<PAGE>
OMB APPROVAL
---------------------------
OMB Number: 3235-0006
Expires: October 31, 2000
Estimated average
burden hours
per response........ 24.7
---------------------------
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Form 13F COVER PAGE
Report for the Calendar Year or Quarter Ended March 31, 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
---------------
Address: 485 Underhill Boulevard
------------------------
Suite 205
----------
Syosset, NY 11791
-------------------
Form 13F File Number: 28-3121
-----------
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
---------------
Title: Investment Manager
-------------------
Phone: (516) 364-0303
--------------
Signature, Place and Date of Signing:
/s/ David M. Knott
- ------------------
[Signature]
Syosset, New York
- -----------------
[City, State]
May 12, 1999
- ------------
[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
------------------------------
Form 13F Information Table Entry Total:
103
------------------------------
Form 13F Information Table Value Total:
$ 356,383 (thousands)
------------
List of Other Included Managers: NONE
Page 2 of 7
<PAGE>
<TABLE>
<CAPTION>
Form 13F Information Table
- ------------------------------------------------------------------------------------------------------------------------------------
Column Column Column Column Column Column Column Column
1 2 3 4 5 6 7 8
- ----------------------- -------------- ---------- --------- -------------------------- ------------ --------- ----------------------
Voting Authority
Title Value Shrs or Investment Other ---------------------
Name of Issuer of Class CUSIP (x$1000) pm amt SH/PRN Put/Call discretion Managers Sole Shared None
- ----------------------- -------------- ---------- --------- --------- ------- -------- ------------ --------- ----- ------ -------
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
AMR Corp. Common 001765106 2,518 43,000 SH SOLE X
- ------------------------------------------------------------------------------------------------------------------------------------
AMR Corp. Common 001765106 1,956 33,400 SH DEFINED X
- ------------------------------------------------------------------------------------------------------------------------------------
Ackerly Group Inc. Common 004527107 2,339 138,100 SH SOLE X
- ------------------------------------------------------------------------------------------------------------------------------------
Ackerly Group Inc. Common 004527107 2,663 157,200 SH DEFINED X
- ------------------------------------------------------------------------------------------------------------------------------------
Advanced Health Corp. Common 00756H108 1,433 488,000 SH SOLE X
- ------------------------------------------------------------------------------------------------------------------------------------
Advanced Health Corp. Common 00756H108 1,092 371,500 SH DEFINED X
- ------------------------------------------------------------------------------------------------------------------------------------
AgriBiotech Inc. Common 008494106 221 35,300 SH SOLE X
- ------------------------------------------------------------------------------------------------------------------------------------
AgriBiotech Inc. Common 008494106 154 24,700 SH DEFINED X
- ------------------------------------------------------------------------------------------------------------------------------------
Airborne Freight Corp. Common 009266107 2,114 68,200 SH SOLE X
- ------------------------------------------------------------------------------------------------------------------------------------
Airborne Freight Corp. Common 009266107 1,637 52,800 SH DEFINED X
- ------------------------------------------------------------------------------------------------------------------------------------
Amazon.com Inc. Common 023135106 1,033 6,000 SH SOLE X
- ------------------------------------------------------------------------------------------------------------------------------------
Amazon.com Inc. Common 023135106 775 4,500 SH DEFINED X
- ------------------------------------------------------------------------------------------------------------------------------------
American Express Common 025816109 8,101 68,800 SH SOLE X
- ------------------------------------------------------------------------------------------------------------------------------------
American Express Common 025816109 6,582 55,900 SH DEFINED X
- ------------------------------------------------------------------------------------------------------------------------------------
American Int'l Group Inc. Common 026874107 23,884 198,000 SH SOLE X
- ------------------------------------------------------------------------------------------------------------------------------------
