CIK: 0000808722
Total reported value
$275.2M
Reporting period: 2021-09-30 · Number of holdings: 197
Knott David M disclosed 197 holdings in its latest 13F filing for the period ending 2021-09-30, with total reported value of $275.2M and a quarterly turnover rate of 0.0%.
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Knott David M's disclosed holdings carry a Herfindahl concentration index of 0.032 — mathematically equivalent to about 32 equally-sized positions, well below its 197 actual disclosed holdings. That gap points to a strategy built around a small core of high-conviction bets rather than broad diversification.
Position sizes vary widely across the portfolio (a coefficient of variation of 1.94), with a handful of outsized bets alongside many smaller positions.
No strong tilt toward either adding to existing winners or initiating outsized new positions was observed in the latest reported quarter.
Sector classification currently covers about 14% of this portfolio's disclosed value; the remainder includes holdings (e.g. unmapped tickers, options, or other security types) not yet covered by our sector mapping.
No holding changes this quarter
Showing top 150 holdings (of 197 total)
| # | Ticker | Issuer | Asset Subclass | Weight | Weight Change | Shares Change | 4Q Trend |
|---|---|---|---|---|---|---|---|
| 1 | CLMTUSD | Calumet Specialty Products | Stock-Other | 10.27% | — | +13.14% | |
| 2 | APOEUR | Apollo Asset Management INC | Stock-Other | 5.60% | — | -16.67% | |
| 3 | GOOG | Alphabet Inc-cl C | Stock-Comm Services | 5.43% | — | — | |
| 4 | FTAIEUR | Fortress Transportation-cl A | Stock-Other | 4.60% | — | — | |
| 5 | ✓ | Greenidge Generation Hldgs I | Stock-Other | 4.17% | — | — | |
| 6 | LGND | Ligand Pharmaceuticals | Stock-Healthcare | 3.80% | — | — | |
| 7 | UPLDEUR | Upland Software INC | Stock-Other | 3.65% | — | — | |
| 8 | ✓ | Coliseum Acquisition CORP | Stock-Other | 3.48% | — | — | |
| 9 | KDMN | Kadmon Holdings INC | Stock-Other | 3.14% | — | +18.05% | |
| 10 | MDWTUSD | Midwest Holding INC | Stock-Other | 2.41% | — | +3.03% | |
| 11 | ✓ | Greenidge Generation Hldgs I | Stock-Other | 2.08% | — | — | |
| 12 | ✓ | Stock-Other | 2.07% | — | — | ||
| 13 | ✓ | African Gold Acquisition Cor | Stock-Other | 1.94% | — | — | |
| 14 | TWLVR | Twelve Seas Investment Company III | Stock-Other | 1.82% | — | — | |
| 15 | PFE | Pfizer INC | Stock-Healthcare | 1.79% | — | -4.50% | |
| 16 | ✓ | Glass Houses Acq | Stock-Other | 1.78% | — | — | |
| 17 | FSK | Fs Kkr Capital CORP | Stock-Financials | 1.60% | — | -49.43% | |
| 18 | ✓ | Stock-Other | 1.60% | — | — | ||
| 19 | EBC | Eastern Bankshares INC | Stock-Other | 1.40% | — | -5.00% | |
| 20 | REGN | Regeneron Pharmaceuticals | Stock-Healthcare | 1.32% | — | — | |
