Common | SOLE |
| 36266G107 | GEHC | GE Healthcare Technologies | $8 | 0.00% | 104 | Common | SOLE |
| 163851108 | CC | The Chemours Company | $8 | 0.00% | 240 | Common | SOLE |
| 002824100 | ABT | Abbott Laboratories | $6 | 0.00% | 50 | Common | SOLE |
| 742718109 | PG | The Procter & Gamble Company | $5 | 0.00% | 35 | 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.