American Int'l Group Inc. Common 026874107 19,545 162,037 SH DEFINED X
- ------------------------------------------------------------------------------------------------------------------------------------
Aristotle Corp. Common 040448201 21 3,380 SH SOLE X
- ------------------------------------------------------------------------------------------------------------------------------------
Bank of NY Inc. Common 064057102 34,816 968,800 SH SOLE X
- ------------------------------------------------------------------------------------------------------------------------------------
Bank of NY Inc. Common 064057102 28,996 806,800 SH DEFINED X
- ------------------------------------------------------------------------------------------------------------------------------------
Chesapeake Energy Corp. Common 165167107 119 86,200 SH SOLE X
- ------------------------------------------------------------------------------------------------------------------------------------
Chesapeake Energy Corp. Common 165167107 0 300 SH DEFINED X
- ------------------------------------------------------------------------------------------------------------------------------------
COLUMN TOTAL 139,999
- ------------------------------------------------------------------------------------------------------------------------------------
</TABLE>
Page 3 of 7
<PAGE>
<TABLE>
<CAPTION>
Form 13F Information Table
- ------------------------------------------------------------------------------------------------------------------------------------
Column Column Column Column Column Column Column Column
1 2 3 4 5 6 7 8
- ----------------------- -------------- ---------- --------- -------------------------- ------------ --------- ----------------------
Voting Authority
Title Value Shrs or Investment Other ---------------------
Name of Issuer of Class CUSIP (x$1000) pm amt SH/PRN Put/Call discretion Managers Sole Shared None
- ----------------------- -------------- ---------- --------- --------- ------- -------- ------------ --------- ----- ------ -------
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
CIT Group Inc. Common 125577106 1,834 60,000 SH SOLE X
- ------------------------------------------------------------------------------------------------------------------------------------
CIT Group Inc. Common 125577106 1,378 45,100 SH DEFINED X
- ------------------------------------------------------------------------------------------------------------------------------------
Columbia Labs Inc. Common 197779101 5,155 868,000 SH SOLE X
- ------------------------------------------------------------------------------------------------------------------------------------
Columbia Labs Inc. Common 197779101 571 96,100 SH DEFINED X
- ------------------------------------------------------------------------------------------------------------------------------------
EBay Inc. Common 278642103 3,666 26,700 SH SOLE X
- ------------------------------------------------------------------------------------------------------------------------------------
EBay Inc. Common 278642103 1,895 13,800 SH DEFINED X
- ------------------------------------------------------------------------------------------------------------------------------------
Eclipse Surgical Tech Inc. Common 278849104 3,471 330,560 SH SOLE X
- ------------------------------------------------------------------------------------------------------------------------------------
Eclipse Surgical Tech Inc. Common 278849104 2,814 268,040 SH DEFINED X
- ------------------------------------------------------------------------------------------------------------------------------------
Fifth Third Bancorp Common 316773100 13,056 198,000 SH SOLE X
- ------------------------------------------------------------------------------------------------------------------------------------
Fifth Third Bancorp Common 316773100 9,895 150,062 SH DEFINED X
- ------------------------------------------------------------------------------------------------------------------------------------
Fila Holding SPA Common 316850106 139 16,800 SH SOLE X
- ------------------------------------------------------------------------------------------------------------------------------------
Fila Holding SPA Common 316850106 26 3,200 SH DEFINED X
- ------------------------------------------------------------------------------------------------------------------------------------
First Keystone Financial Common 320655103 1,192 84,800 SH SOLE X
Inc.
- ------------------------------------------------------------------------------------------------------------------------------------
First Keystone Financial Common 320655103 860 61,200 SH DEFINED X
Inc.