| 21 | TREUR | Trillium Therapeutics INC | Stock-Other | 1.27% | — | — | |
| 22 | LOB | Live Oak Bancshares, Inc. | Stock-Other | 1.27% | — | — | |
| 23 | RILYZ | B. Riley Financial, Inc. 5.25% Senior Notes due 2028 | Stock-Other | 1.24% | — | — | |
| 24 | ✓ | Stock-Other | 1.22% | — | — | ||
| 25 | ✓ | Danimer Scientific INC | Stock-Other | 1.19% | — | — | |
| 26 | KKR | Kkr & Co INC | Stock-Financials | 1.11% | — | -50.00% | |
| 27 | ✓ | Avadel Pharmaceuticals PLC | Stock-Other | 1.08% | — | -1.00% | |
| 28 | ✓ | Glass Houses Acq | Stock-Other | 1.05% | — | — | |
| 29 | UTHR | United Therapeutics CORP | Stock-Healthcare | 1.03% | — | — | |
| 30 | JPM | Jpmorgan Chase & Co | Stock-Financials | 1.00% | — | -7.87% | |
| 31 | BMY | Bristol-myers Squibb Co | Stock-Healthcare | 0.91% | — | -2.30% | |
| 32 | AB | Alliancebernstein Holding LP | Stock-Other | 0.91% | — | — | |
| 33 | ✓ | Horizon Therapeutics PLC | Stock-Other | 0.80% | — | -37.50% | |
| 34 | ✓ | Horizon Acquisition CORP | Stock-Other | 0.76% | — | — | |
| 35 | CLDNEUR | Eiger Biopharmaceuticals INC | Stock-Other | 0.76% | — | +9.05% | |
| 36 | ✓ | Stock-Other | 0.72% | — | — | ||
| 37 | ✓ | Priveterra Acquisition CORP | Stock-Other | 0.72% | — | — | |
| 38 | ✓ | Medicus Sciences Acquisition | Stock-Other | 0.71% | — | — | |
| 39 | INVA | Innoviva INC | Stock-Other | 0.70% | — | +141.16% | |
| 40 | ZGNXEUR | Zogenix INC | Stock-Other | 0.69% | — | — | |
| 41 | INCY | Incyte CORP | Stock-Healthcare | 0.66% | — | — | |
| 42 | ✓ | B Riley Principal 150 Merg-a | Stock-Other | 0.63% | — | -66.42% | |
| 43 | ✓ | Kairos Acquisition CORP | Stock-Other | 0.61% | — | — | |
| 44 | TGTX | Tg Therapeutics INC | Stock-Healthcare | 0.60% | — | -1.55% | |
| 45 | CHRS | Coherus Oncology INC | Stock-Other | 0.60% | — | +2.91% | |
| 46 | QURE | uniQure N.V. | Stock-Other | 0.54% | — | — | |
| 47 | XENE | Xenon Pharmaceuticals INC | Stock-Other | 0.53% | — | -32.77% | |
| 48 | AUPH | Aurinia Pharmaceuticals INC | Stock-Other | 0.51% | — | -61.84% | |
| 49 | ✓ | B Riley Principal 250 -cw27 | Stock-Other | 0.49% | — | — | |
| 50 | VKTX | Viking Therapeutics INC | Stock-Healthcare | 0.48% | — | — |
Not enough priced holdings yet to compute performance
| Period | Holdings | Total value | Stability | Top holdings |
|---|---|---|---|---|
| 2021-09-30 | 197 | $275.2M | 0 | |
| 2021-06-30 | 195 | $281.3M | 91 | |
| 2021-03-31 | 166 | $233.8M | 52 | |
| 2020-12-31 | 145 | $221.0M | 48 | |
| 2020-09-30 | 135 | $170.4M | 32 | |
| 2020-06-30 | 127 | $183.2M | 47 | |
| 2020-03-31 | 156 | $158.5M | 64 | |
| 2019-12-31 | 152 | $246.7M | 23 | |
| 2019-09-30 | 157 | $238.0M | 39 | |
| 2019-06-30 | 148 | $237.1M | 26 | |
| 2019-03-31 | 143 | $250.9M | 36 | |
| 2018-12-31 | 133 | $212.8M | 52 | |
| 2018-09-30 | 139 | $308.2M | 28 | |
