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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 September 30, 1999
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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-
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]
November 11, 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:
109
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Form 13F Information Table Value Total:
$ 327,908 (thousands)
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List of Other Included Managers: NONE
Page 2 of 7
<PAGE>
<TABLE>
<CAPTION>
Form 13F Information Table
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Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8
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Name of Issuer Title of CUSIP Value Shrs or SH/PRN Put/ Investment Other Voting Authority
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Class ($) prn amt Call discretion Managers Sole Shared None
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<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
4 Kids Entertainment Common 350865101 262,500 8,400 SH DEFINED X
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4 Kids Entertainment Common 350865101 362,500 11,600 SH SOLE X
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Ackerly Group Inc. Common 004527107 1,636,331 132,900 SH SOLE X
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Ackerly Group Inc. Common 004527107 1,504,588 122,200 SH DEFINED X
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AgriBiotech Inc. Common 008494106 1,154,969 284,300 SH SOLE X
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AgriBiotech Inc. Common 008494106 481,000 118,400 SH DEFINED X
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AHT Corporation Common 00130R103 351,366 120,900 SH SOLE X
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AHT Corporation Common 00130R103 211,862 72,900 SH DEFINED X
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AK Steel Holding Common 001547108 193,450 10,600 SH DEFINED X
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AK Steel Holding Common 001547108 262,800 14,400 SH SOLE X
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Amazon.com Inc. Common 023135106 959,250 12,000 SH SOLE X
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Amazon.com Inc. Common 023135106 719,437 9,000 SH DEFINED X
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American Express Common 025816109 10,071,000 74,600 SH SOLE X
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American Express Common 025816109 7,924,500 58,700 SH DEFINED X
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American Int'l Group Inc. Common 026874107 21,951,719 252,500 SH SOLE X
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American Int'l Group Inc. Common 026874107 17,244,748 198,358 SH DEFINED X
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Aristotle Corp. Common 040448201 17,745 3,380 SH SOLE X
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Aviation Sales Common 053672101 252,700 13,300 SH SOLE X
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Bank of NY Inc. Common 064057102 24,476,250 732,000 SH SOLE X
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Bank of NY Inc. Common 064057102 18,233,469 545,300 SH DEFINED X
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Berkshire Hathaway Inc. Common 084670207 733,120 395 SH DEFINED X
Cl. B
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Chesapeake Energy Corp. Common 165167107 1,217,912 314,300 SH SOLE X
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Chesapeake Energy Corp. Common 165167107 4,650 1,200 SH DEFINED X
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</TABLE>
Page 3 of 7
<PAGE>
<TABLE>
<CAPTION>
Form 13F Information Table
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Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8
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Name of Issuer Title of CUSIP Value Shrs or SH/PRN Put/ Investment Other Voting Authority
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Class ($) prn amt Call discretion Managers Sole Shared None
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<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
CNB Bancshares Inc. Common 126126101 120,098 2,266 SH SOLE X
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CNB Bancshares Inc. Common 126126101 914,356 17,252 SH DEFINED X
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Coca-Cola Co. Common 191216100 1,302,750 27,000 SH SOLE X
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Columbia Labs Inc. Common 197779101 6,510,000 868,000 SH SOLE X
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Columbia Labs Inc. Common 197779101 720,750 96,100 SH DEFINED X
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Computer Learning Centers Common 205199102 70,062 19,000 SH SOLE X
Inc.
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Delphi Automotive Systems Common 247126105 647,319 40,300 SH SOLE X
Corp.
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Delphi Automotive Systems Common 247126105 475,450 29,600 SH DEFINED X
Corp.