- ------------------------------------------------------------------------------------------------------------------------------------
Firstar Corp. Common 33763V109 13,067 146,000 SH SOLE X
- ------------------------------------------------------------------------------------------------------------------------------------
Firstar Corp. Common 33763V109 11,096 123,979 SH DEFINED X
- ------------------------------------------------------------------------------------------------------------------------------------
Frontier Airlines Inc. Common 359065109 1,433 145,100 SH SOLE X
- ------------------------------------------------------------------------------------------------------------------------------------
Frontier Airlines Inc. Common 359065109 1,467 148,600 SH DEFINED X
- ------------------------------------------------------------------------------------------------------------------------------------
General Nutrition Cos. Inc. Common 37047F103 3,360 240,000 SH SOLE X
- ------------------------------------------------------------------------------------------------------------------------------------
General Nutrition Cos. Inc. Common 37047F103 2,731 195,100 SH DEFINED X
- ------------------------------------------------------------------------------------------------------------------------------------
Genesco Inc. Common 371532102 925 100,000 SH SOLE X
- ------------------------------------------------------------------------------------------------------------------------------------
Genesco Inc. Common 371532102 748 80,900 SH DEFINED X
- ------------------------------------------------------------------------------------------------------------------------------------
Globalstar Communications Common G3930H104 1,952 140,700 SH SOLE X
Ltd.
- ------------------------------------------------------------------------------------------------------------------------------------
COLUMN TOTAL 82,731
- ------------------------------------------------------------------------------------------------------------------------------------
</TABLE>
Page 4 of 7
<PAGE>
<TABLE>
<CAPTION>
Form 13F Information Table
- ------------------------------------------------------------------------------------------------------------------------------------
Column Column Column Column Column Column Column Column
1 2 3 4 5 6 7 8
- ----------------------- -------------- ---------- --------- -------------------------- ------------ --------- ----------------------
Voting Authority
Title Value Shrs or Investment Other ---------------------
Name of Issuer of Class CUSIP (x$1000) pm amt SH/PRN Put/Call discretion Managers Sole Shared None
- ----------------------- -------------- ---------- --------- --------- ------- -------- ------------ --------- ----- ------ -------
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Globalstar Communicati- Common G3930H104 1,486 107,104 SH DEFINED X
cations Ltd.
- ------------------------------------------------------------------------------------------------------------------------------------
Hollinger Inc. Common 435569108 1,682 124,000 SH SOLE X
- ------------------------------------------------------------------------------------------------------------------------------------
Hollinger Inc. Common 435569108 1,375 101,400 SH DEFINED X
- ------------------------------------------------------------------------------------------------------------------------------------
Homestead Bancorp. Inc. Common 437698103 520 64,000 SH SOLE X
- ------------------------------------------------------------------------------------------------------------------------------------
Homestead Bancorp. Inc. Common 437698103 426 52,500 SH DEFINED X
- ------------------------------------------------------------------------------------------------------------------------------------
Household Int'l Inc. Common 441815107 8,596 188,400 SH SOLE X
- ------------------------------------------------------------------------------------------------------------------------------------
Household Int'l Inc. Common 441815107 7,349 161,100 SH DEFINED X
- ------------------------------------------------------------------------------------------------------------------------------------
Houston Exploration Common 442120101 1,355 78,000 SH SOLE X
- ------------------------------------------------------------------------------------------------------------------------------------
Houston Exploration Common 442120101 1,100 63,300 SH DEFINED X
- ------------------------------------------------------------------------------------------------------------------------------------
IDT Corp. Common 448947101 104 5,800 SH SOLE X
- ------------------------------------------------------------------------------------------------------------------------------------
IDT Corp. Common 448947101 67 3,700 SH DEFINED X
- ------------------------------------------------------------------------------------------------------------------------------------
ITLA Capital Corp. Common 450565106 850 58,600 SH SOLE X
- ------------------------------------------------------------------------------------------------------------------------------------
ITLA Capital Corp. Common 450565106 702 48,400 SH DEFINED X
- ------------------------------------------------------------------------------------------------------------------------------------
Igen International Inc. Common 449536101 581 24,200 SH SOLE X