| 2018-06-30 | 142 | $266.8M | 42 | |
| 2018-03-31 | 141 | $242.6M | 37 | |
| 2017-12-31 | 147 | $251.4M | 17 | |
| 2017-09-30 | 145 | $234.0M | 17 | |
| 2017-06-30 | 123 | $239.6M | 21 | |
| 2017-03-31 | 109 | $207.8M | 9 | |
| 2016-12-31 | 100 | $198.7M | 9 | |
| 2016-09-30 | 95 | $193.7M | 79 | |
| 2016-06-30 | 128 | $434.1M | 21 | |
| 2016-03-31 | 125 | $375.3M | 12 | |
| 2015-12-31 | 124 | $364.9M | 23 | |
| 2015-09-30 | 125 | $346.7M | 41 | |
| 2015-06-30 | 128 | $483.4M | 24 | |
| 2015-03-31 | 126 | $464.3M | 31 | |
| 2014-12-31 | 109 | $424.2M | 40 | |
| 2014-09-30 | 112 | $525.6M | 20 | |
| 2014-06-30 | 109 | $557.8M | 26 | |
| 2014-03-31 | 95 | $523.1M | 29 | |
| 2013-12-31 | 93 | $490.2M | 31 | |
| 2013-09-30 | 102 | $523.0M | 19 | |
| 2013-06-30 | 96 | $480.6M | 0 |
| # | Ticker | Issuer | Weight Change | Shares Change | Action |
|---|
| Period | Filed | Type | EDGAR |
|---|---|---|---|
| 2021-09-30 | 2021-11-12 | 13F-HR | View on EDGAR |
| 2021-06-30 | 2021-08-13 | 13F-HR | View on EDGAR |
| 2021-03-31 | 2021-05-13 | 13F-HR | View on EDGAR |
| 2020-12-31 | 2021-02-12 | 13F-HR | View on EDGAR |
| 2020-09-30 | 2020-11-13 | 13F-HR | View on EDGAR |
| 2020-06-30 | 2020-08-12 | 13F-HR | View on EDGAR |
| 2020-03-31 | 2020-05-13 | 13F-HR | View on EDGAR |
| 2019-12-31 | 2020-02-14 | 13F-HR | View on EDGAR |
| 2019-09-30 | 2019-11-12 | 13F-HR | View on EDGAR |
| 2019-06-30 | 2019-08-12 | 13F-HR | View on EDGAR |
| 2019-03-31 | 2019-05-13 | 13F-HR | View on EDGAR |
| 2018-12-31 | 2019-02-12 | 13F-HR | View on EDGAR |
| 2018-09-30 | 2018-11-13 | 13F-HR | View on EDGAR |
| 2018-06-30 | 2018-08-13 | 13F-HR | View on EDGAR |
| 2018-03-31 | 2018-05-11 | 13F-HR | View on EDGAR |
| 2017-12-31 | 2018-02-13 | 13F-HR | View on EDGAR |
| 2017-09-30 | 2017-11-13 | 13F-HR | View on EDGAR |
| 2017-06-30 | 2017-08-11 | 13F-HR | View on EDGAR |
| 2017-03-31 | 2017-05-12 | 13F-HR | View on EDGAR |
| 2016-12-31 | 2017-02-13 | 13F-HR | View on EDGAR |
| 2016-09-30 | 2016-11-10 | 13F-HR | View on EDGAR |
| 2016-06-30 | 2016-08-12 | 13F-HR | View on EDGAR |
| 2016-03-31 | 2016-05-12 | 13F-HR | View on EDGAR |
| 2015-12-31 | 2016-02-12 | 13F-HR | View on EDGAR |
| 2015-09-30 | 2015-11-12 | 13F-HR | View on EDGAR |
| 2015-06-30 | 2015-08-12 | 13F-HR | View on EDGAR |
| 2015-03-31 | 2015-05-13 | 13F-HR | View on EDGAR |
| 2014-12-31 | 2015-02-13 | 13F-HR | View on EDGAR |
| 2014-09-30 | 2014-11-12 | 13F-HR | View on EDGAR |
| 2014-06-30 | 2014-08-12 | 13F-HR | View on EDGAR |
| 2014-03-31 | 2014-05-13 | 13F-HR | View on EDGAR |
| 2013-12-31 | 2014-02-13 | 13F-HR | View on EDGAR |
| 2013-09-30 | 2013-11-12 | 13F-HR | View on EDGAR |
| 2013-06-30 | 2013-08-13 | 13F-HR | View on EDGAR |
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