13F HOLDINGS REPORT
Knott David M Jr
Quarter ended Q3 2023 · Filed August 11, 2023 · Accession 0001104659-23-090105
Total Value
$251,270
Positions
153
Other Managers
1
Confidential Omitted
No
Holdings (153)
| # | Issuer | Ticker / CUSIP | Shares | Value | % of Filing |
|---|---|---|---|---|---|
| 1 | Calumet Specialty Products Partners, LP | 131476103 | 4,325,000 | $68,595 | 27.30% |
| 2 | Apollo Global Management, Inc. | 03769M106 | 225,000 | $17,282 | 6.88% |
| 3 | Alphabet Inc-Cl C | GOOG | 112,000 | $13,549 | 5.39% |
| 4 | FTAI Aviation Ltd. | FTAIN | 425,000 | $13,456 | 5.36% |
| 5 | DocGo, Inc. | DCGO | 1,400,000 | $13,118 | 5.22% |
| 6 | Midwest Holding Inc. | 59833J206 | 390,241 | $10,271 | 4.09% |
| 7 | Franklin BSP Realty Trust, Inc. | 35243J101 | 429,047 | $6,075 | 2.42% |
| 8 | Coliseum Acquisition Corp. Wts | G2263T107 | 495,000 | $5,693 | 2.27% |
| 9 | OmniAB, Inc. | OABIW | 1,086,505 | $5,465 | 2.17% |
| 10 | Ligand Pharmaceuticals Incorporated | LGNZZ | 75,000 | $5,408 | 2.15% |
| 11 | African Gold Acquistion Corp. Warrants | G0112R124 | 450,000 | $5,175 | 2.06% |
| 12 | Ardelyx, Inc. | ARDX | 1,500,000 | $5,085 | 2.02% |
| 13 | CALLS/Calumet Specialty Product @20 ex1/24 | 131476903 | 251,000 | $3,981 | 1.58% |
| 14 | Avadel Pharmaceuticals plc | 05337M104 | 240,629 | $3,966 | 1.58% |
| 15 | Pfizer Inc. | PFE | 97,537 | $3,578 | 1.42% |
| 16 | IVERIC bio, Inc. | 46583P102 | 87,000 | $3,423 | 1.36% |
| 17 | Madrigal Pharmaaceuticals, Inc. | MDGL | 14,000 | $3,234 | 1.29% |
| 18 | Seagen Inc. | SE | 16,500 | $3,176 | 1.26% |
| 19 | JPMorgan Chase & Co. | VYLD | 20,985 | $3,052 | 1.21% |
| 20 | Sanofi | SNYNF | 56,000 | $3,018 | 1.20% |
| 21 | Ligand Pharmaceuticals Incorporated | LGNZZ | 40,000 | $2,884 | 1.15% |
| 22 | Horizon Therapeutics Public Ltd. Company | G46188101 | 27,190 | $2,796 | 1.11% |
| 23 | Jazz Pharmaceuticals PLC | JAZZ | 22,411 | $2,778 | 1.11% |
| 24 | CSX Corporation | CSX | 70,000 | $2,387 | 0.95% |
| 25 | GSK PLC | GLAXF | 65,000 | $2,317 | 0.92% |
| 26 | Seres Therapeutics, Inc. | MCRB | 470,000 | $2,251 | 0.90% |
| 27 | Alkermes PLC | ALKS | 67,000 | $2,097 | 0.83% |
| 28 | Twelve Seas Investment Company II Warrants | TWLVU | 166,666 | $1,917 | 0.76% |
| 29 | Aadi Bioscience, Inc. | WHWK | 261,000 | $1,785 | 0.71% |
| 30 | Chesapeake Energy Corporation | EXE | 20,000 | $1,674 | 0.67% |
| 31 | Cenovus Energy Inc. | CVE | 95,000 | $1,613 | 0.64% |
| 32 | AllianceBernstein Holding L.P. | 01881G106 | 49,500 | $1,592 | 0.63% |