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EBay Inc. Common 278642103 4,739,700 33,600 SH SOLE X
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EBay Inc. Common 278642103 2,666,081 18,900 SH DEFINED X
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Eclipse Surgical Tech Inc. Common 278849104 3,085,500 187,000 SH SOLE X
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Eclipse Surgical Tech Inc. Common 278849104 730,290 44,260 SH DEFINED X
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Fifth Third Bancorp Common 316773100 8,181,172 134,462 SH DEFINED X
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Fifth Third Bancorp Common 316773100 12,047,063 198,000 SH SOLE X
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Fila Holding SPA Common 316850106 40,000 3,200 SH DEFINED X
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Fila Holding SPA Common 316850106 210,000 16,800 SH SOLE X
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First Keystone Financial Common 320655103 768,825 61,200 SH DEFINED X
Inc.
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First Keystone Financial Common 320655103 1,065,300 84,800 SH SOLE X
Inc.
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First Security Corp. Common 336294103 1,971,466 82,900 SH SOLE X
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First Security Corp. Common 336294103 1,371,203 57,659 SH DEFINED X
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Firstar Corp. Common 33763V109 11,365,482 443,531 SH DEFINED X
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Firstar Corp. Common 33763V109 14,862,500 580,000 SH SOLE X
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Frontier Airlines Inc. Common 359065109 2,329,400 245,200 SH SOLE X
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Frontier Airlines Inc. Common 359065109 1,700,500 179,000 SH DEFINED X
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Gartner Group Common 366651107 768,000 48,000 SH SOLE X
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</TABLE>
Page 4 of 7
<PAGE>
<TABLE>
<CAPTION>
Form 13F Information Table
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Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8
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Name of Issuer Title of CUSIP Value Shrs or SH/PRN Put/ Investment Other Voting Authority
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Class ($) prn amt Call discretion Managers Sole Shared None
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<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Gartner Group Common 366651107 601,600 37,600 SH DEFINED X
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Goldenstar Resources Warrants 38119T148 54,080 270,400 Call SOLE X
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Goldenstar Resources Warrants 38119T148 41,920 209,600 Call DEFINED X
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Goldenstar Resources Convertible 38119TAAZ 1,048,000 1,048,000 PRN DEFINED X
Debentures
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Goldenstar Resources Convertible 38119TAAZ 1,352,000 1,352,000 PRN SOLE X
Debentures
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Hollinger International Common 435569108 6,327,000 532,800 SH SOLE X
Inc.
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Hollinger International Common 435569108 4,581,375 385,800 SH DEFINED X
Inc.
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Homestead Bancorp. Inc. Common 437698103 393,750 52,500 SH DEFINED X
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Homestead Bancorp. Inc. Common 437698103 480,000 64,000 SH SOLE X
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Household Int'l Inc. Common 441815107 7,639,800 190,400 SH SOLE X
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Household Int'l Inc. Common 441815107 5,918,437 147,500 SH DEFINED X
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IDT Corp. Common 448947101 265,906 12,700 SH DEFINED X
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IDT Corp. Common 448947101 958,937 45,800 SH SOLE X
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Igen International Inc. Common 449536101 603,487 24,200 SH SOLE X
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JCC Holding Co. Common 46611Q205 1,995,500 245,600 SH SOLE X
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JCC Holding Co. Common 46611Q205 1,466,562 180,500 SH DEFINED X
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JeffBanks Inc. Common 472317106 619,686 21,461 SH SOLE X
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Labor Ready Inc. Common 505401208 175,087 17,400 SH SOLE X
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Maxxam Inc. Common 577913106 7,737,075 150,600 SH DEFINED X
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Maxxam Inc. Common 577913106 9,504,375 185,000 SH SOLE X
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Medicis Pharmaceutical Common 584690309 128,250 4,500 SH SOLE X
Corp.
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Medicis Pharmaceutical Common 584690309 85,500 3,000 SH DEFINED X
Corp.
