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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Form 13F COVER PAGE
Report for the Calendar Year or Quarter Ended June 30, 1999
Check here if Amendment [ ]: Amendment Number:
This Amendment (Check only one):
|_| is a restatement.
|_| adds new holdings entries
Institutional Investment Manager Filing this Report:
Name: David M. Knott
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Address: 485 Underhill Boulevard
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Suite 205
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Syosset, NY 11791
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Form 13F File Number: 28-
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The institutional investment manager filing this
report and the person by whom it is signed hereby represent
that the person signing the report is authorized to submit it,
that all information contained herein is true, correct and
complete, and that it is understood that all required items,
statements, schedules, lists and tables are considered
integral parts of this form.
Person Signing this Report on Behalf of Reporting Manager:
Reporting Manager:
Name: David M. Knott
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Title: Investment Manager
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Phone: (516) 364-0303
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Signature, Place and Date of Signing:
/s/ David M. Knott
- --------------------------------------------------------------------------------
[Signature]
Syosset, New York
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[City, State]
August 12, 1999
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[Date]
Report Type (Check only one.):
|X| 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager
are reported in this report.)
|_| 13F NOTICE. (Check here if no holdings reported are in this report, and all
holdings are reported by other reporting manager(s).)
|_| 13F COMBINATION REPORT. (Check here if a portion of the
holdings for this reporting manager are reported in this
report and a portion are reported by other reporting
manager(s).)
<PAGE>
Form 13F Summary Page
Report Summary:
Number of Other Included Managers:
0
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Form 13F Information Table Entry Total:
114
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Form 13F Information Table Value Total:
$ 370,547 (thousands)
--------------
List of Other Included Managers: NONE
Page 2 of 8
<PAGE>
<TABLE>
<CAPTION>
FORM 13F INFORMATION TABLE
- ------------------------------------------------------------------------------------------------------------------------------------
Column 1 Column 2 Column 3 Column 4 Column 5 Column 6
- ------------------------------------------------------------------------------------------------------------------------------------
Name of Issuer Title of Class CUSIP Value Shrs SH/PRN Put/Call Investment
($) or discretion
pm amt
- ------------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C>
Ackerly Group Inc. Common 004527107 2,417,119 132,900 SH SOLE
Ackerly Group Inc. Common 004527107 2,624,817 144,300 SH DEFINED
AHT Corporation Common 00130R103 467,250 124,600 SH SOLE
AHT Corporation Common 00130R103 372,000 99,200 SH DEFINED
AgriBiotech Inc. Common 008494106 1,723,569 284,300 SH SOLE
AgriBiotech Inc. Common 008494106 717,504 118,400 SH DEFINED
Amazon.com Inc. Common 023135106 750,750 6,000 SH SOLE
Amazon.com Inc. Common 023135106 563,040 4,500 SH DEFINED
American Int'l Group Inc. Common 026874107 23,684,500 202,000 SH SOLE
American Int'l Group Inc. Common 026874107 18,951,938 161,637 SH DEFINED
American Express Common 025816109 9,707,325 74,600 SH SOLE
American Express Common 025816109 7,742,140 59,500 SH DEFINED
AMR Corp. Common 001765106 2,934,750 43,000 SH SOLE
AMR Corp. Common 001765106 2,156,700 31,600 SH DEFINED