| 33 | FTAI Infrastructure LLC | FIP | 425,000 | $1,568 | 0.62% |
| 34 | Kiwetinohk Energy Corp. | 49836K102 | 160,000 | $1,451 | 0.58% |
| 35 | Ovintiv Inc. | OVV | 35,000 | $1,332 | 0.53% |
| 36 | Arcellx Inc | ACLX | 40,000 | $1,265 | 0.50% |
| 37 | The Mosaic Company | MOS | 35,000 | $1,225 | 0.49% |
| 38 | Viking Therapeutics, Inc. | VKTX | 75,549 | $1,225 | 0.49% |
| 39 | Inozyme Pharma, Inc. | 45790W108 | 220,000 | $1,225 | 0.49% |
| 40 | Ryman Hospitality Properties, Inc. | 78377T107 | 12,400 | $1,152 | 0.46% |
| 41 | Tastemaker Acquisition Corp. Warrants | 876545112 | 100,000 | $1,150 | 0.46% |
| 42 | Vertex Pharmaceuticals, Inc. | VRTX | 3,000 | $1,056 | 0.42% |
| 43 | Coherus Biosciences, Inc. | CHRS | 245,010 | $1,046 | 0.42% |
| 44 | Mondelez International, Inc. | KHC | 14,000 | $1,021 | 0.41% |
| 45 | Xenon Pharmaceuticals Inc. | XENE | 23,866 | $919 | 0.37% |
| 46 | Kimberly-Clark Corporation | KMB | 6,000 | $828 | 0.33% |
| 47 | DuPont de Nemours, Inc. | DD | 9,930 | $709 | 0.28% |
| 48 | AbbVie Inc. | ABBV | 5,037 | $679 | 0.27% |
| 49 | FaZe Holdings Inc. WTS | 31423J110 | 57,654 | $663 | 0.26% |
| 50 | Corteva, Inc. | CTVA | 11,563 | $663 | 0.26% |
| 51 | Abeona Therapeutics Inc. | ABEO | 160,000 | $645 | 0.26% |
| 52 | Dow Inc. | DOW | 11,136 | $593 | 0.24% |
| 53 | Coca-Cola Co. | KO | 9,600 | $578 | 0.23% |
| 54 | Microsoft Corporation | MSFT | 1,600 | $545 | 0.22% |
| 55 | Apple Inc. | AAPL | 2,494 | $484 | 0.19% |
| 56 | Canadian Natural Resources Limited | 136385101 | 8,400 | $473 | 0.19% |
| 57 | Johnson & Johnson | JNJ | 2,800 | $463 | 0.18% |
| 58 | Beyond Air Inc. | XAIR | 87,522 | $373 | 0.15% |
| 59 | Conagra Brands, Inc. | CAG | 10,000 | $337 | 0.13% |
| 60 | Colombier Acquisition Corp. Wts. | CLBR-WT | 26,666 | $307 | 0.12% |
| 61 | Syros Pharmaceutical, Inc | 87184Q206 | 96,260 | $303 | 0.12% |
| 62 | QualTek Services Inc. - Warrants | 74760R113 | 25,000 | $288 | 0.11% |
| 63 | International Business Machines | INTR | 2,142 | $287 | 0.11% |
| 64 | XOMA Corporation | XOMAP | 15,000 | $283 | 0.11% |
| 65 | Poseida Therapeutics, Inc. | 73730P108 | 140,921 | $248 | 0.10% |
| 66 | International Game Technology PLC | INTR | 7,500 | $239 | 0.10% |
| 67 | FS KKR Capital Corp. | FSK | 11,425 | $219 | 0.09% |
| 68 | Legacy Housing Corporation | LEGH | 6,500 | $151 | 0.06% |
| 69 | Evolus, Inc. | EOLS | 20,500 | $149 | 0.06% |
| 70 | Eli Lilly & Co. | LLY | 300 | $141 | 0.06% |
| 71 | FS Bancorp, Inc. | FSBW | 4,380 | $132 | 0.05% |
