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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F
FORM 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: December 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
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:
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)
February 10, 2000
- --------------------------------------------------------------------------------
(Date)
Report Type (Check only one.):
|X| 13F HOLDINGS REPORT.
|_| 13F NOTICE.
|_| 13F COMBINATION REPORT.
List of Other Managers Reporting for this Manager:
- --------------------------------------------------------------------------------
- --------------------------------------------------------------------------------
- --------------------------------------------------------------------------------
I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES EXCHANGE ACT OF 1934.
<PAGE>
FORM 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 0
Form 13F Information Table Entry Total: 123
Form 13F Information Table Value Total: $339,970 (thousands)
List of Other Included Managers: NONE
No. 13F File Number Name
Page 3 of 8
<PAGE>
<TABLE>
<CAPTION>
Form 13F Information Table
TITLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY
NAME OF ISSUER OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE
- ------------------------------ -------------- --------- -------- -------- --- ---- ------- -------- ---- ------- --------
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
4 Kids Entertainment Common 350865101 235,200 8,400 SH DEFINED X
4 Kids Entertainment Common 350865101 324,800 11,600 SH SOLE X
Ackerly Group Inc. Common 004527107 3,059,500 168,800 SH SOLE X
Ackerly Group Inc. Common 004527107 2,341,104 129,200 SH DEFINED X
AgriBiotech Inc. Common 008494106 675,212 284,300 SH SOLE X
AgriBiotech Inc. Common 008494106 280,608 118,400 SH DEFINED X
AHT Corporation Common 00130R103 566,719 120,900 SH SOLE X
AHT Corporation Common 00130R103 341,901 72,900 SH DEFINED X
AK Steel Holding Common 001547108 200,022 10,600 SH DEFINED X
AK Steel Holding Common 001547108 271,800 14,400 SH SOLE X
American Express Common 025816109 12,402,250 74,600 SH SOLE X
American Express Common 025816109 9,093,875 54,700 SH DEFINED X
American Int'l Group Inc. Common 026874107 27,247,500 252,000 SH SOLE X
American Int'l Group Inc. Common 026874107 19,756,227 182,725 SH DEFINED X
Aristotle Corp. Common 040448201 12,675 3,380 SH SOLE X
Ashanti Goldfields Company Ltd Common 043743202 495,704 189,200 SH DEFINED X
Ashanti Goldfields Company Ltd Common 043743202 684,600 260,800 SH SOLE X
Bank of NY Inc. Common 064057102 29,280,000 732,000 SH SOLE X
Bank of NY Inc. Common 064057102 21,176,000 529,400 SH DEFINED X
Per-se Technologies Inc. Common 713569309 319,580 38,000 SH DEFINED X
Per-se Technologies Inc. Common 713569309 437,126 52,000 SH SOLE X
Berkshire Hathaway Inc. Cl. B Common 084670207 722,850 395 SH DEFINED X
Chesapeake Energy Corp. Common 165167107 746,462 314,300 SH SOLE X
Chesapeake Energy Corp. Common 165167107 2,844 1,200 SH DEFINED X
Page 3 of 8
<PAGE>
<CAPTION>
Form 13F Information Table
TITLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY
NAME OF ISSUER OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE
- ------------------------------ -------------- --------- -------- -------- --- ---- ------- -------- ---- ------- --------
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Children's Place Retail Stores Common 168905107 427,375 26,000 SH SOLE X
Children's Place Retail Stores Common 168905107 289,344 17,600 SH DEFINED X
Closure Medical Corp. Common 189093107 136,475 10,600 SH SOLE X
Closure Medical Corp. Common 189093107 69,498 5,400 SH DEFINED X
Columbia Labs Inc. Common 197779101 6,510,000 868,000 SH SOLE X
Columbia Labs Inc. Common 197779101 720,750 96,100 SH DEFINED X
Computer Learning Centers Inc. Common 205199102 45,719 19,000 SH SOLE X
Delphi Automotive Systems Corp. Common 247126105 634,725 40,300 SH SOLE X
Delphi Automotive Systems Corp. Common 247126105 466,200 29,600 SH DEFINED X
EBay Inc. Common 278642103 4,206,300 33,600 SH SOLE X
EBay Inc. Common 278642103 2,366,091 18,900 SH DEFINED X
Eclipse Surgical Tech Inc. Common 278849104 1,467,625 199,000 SH SOLE X
Eclipse Surgical Tech Inc. Common 278849104 697,644 94,660 SH DEFINED X
Egghead.Com Inc. Common 282329101 338,319 20,900 SH SOLE X
Egghead.Com Inc. Common 282329101 147,329 9,100 SH DEFINED X
Fifth Third Bancorp Common 316773100 10,982,388 149,685 SH DEFINED X
Fifth Third Bancorp Common 316773100 14,674,927 199,999 SH SOLE X
Fila Holding SPA Common 316850106 35,200 3,200 SH DEFINED X