Aristotle Corp. Common 040448201 19,435 3,380 SH SOLE
Bank of NY Inc. Common 064057102 28,029,250 764,000 SH SOLE
Bank of NY Inc. Common 064057102 22,171,767 604,300 SH DEFINED
Berkshire Hathaway Inc. Cl. B Common 084670207 2,240,000 1,000 SH SOLE
Berkshire Hathaway Inc. Cl. B Common 084670207 1,758,400 785 SH DEFINED
Chesapeake Energy Corp. Common 165167107 923,256 314,300 SH SOLE
Chesapeake Energy Corp. Common 165167107 3,528 1,200 SH DEFINED
CNB Bancshares Inc. Common 126126101 413,364 7,252 SH DEFINED
- ------------------------------------------------------------------------------------------------------------------------------------
COLUMN TOTAL $ 130,372,402
- ------------------------------------------------------------------------------------------------------------------------------------
</TABLE>
- -----------------------------------------
Column 7 Column 8
- -----------------------------------------
Other Voting Authority
Managers
----------------------------
Sole Shared None
- -----------------------------------------
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
Page 3 of 8
<PAGE>
FORM 13F INFORMATION TABLE
<TABLE>
<CAPTION>
- ------------------------------------------------------------------------------------------------------------------------------------
Column 1 Column 2 Column 3 Column 4 Column 5 Column 6
- ------------------------------------------------------------------------------------------------------------------------------------
Name of Issuer Title of Class CUSIP Value Shrs SH/PRN Put/Call Investment
($) or discretion
pm amt
- ------------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C>
Coca-Cola Co. Common 191216100 1,674,000 27,000 SH SOLE
Columbia Labs Inc. Common 197779101 7,432,250 868,000 SH SOLE
Columbia Labs Inc. Common 197779101 821,496 96,100 SH DEFINED
Computer Learning Centers Inc. Common 205199102 93,812 19,000 SH SOLE
Delphi Automotive Systems Corp. Common 247126105 370,000 20,000 SH SOLE
Delphi Automotive Systems Corp. Common 247126105 299,700 16,200 SH DEFINED
EBay Inc. Common 278642103 4,041,712 26,700 SH SOLE
EBay Inc. Common 278642103 2,088,906 13,800 SH DEFINED
Eclipse Surgical Tech Inc. Common 278849104 3,574,180 330,560 SH SOLE
Eclipse Surgical Tech Inc. Common 278849104 2,897,512 198,000 SH DEFINED
Fifth Third Bancorp Common 316773100 9,988,127 150,062 SH DEFINED
Fifth Third Bancorp Common 316773100 13,179,375 198,000 SH SOLE
Fila Holding SPA Common 316850106 37,792 3,200 SH DEFINED
Fila Holding SPA Common 316850106 198,450 16,800 SH SOLE
First Security Corp. Common 336294103 1,356,341 49,774 SH SOLE
First Security Corp. Common 336294103 1,152,266 42,285 SH DEFINED
First Keystone Financial Inc. Common 320655103 802,944 61,200 SH DEFINED
First Keystone Financial Inc. Common 320655103 1,113,000 84,800 SH SOLE
Firstar Corp. Common 33763V109 10,414,236 371,937 SH DEFINED
Firstar Corp. Common 33763V109 12,264,000 438,000 SH SOLE
Frontier Airlines Inc. Common 359065109 2,299,425 142,600 SH SOLE
Frontier Airlines Inc. Common 359065109 1,823,172 113,100 SH DEFINED
General Nutrition Cos. Inc. Common 37047F103 2,303,275 98,800 SH SOLE
General Nutrition Cos. Inc. Common 37047F103 1,829,835 78,500 SH DEFINED
- ------------------------------------------------------------------------------------------------------------------------------------
COLUMN TOTAL $ 82,055,806
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</TABLE>
- ---------------------------------------------
Column 7 Column 8
- ---------------------------------------------
Other Voting Authority
Managers
--------------------------------
Sole Shared None
- ---------------------------------------------
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
Page 4 of 8
<PAGE>
FORM 13F INFORMATION TABLE
<TABLE>
<CAPTION>
- ------------------------------------------------------------------------------------------------------------------------------------
Column 1 Column 2 Column 3 Column 4 Column 5 Column 6