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</TABLE>
Page 5 of 7
<PAGE>
<TABLE>
<CAPTION>
Form 13F Information Table
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Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8
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Name of Issuer Title of CUSIP Value Shrs or SH/PRN Put/ Investment Other Voting Authority
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Class ($) prn amt Call discretion Managers Sole Shared None
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<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Mesa Air Group Inc. Common 590479101 525,525 85,800 SH SOLE X
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Mesa Air Group Inc. Common 590479101 408,537 66,700 SH DEFINED X
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Net 2 Phone Inc. Common 64108N106 307,537 5,900 SH SOLE X
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Net 2 Phone Inc. Common 64108N106 213,712 4,100 SH DEFINED X
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Oneida Ltd. Common 682505102 2,071,687 87,000 SH SOLE X
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Oneida Ltd. Common 682505102 1,512,093 63,500 SH DEFINED X
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Onsale Inc. Common 682838107 123,987 9,100 SH DEFINED X
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Onsale Inc. Common 682838107 284,762 20,900 SH SOLE X
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Picturetel Corp. Common 720035302 1,047,625 246,500 SH SOLE X
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Picturetel Corp. Common 720035302 781,575 183,900 SH DEFINED X
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PLC Systems Inc. Common 69341D104 135,150 40,800 SH SOLE X
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PYR Energy Corp. Common 693677106 552,343 126,250 SH DEFINED X
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PYR Energy Corp. Common 693677106 678,125 155,000 SH SOLE X
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Rehabilicare Inc. Common 758944102 692,000 173,000 SH SOLE X
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Rehabilicare Inc. Common 758944102 508,000 127,000 SH DEFINED X
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Splash Technology Holdings Common 848623104 463,050 75,600 SH SOLE X
Inc.
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Splash Technology Holdings Common 848623104 363,825 59,400 SH DEFINED X
Inc.
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Stone Energy Corp. Common 861642106 3,651,600 71,600 SH SOLE X
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Stone Energy Corp. Common 861642106 2,361,300 46,300 SH DEFINED X
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TCSI Corp. Common 87233R106 427,969 273,900 SH DEFINED X
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TCSI Corp. Common 87233R106 552,031 353,300 SH SOLE X
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Triton Energy Corp. Common G90751101 4,219 300 SH DEFINED X
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Triton Energy Corp. Common G90751101 1,434,375 102,000 SH SOLE X
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US Home Corp. Common 911920106 1,157,000 41,600 SH DEFINED X
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</TABLE>
Page 6 of 7
<PAGE>
<TABLE>
<CAPTION>
Form 13F Information Table
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Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8
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Name of Issuer Title of CUSIP Value Shrs or SH/PRN Put/ Investment Other Voting Authority
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Class ($) prn amt Call discretion Managers Sole Shared None
- ------------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
US Home Corp. Common 911920106 1,596,437 57,400 SH SOLE X
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Valassis Communications Co. Common 918866104 4,481,625 102,000 SH SOLE X
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Valassis Communications Co. Common 918866104 3,482,046 79,250 SH DEFINED X
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Value Line Inc. Common 920437100 551,025 15,800 SH SOLE X
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Value Line Inc. Common 920437100 219,712 6,300 SH DEFINED X
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Vialog Corp. Common 92552X106 148,625 41,000 SH SOLE X
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Vialog Corp. Common 92552X106 40,237 11,100 SH DEFINED X
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Wachovia Corp. Common 929771103 7,029,075 89,400 SH DEFINED X
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Wachovia Corp. Common 929771103 8,648,750 110,000 SH SOLE X
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Wells Fargo & Co. Common 949746101 16,801,000 424,000 SH SOLE X
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Wells Fargo & Co. Common 949746101 13,060,400 329,600 SH DEFINED X
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Zions Bancorp Common 989701107 4,553,435 82,602 SH DEFINED X
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Zions Bancorp Common 989701107 6,138,610 111,358 SH SOLE X
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Zonagen Inc. Common 98975L108 12,925 4,400 SH DEFINED X
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Zonagen Inc. Common 98975L108 16,450 5,600 SH SOLE X
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GRAND TOTAL: $327,907,839
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</TABLE>
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