- ------------------------------------------------------------------------------------------------------------------------------------
Igen International Inc. Common 449536101 341 14,200 SH DEFINED X
- ------------------------------------------------------------------------------------------------------------------------------------
JCC Holding Co. Common 46611Q205 123 36,400 SH SOLE X
- ------------------------------------------------------------------------------------------------------------------------------------
JCC Holding Co. Common 46611Q205 96 28,500 SH DEFINED X
- ------------------------------------------------------------------------------------------------------------------------------------
JeffBanks Inc. Common 472317106 448 21,461 SH SOLE X
- ------------------------------------------------------------------------------------------------------------------------------------
Jefferies Group Inc. Common 472318104 797 16,800 SH SOLE X
- ------------------------------------------------------------------------------------------------------------------------------------
Jefferies Group Common 472318104 579 12,200 SH DEFINED X
- ------------------------------------------------------------------------------------------------------------------------------------
Labor Ready Inc. Common 505401208 303 11,600 SH SOLE X
- ------------------------------------------------------------------------------------------------------------------------------------
COLUMN TOTAL 28,880
- ------------------------------------------------------------------------------------------------------------------------------------
</TABLE>
Page 5 of 7
<PAGE>
<TABLE>
<CAPTION>
Form 13F Information Table
- ------------------------------------------------------------------------------------------------------------------------------------
Column Column Column Column Column Column Column Column
1 2 3 4 5 6 7 8
- ----------------------- -------------- ---------- --------- -------------------------- ------------ --------- ----------------------
Voting Authority
Title Value Shrs or Investment Other ---------------------
Name of Issuer of Class CUSIP (x$1000) pm amt SH/PRN Put/Call discretion Managers Sole Shared None
- ----------------------- -------------- ---------- --------- --------- ------- -------- ------------ --------- ----- ------ -------
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Mariner Post-Acute Common 568459101 219 100,000 SH SOLE X
Network, Inc.
- ------------------------------------------------------------------------------------------------------------------------------------
Mariner Post-Acute Common 568459101 177 81,000 SH DEFINED X
Network, Inc.
- ------------------------------------------------------------------------------------------------------------------------------------
Maxxam Inc. Common 577913106 9,319 185,000 SH SOLE X
- ------------------------------------------------------------------------------------------------------------------------------------
Maxxam Inc. Common 577913106 7,989 158,600 SH DEFINED X
- ------------------------------------------------------------------------------------------------------------------------------------
Medicis Pharmaceutical Common 584690309 135 4,500 SH SOLE X
Corp.
- ------------------------------------------------------------------------------------------------------------------------------------
Medicis Pharmaceutical Common 584690309 90 3,000 SH DEFINED X
Corp.
- ------------------------------------------------------------------------------------------------------------------------------------
Offshore Logistics Inc. Common 676255102 538 46,300 SH SOLE X
- ------------------------------------------------------------------------------------------------------------------------------------
Offshore Logistics Inc. Common 676255102 460 39,600 SH DEFINED X
- ------------------------------------------------------------------------------------------------------------------------------------
Onsale Inc. Common 682838107 701 20,900 SH SOLE X
- ------------------------------------------------------------------------------------------------------------------------------------
Onsale Inc. Common 682838107 305 9,100 SH DEFINED X
- ------------------------------------------------------------------------------------------------------------------------------------
Picturetel Corp. Common 720035302 315 45,000 SH SOLE X
- ------------------------------------------------------------------------------------------------------------------------------------
Picturetel Corp. Common 720035302 262 37,400 SH DEFINED X
- ------------------------------------------------------------------------------------------------------------------------------------
Stone Energy Corp. Common 861642106 2,752 86,000 SH SOLE X
- ------------------------------------------------------------------------------------------------------------------------------------
Stone Energy Corp. Common 861642106 2,237 69,900 SH DEFINED X
- ------------------------------------------------------------------------------------------------------------------------------------
Sunrise Techs Common 86769L103 792 72,000 SH SOLE X
- ------------------------------------------------------------------------------------------------------------------------------------
Sunrise Techs Common 86769L103 605 55,000 SH DEFINED X
- ------------------------------------------------------------------------------------------------------------------------------------