- ------------------------------------------------------------------------------------------------------------------------------------
Name of Issuer Title of Class CUSIP Value Shrs SH/PRN Put/Call Investment
($) or discretion
pm amt
- ------------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C>
Globalstar Communications Ltd. Common G3930H104 2,318,750 100,000 SH SOLE
Globalstar Communications Ltd. Common G3930H104 1,864,569 80,404 SH DEFINED
Goldman Sachs Common 38141G104 361,250 5,000 SH DEFINED
Hollinger Inc. Common 435569108 4,678,750 394,000 SH SOLE
Hollinger Inc. Common 435569108 3,722,432 313,600 SH DEFINED
Homestead Bancorp. Inc. Common 437698103 393,750 52,500 SH DEFINED
Homestead Bancorp. Inc. Common 437698103 480,000 64,000 SH SOLE
Household Int'l Inc. Common 441815107 8,821,225 186,200 SH SOLE
Household Int'l Inc. Common 441815107 7,067,604 149,200 SH DEFINED
Houston Exploration Common 442120101 276,524 14,600 SH DEFINED
Houston Exploration Common 442120101 356,025 18,800 SH SOLE
IDT Corp. Common 448947101 82,325 3,700 SH DEFINED
IDT Corp. Common 448947101 129,050 5,800 SH SOLE
Igen International Inc. Common 449536101 221,312 7,600 SH DEFINED
Igen International Inc. Common 449536101 704,825 24,200 SH SOLE
ITLA Capital Corp. Common 450565106 529,200 33,600 SH DEFINED
ITLA Capital Corp. Common 450565106 663,075 42,100 SH SOLE
JCC Holding Co. Common 46611Q205 1,928,200 248,800 SH SOLE
JCC Holding Co. Common 46611Q205 1,558,525 201,100 SH DEFINED
JeffBanks Inc. Common 472317106 610,297 21,461 SH SOLE
Jefferies Group Inc. Common 472318104 954,100 32,900 SH SOLE
Jefferies Group Inc. Common 472318104 698,900 24,100 SH DEFINED
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COLUMN TOTAL $ 38,420,688
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</TABLE>
- ---------------------------------------------
Column 7 Column 8
- ---------------------------------------------
Other Voting Authority
Managers
--------------------------------
Sole Shared None
- ---------------------------------------------
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
Page 5 of 8
<PAGE>
FORM 13F INFORMATION TABLE
<TABLE>
<CAPTION>
- ------------------------------------------------------------------------------------------------------------------------------------
Column 1 Column 2 Column 3 Column 4 Column 5 Column 6
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Name of Issuer Title of Class CUSIP Value Shrs SH/PRN Put/Call Investment
($) or discretion
pm amt
- ------------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C>
Labor Ready Inc. Common 505401208 377,000 11,600 SH SOLE
Maxxam Inc. Common 577913106 10,068,450 156,100 SH DEFINED
Maxxam Inc. Common 577913106 11,932,500 185,000 SH SOLE
Medicis Pharmaceutical Corp. Common 584690309 114,187 4,500 SH SOLE
Medicis Pharmaceutical Corp. Common 584690309 76,110 3,000 SH DEFINED
Mercantile Bancorporation Inc. Common 587342106 1,276,518 22,348 SH DEFINED
Mercantile Bancorporation Inc. Common 587342106 2,349,494 41,129 SH SOLE
Mesa Air Group Inc. Common 590479101 420,875 56,000 SH SOLE
Mesa Air Group Inc. Common 590479101 330,880 44,000 SH DEFINED
Offshore Logistics Inc. Common 676255102 239,187 21,500 SH SOLE
Offshore Logistics Inc. Common 676255102 177,920 16,000 SH DEFINED
Onsale Inc. Common 682838107 172,354 9,100 SH DEFINED
Onsale Inc. Common 682838107 395,794 20,900 SH SOLE
Picturetel Corp. Common 720035302 1,716,000 214,500 SH SOLE
Picturetel Corp. Common 720035302 1,376,800 172,100 SH DEFINED
PLC Systems Inc. Common 69341D104 142,800 40,800 SH SOLE
PYR Energy Corp. Common 693677106 258,813 126,250 SH DEFINED
PYR Energy Corp. Common 693677106 317,750 155,000 SH SOLE
Splash Technology Holdings Inc. Common 848623104 531,562 75,600 SH SOLE
Splash Technology Holdings Inc. Common 848623104 417,582 59,400 SH DEFINED
Stone Energy Corp. Common 861642106 3,508,650 82,800 SH SOLE