| 72 | F.N.B. Corporation | 302520101 | 8,905 | $102 | 0.04% |
| 73 | Akero Therapeutics, Inc. | 00973Y108 | 2,000 | $94 | 0.04% |
| 74 | TotalEnergies SE - ADR | TTE | 1,600 | $92 | 0.04% |
| 75 | Leap Therapeutics, Inc. | CYPH | 28,730 | $90 | 0.04% |
| 76 | The Kraft Heinz Company | KHC | 2,399 | $85 | 0.03% |
| 77 | South State Corporation | SSB | 1,068 | $70 | 0.03% |
| 78 | iShares Russell Mid-Cap Growth | 464287481 | 695 | $67 | 0.03% |
| 79 | Occidental Petroleum Corporation | 674599105 | 1,055 | $62 | 0.02% |
| 80 | Broadcom, Inc. | AVGO | 71 | $62 | 0.02% |
| 81 | Eastern Bankshares Inc | EBC | 5,000 | $61 | 0.02% |
| 82 | Nvidia Corp | NVDA | 128 | $54 | 0.02% |
| 83 | Valley National Bancorp | 919794107 | 6,400 | $50 | 0.02% |
| 84 | Danaher Corporation | 235851102 | 180 | $43 | 0.02% |
| 85 | Eagle Materials Inc. | 26969P108 | 228 | $43 | 0.02% |
| 86 | iShares Core MSCI EAFE | 46432F842 | 633 | $43 | 0.02% |
| 87 | Amazon.com Inc. | AMZN | 300 | $39 | 0.02% |
| 88 | Alphabet Inc CL A | GOOG | 300 | $36 | 0.01% |
| 89 | Quanta Services, Inc. | 74762E102 | 176 | $35 | 0.01% |
| 90 | United Rental, Inc. | URI | 78 | $35 | 0.01% |
| 91 | Wal-Mart Stores, Inc. | WMT | 225 | $35 | 0.01% |
| 92 | iShares Core S&P Small-Cap | 464287804 | 313 | $31 | 0.01% |
| 93 | iShares Russell Mid-Cap Value | 464287473 | 273 | $30 | 0.01% |
| 94 | iShares Russell 2000 Growth | 464287648 | 118 | $29 | 0.01% |
| 95 | Equinix Inc | EQIX | 37 | $29 | 0.01% |
| 96 | Heritage NOLA Bancorp, Inc. | 42727P108 | 3,000 | $29 | 0.01% |
| 97 | Zimmer Biomet Holdings Inc | ZBH | 190 | $28 | 0.01% |
| 98 | Aramark | ARMK | 651 | $28 | 0.01% |
| 99 | IQVIA Holdings Inc | IQV | 122 | $27 | 0.01% |
| 100 | Linde PLC | LIN | 70 | $27 | 0.01% |
| 101 | Alphabet Inc-Cl C | GOOG | 220 | $27 | 0.01% |
| 102 | United Healthcare Corp. | UNH | 57 | $27 | 0.01% |
| 103 | Medtronic, Inc. | MDT | 300 | $26 | 0.01% |
| 104 | Home Depot Inc. | HD | 80 | $25 | 0.01% |
| 105 | Morgan Stanley Group Inc. | MS-PQ | 293 | $25 | 0.01% |
| 106 | ishares MSCI EAFE Growth Index Fund | 464288885 | 252 | $24 | 0.01% |
| 107 | Vulcan Materials Co | 929160109 | 103 | $23 | 0.01% |
| 108 | Thermo Fisher Scientific, Inc. | TMO | 45 | $23 | 0.01% |
| 109 | Chubb Corporation | CB | 121 | $23 | 0.01% |
| 110 | Target Corporation | TGT | 166 | $22 | 0.01% |
| 111 | Arc Resources Ltd. | 03940R107 | 1,229 | $22 | 0.01% |
| 112 | Chipotle Mexican Grill, Inc. | CMG | 10 | $21 | 0.01% |
| 113 | Blackrock, Inc. | BLK | 31 | $21 | 0.01% |
