KD
Knott David M Historical SEC 13F Holdings & Archive (Q3 2021)
Knott David MCIK: 0000808722
Diversified strategySector-focusedLong-term holder
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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Personality snowflake
- Concentration
- 12.62
- Portfolio Stability
- 0
- Momentum
- 50
- Sector conviction
- 100
- Diversification
- 100
- Sizing Uniformity
- 80.62
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.
Source and citation information
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Recent moves
View source Form 13F filing on SEC.govNo holding changes this quarter
Holdings Map
New buyAddUnchangedTrim
Top 10 holdings by weight
Full holdings list 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 ADR | 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% | — | — |
1–50 of 150
Reported value over time
Sector allocation
Sector allocation over time
Quarterly history
| Period | Holdings | Total value | Stability | Top holdings | |
|---|---|---|---|---|---|
| 2021 Q3 | 197 | $275.2M | 0 | ||
| 2021 Q2 | 195 | $281.3M | 91 | ||
| 2021 Q1 | 166 | $233.8M | 52 | ||
| 2020 Q4 | 145 | $221.0M | 48 | ||
| 2020 Q3 | 135 | $170.4M | 32 | ||
| 2020 Q2 | 127 | $183.2M | 47 | ||
| 2020 Q1 | 156 | $158.5M | 64 | ||
| 2019 Q4 | 152 | $246.7M | 23 | ||
| 2019 Q3 | 157 | $238.0M | 39 | ||
| 2019 Q2 | 148 | $237.1M | 26 | ||
| 2019 Q1 | 143 | $250.9M | 36 | ||
| 2018 Q4 | 133 | $212.8M | 52 | ||
| 2018 Q3 | 139 | $308.2M | 28 | ||
| 2018 Q2 | 142 | $266.8M | 42 | ||
| 2018 Q1 | 141 | $242.6M | 37 | ||
| 2017 Q4 | 147 | $251.4M | 17 | ||
| 2017 Q3 | 145 | $234.0M | 17 | ||
| 2017 Q2 | 123 | $239.6M | 21 | ||
| 2017 Q1 | 109 | $207.8M | 9 | ||
| 2016 Q4 | 100 | $198.7M | 9 | ||
| 2016 Q3 | 95 | $193.7M | 79 | ||
| 2016 Q2 | 128 | $434.1M | 21 | ||
| 2016 Q1 | 125 | $375.3M | 12 | ||
| 2015 Q4 | 124 | $364.9M | 23 | ||
| 2015 Q3 | 125 | $346.7M | 41 | ||
| 2015 Q2 | 128 | $483.4M | 24 | ||
| 2015 Q1 | 126 | $464.3M | 31 | ||
| 2014 Q4 | 109 | $424.2M | 40 | ||
| 2014 Q3 | 112 | $525.6M | 20 | ||
| 2014 Q2 | 109 | $557.8M | 26 | ||
| 2014 Q1 | 95 | $523.1M | 29 | ||
| 2013 Q4 | 93 | $490.2M | 31 | ||
| 2013 Q3 | 102 | $523.0M | 19 | ||
| 2013 Q2 | 96 | $480.6M | 0 |
Holding changes this quarter
| # | Ticker | Issuer | Weight Change | Shares Change | Action |
|---|
Filing History
FAQ
What is Knott David M and what type of investor is it?
Knott David M is an investment manager that files SEC Form 13F quarterly, disclosing its U.S. public equity holdings to regulators. As of the most recent reporting period (2021-09-30), the firm manages a tracked equity portfolio valued at approximately $275.2M, spread across 197 disclosed positions.
What are Knott David M's largest equity positions?
Based on the latest 13F filing, Knott David M's top holdings by market value are:
1. Calumet Specialty Products (CLMTUSD) — $28.2M (10.3%)
2. Apollo Asset Management Inc (APOEUR) — $15.4M (5.6%)
3. Alphabet Inc-cl C (GOOG) — $14.9M (5.4%)
4. Fortress Transportation-cl A (FTAIEUR) — $12.6M (4.6%)
5. Greenidge Generation Hldgs I — $11.5M (4.2%)
What changes did Knott David M make in its most recent portfolio filing?
No notable portfolio changes were recorded for Knott David M in the most recent quarter. Holdings appear to have remained relatively stable.
What sectors does Knott David M focus on?
Knott David M is concentrated in the following sectors based on its current disclosed equity portfolio:
• Communication Services: 44.1%
• Health Care: 36.7%
• Financials: 15.1%
• Consumer Staples: 2.1%
• Information Technology: 1.8%
• Energy: 0.1%
Investment Profile
Knott David M's portfolio is broadly diversified and long-term-holding, with 44.1% of the portfolio concentrated in Communication Services.
Its turnover score has fallen from 32 to 0 over the past 4 quarters — a shift toward longer holding periods.
It has added to its CLMTUSD position over the past two quarters (+$10.9M, now $28.2M), while trimming DANIMER SCIENTIFIC INC over the same stretch (-$4.3M, still holding $3.3M).
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