Stone Energy Corp. Common 861642106 2,682,021 63,300 SH DEFINED
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COLUMN TOTAL $ 38,883,247
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</TABLE>
- ---------------------------------------------
Column 7 Column 8
Other Voting Authority
Managers
--------------------------------
Sole Shared None
- ---------------------------------------------
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
Page 6 of 8
<PAGE>
FORM 13F INFORMATION TABLE
<TABLE>
<CAPTION>
- ------------------------------------------------------------------------------------------------------------------------------------
Column 1 Column 2 Column 3 Column 4 Column 5 Column 6
- ------------------------------------------------------------------------------------------------------------------------------------
Name of Issuer Title of Class CUSIP Value Shrs SH/PRN Put/Call Investment
($) or discretion
pm amt
- ------------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C>
Sunrise Techs Common 86769L103 673,750 55,000 SH DEFINED
Sunrise Techs Common 86769L103 882,000 72,000 SH SOLE
TCSI Corp. Common 87233R106 701,184 273,900 SH DEFINED
TCSI Corp. Common 87233R106 905,331 353,300 SH SOLE
Triton Energy Corp. Common G90751101 3,186 300 SH DEFINED
Triton Energy Corp. Common G90751101 1,083,750 102,000 SH SOLE
U.S. Bancorp Common 902973106 2,136,000 64,000 SH SOLE
U.S. Bancorp Common 902973106 1,698,533 50,900 SH DEFINED
Unocal Corp. Common 915289102 2,139,750 54,000 SH SOLE
Unocal Corp. Common 915289102 1,719,508 43,400 SH DEFINED
Valassis Communications Co. Common 918866104 3,735,750 102,000 SH SOLE
Valassis Communications Co. Common 918866104 2,953,403 80,650 SH DEFINED
Value Line Inc. Common 920437100 616,200 15,800 SH SOLE
Value Line Inc. Common 920437100 475,800 12,200 SH DEFINED
Vialog Corp. Common 92552X106 143,500 41,000 SH SOLE
Vialog Corp. Common 92552X106 119,000 34,000 SH DEFINED
Wachovia Corp. Common 929771103 6,930,360 81,000 SH DEFINED
Wachovia Corp. Common 929771103 8,727,375 102,000 SH SOLE
Wells Fargo & Co. Common 949740104 18,981,000 444,000 SH SOLE
Wells Fargo & Co. Common 949740104 15,022,350 351,400 SH DEFINED
Zions Bancorp Common 989701107 4,851,400 76,400 SH DEFINED
Zions Bancorp Common 989701107 6,223,000 98,000 SH SOLE
- ------------------------------------------------------------------------------------------------------------------------------------
COLUMN TOTAL $ 80,722,130
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</TABLE>
- ---------------------------------------------
Column 7 Column 8
Other Voting Authority
Managers
---------------------------------
Sole Shared None
- ---------------------------------------------
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
Page 7 of 8
<PAGE>
<TABLE>
<CAPTION>
FORM 13F INFORMATION TABLE
- ------------------------------------------------------------------------------------------------------------------------------------
Column 1 Column 2 Column 3 Column 4 Column 5 Column 6
- ------------------------------------------------------------------------------------------------------------------------------------
Name of Issuer Title of Class CUSIP Value Shrs SH/PRN Put/Call Investment
($) or discretion
pm amt
- ------------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C>
Zonagen Inc. Common 98975L108 51,800 5,600 SH SOLE
Zonagen Inc. Common 98975L108 40,700 4,400 SH DEFINED
COLUMN TOTAL $ 92,500
- ------------------------------------------------------------------------------------------------------------------------------------
GRAND TOTAL: $ 370,546,773
- ------------------------------------------------------------------------------------------------------------------------------------
</TABLE>
- -----------------------------------------
Column 7 Column 8
Other Voting Authority
Managers
---------------------------
Sole Shared None
- -----------------------------------------
X
X
Page 8 of 8