| 114 | Blackstone Group LP | BX | 210 | $20 | 0.01% |
| 115 | Aecom | ACM | 228 | $19 | 0.01% |
| 116 | Wells Fargo & Company | 949746101 | 438 | $19 | 0.01% |
| 117 | iShares Core MSCI Emerging Markets | 46434G103 | 363 | $18 | 0.01% |
| 118 | CVS Caremark Corporation | CVS | 258 | $18 | 0.01% |
| 119 | General Electric Company | GE | 162 | $18 | 0.01% |
| 120 | American Tower Corp. | 03027X100 | 93 | $18 | 0.01% |
| 121 | Adobe | ADBE | 35 | $17 | 0.01% |
| 122 | Charles Schwab Corporation | SCHW-PJ | 284 | $16 | 0.01% |
| 123 | Salesforce, Inc. | CRM | 77 | $16 | 0.01% |
| 124 | Chevron Corporation | CVX | 96 | $15 | 0.01% |
| 125 | Lululemon Athletica Inc. | LULU | 39 | $15 | 0.01% |
| 126 | Schlumberger Limited | SLB | 292 | $14 | 0.01% |
| 127 | iShares New York Muni Bond | 464288323 | 242 | $13 | 0.01% |
| 128 | Paccar Inc | PCAR | 148 | $12 | 0.00% |
| 129 | ConocoPhillips | COP | 113 | $12 | 0.00% |
| 130 | Capitol Federal Financial, Inc. | 14057J101 | 2,000 | $12 | 0.00% |
| 131 | iShares Russell 2000 Value | 464287630 | 86 | $12 | 0.00% |
| 132 | Nike Inc. | NKE | 91 | $10 | 0.00% |
| 133 | Generac Holdings, Inc. | GNRC | 69 | $10 | 0.00% |
| 134 | The Walt Disney Company | 254687106 | 116 | $10 | 0.00% |
| 135 | African Gold Acquistion Corp. Warrants | G0112R124 | 750 | $9 | 0.00% |
| 136 | The Chemours Company | CC | 240 | $9 | 0.00% |
| 137 | iShares MSCI United Kingdom Small-Cap | 46429B416 | 246 | $8 | 0.00% |
| 138 | Starwood Property Trust, Inc. | STHO | 400 | $8 | 0.00% |
| 139 | FaZe Holdings Inc. WTS | 31423J110 | 667 | $8 | 0.00% |
| 140 | Kyndryl Holdings Inc. | KD | 428 | $6 | 0.00% |
| 141 | Proctor & Gamble Company | 742718109 | 35 | $5 | 0.00% |
| 142 | Abbott Laboratories | ABLZF | 50 | $5 | 0.00% |
| 143 | iShares MSCI Germany | 464286806 | 150 | $4 | 0.00% |
| 144 | iShares MSCI United Kingdom | 46435G334 | 116 | $4 | 0.00% |
| 145 | Occidential Pertro Wts exp. 8/3/27 | 674599162 | 194 | $4 | 0.00% |
| 146 | ishares Msci Value Index Fund | 464288877 | 63 | $3 | 0.00% |
| 147 | iShares MSCI Eurozone | 464286608 | 55 | $3 | 0.00% |
| 148 | SPDR Sec SER TR Bloom Emer Mkts Loc BD etf | 78464A391 | 147 | $3 | 0.00% |
| 149 | Sculptor Cap Mgmt CL A | 811246107 | 200 | $2 | 0.00% |
| 150 | iShares iBoxx $ High Yield Corporate Bond | 464288513 | 32 | $2 | 0.00% |
| 151 | Wabtec Corporation | 929740108 | 6 | $1 | 0.00% |
| 152 | iShares JPMorgan USD Emerging Markets Bond | 464288281 | 17 | $1 | 0.00% |
| 153 | SVB Financial Group | 78486Q101 | 48 | $0 | 0.00% |