TCSI Corp. Common 87233R106 673 353,300 SH SOLE X
- ------------------------------------------------------------------------------------------------------------------------------------
TCSI Corp. Common 87233R106 529 277,100 SH DEFINED X
- ------------------------------------------------------------------------------------------------------------------------------------
COLUMN TOTAL 28,098
- ------------------------------------------------------------------------------------------------------------------------------------
</TABLE>
Page 6 of 7
<PAGE>
<TABLE>
<CAPTION>
Form 13F Information Table
- ------------------------------------------------------------------------------------------------------------------------------------
Column Column Column Column Column Column Column Column
1 2 3 4 5 6 7 8
- ----------------------- -------------- ---------- --------- -------------------------- ------------ --------- ----------------------
Voting Authority
Title Value Shrs or Investment Other ---------------------
Name of Issuer of Class CUSIP (x$1000) pm amt SH/PRN Put/Call discretion Managers Sole Shared None
- ----------------------- -------------- ---------- --------- --------- ------- -------- ------------ --------- ----- ------ -------
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Triton Energy Corp. Common G90751101 2,035 258,400 SH SOLE X
- ------------------------------------------------------------------------------------------------------------------------------------
Triton Energy Corp. Common G90751101 2 200 SH DEFINED X
- ------------------------------------------------------------------------------------------------------------------------------------
U.S. Bancorp Common 902973106 3,822 112,200 SH SOLE X
- ------------------------------------------------------------------------------------------------------------------------------------
U.S. Bancorp Common 902973106 3,246 95,300 SH DEFINED X
- ------------------------------------------------------------------------------------------------------------------------------------
Unocal Corp. Common 915289102 1,844 50,000 SH SOLE X
- ------------------------------------------------------------------------------------------------------------------------------------
Unocal Corp. Common 915289102 1,416 38,400 SH DEFINED X
- ------------------------------------------------------------------------------------------------------------------------------------
Valassis Communications Co. Common 918866104 3,519 68,000 SH SOLE X
- ------------------------------------------------------------------------------------------------------------------------------------
Valassis Communications Co. Common 918866104 2,826 54,600 SH DEFINED X
- ------------------------------------------------------------------------------------------------------------------------------------
Value Line Inc. Common 920437100 546 15,800 SH SOLE X
- ------------------------------------------------------------------------------------------------------------------------------------
Value Line Inc. Common 920437100 422 12,200 SH DEFINED X
- ------------------------------------------------------------------------------------------------------------------------------------
Vialog Corp. Common 92552X106 173 41,000 SH SOLE X
- ------------------------------------------------------------------------------------------------------------------------------------
Vialog Corp. Common 92552X106 143 34,000 SH DEFINED X
- ------------------------------------------------------------------------------------------------------------------------------------
Washovia Corp. Common 929771103 7,753 95,500 SH SOLE X
- ------------------------------------------------------------------------------------------------------------------------------------
Washovia Corp. Common 929771103 6,260 77,100 SH DEFINED X
- ------------------------------------------------------------------------------------------------------------------------------------
Wells Fargo & Co. Common 949740104 16,844 480,400 SH SOLE X
- ------------------------------------------------------------------------------------------------------------------------------------
Wells Fargo & Co. Common 949740104 13,912 396,800 SH DEFINED X
- ------------------------------------------------------------------------------------------------------------------------------------
Zions Bancorp Common 989701107 6,517 98,000 SH SOLE X
- ------------------------------------------------------------------------------------------------------------------------------------
Zions Bancorp Common 989701107 5,180 77,900 SH DEFINED X
- ------------------------------------------------------------------------------------------------------------------------------------
Zonagen Inc. Common 98975L108 120 5,600 SH SOLE X
- ------------------------------------------------------------------------------------------------------------------------------------
Zonagen Inc. Common 98975L108 95 4,400 SH DEFINED X
- ------------------------------------------------------------------------------------------------------------------------------------
COLUMN TOTAL 76,675
- ------------------------------------------------------------------------------------------------------------------------------------
GRAND TOTAL: 356,383
- ------------------------------------------------------------------------------------------------------------------------------------
</TABLE>
Page 7 of 7