Fila Holding SPA Common 316850106 184,800 16,800 SH SOLE X
Finet.com Inc. Common 317922300 255,937 195,000 SH SOLE X
First Keystone Financial Inc. Common 320655103 596,700 61,200 SH DEFINED X
First Keystone Financial Inc. Common 320655103 826,800 84,800 SH SOLE X
First Security Corp. Common 336294103 2,116,541 82,900 SH SOLE X
First Security Corp. Common 336294103 1,472,084 57,659 SH DEFINED X
Firstar Corp. Common 33763V109 9,540,580 451,732 SH DEFINED X
Page 4 of 8
<PAGE>
<CAPTION>
Form 13F Information Table
TITLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY
NAME OF ISSUER OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE
- ------------------------------ -------------- --------- -------- -------- --- ---- ------- -------- ---- ------- --------
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Firstar Corp. Common 33763V109 12,675,000 600,000 SH SOLE X
Frontier Airlines Inc. Common 359065109 2,789,150 245,200 SH SOLE X
Frontier Airlines Inc. Common 359065109 2,035,230 179,000 SH DEFINED X
Genesco Inc. Common 371532102 224,900 17,300 SH SOLE X
Genesco Inc. Common 371532102 165,100 12,700 SH DEFINED X
Goldenstar Resources Warrants 38119T148 81,120 270,400 Call SOLE X
Goldenstar Resources Warrants 38119T148 62,880 209,600 Call DEFINED X
Goldenstar Resources Convertible 38119TAAZ 1,442,467 1,048,000 PRN DEFINED X
Debentures
Goldenstar Resources Convertible 38119TAAZ 1,860,893 1,352,000 PRN SOLE X
Debentures
Gulf Indonesia Resources Ltd. Common 402284103 1,235,000 152,000 SH SOLE X
Gulf Indonesia Resources Ltd. Common 402284103 891,576 109,800 SH DEFINED X
Hollinger International Inc. Common 435569108 7,563,262 584,600 SH SOLE X
Hollinger International Inc. Common 435569108 5,513,734 426,100 SH DEFINED X
Homestead Bancorp. Inc. Common 437698103 448,000 64,000 SH SOLE X
Homestead Bancorp. Inc. Common 437698103 367,500 52,500 SH DEFINED X
Household Int'l Inc. Common 441815107 6,705,000 180,000 SH SOLE X
Household Int'l Inc. Common 441815107 5,047,375 135,500 SH DEFINED X
Hudson United Bancorp. Common 444165104 536,787 20,999 SH SOLE X
Hudson City Bancorp. Common 443683107 336 25 SH SOLE X
IDT Corp. Common 448947101 239,649 12,700 SH DEFINED X
IDT Corp. Common 448947101 864,475 45,800 SH SOLE X
Igen International Inc. Common 449536101 719,950 24,200 SH SOLE X
IVillage Inc. Common 46588H105 818,100 40,400 SH SOLE X
Page 5 of 8
<PAGE>
<CAPTION>
Form 13F Information Table
TITLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY
NAME OF ISSUER OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE
- ------------------------------ -------------- --------- -------- -------- --- ---- ------- -------- ---- ------- --------
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
IVillage Inc. Common 46588H105 599,400 29,600 SH DEFINED X
JCC Holding Co. Common 46611Q205 509,062 181,000 SH SOLE X
JCC Holding Co. Common 46611Q205 368,953 131,300 SH DEFINED X
Labor Ready Inc. Common 505401208 210,975 17,400 SH SOLE X
Maxxam Inc. Common 577913106 6,426,213 149,900 SH DEFINED X
Maxxam Inc. Common 577913106 8,060,500 188,000 SH SOLE X
Medicis Pharmaceutical Corp. Common 584690309 127,680 3,000 SH DEFINED X
Medicis Pharmaceutical Corp. Common 584690309 191,531 4,500 SH SOLE X
Mesa Air Group Inc. Common 590479101 407,550 85,800 SH SOLE X
Mesa Air Group Inc. Common 590479101 316,825 66,700 SH DEFINED X
Net 2 Phone Inc. Common 64108N106 271,031 5,900 SH SOLE X
Net 2 Phone Inc. Common 64108N106 188,354 4,100 SH DEFINED X
Oneida Ltd. Common 682505102 2,349,000 108,000 SH SOLE X
Oneida Ltd. Common 682505102 1,731,300 79,600 SH DEFINED X
Perfumania.com Inc. Common 71376P101 89,000 4,000 SH DEFINED X
Perfumania.com Inc. Common 71376P101 133,500 6,000 SH SOLE X
Picturetel Corp. Common 720035302 1,319,625 306,000 SH SOLE X
Picturetel Corp. Common 720035302 967,164 224,400 SH DEFINED X
PLC Systems Inc. Common 69341D104 81,600 40,800 SH SOLE X
PYR Energy Corp. Common 693677106 568,125 126,250 SH DEFINED X
PYR Energy Corp. Common 693677106 697,500 155,000 SH SOLE X
Reebok Int'l Common 758110100 63,044 7,700 SH SOLE X
Rehabilicare Inc. Common 758944102 924,000 231,000 SH SOLE X
Rehabilicare Inc. Common 758944102 676,000 169,000 SH DEFINED X
Page 6 of 8
<PAGE>
<CAPTION>
Form 13F Information Table
TITLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY
NAME OF ISSUER OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE
- ------------------------------ -------------- --------- -------- -------- --- ---- ------- -------- ---- ------- --------
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Salton Inc. Common 795757103 1,427,781 42,700 SH SOLE X
Salton Inc. Common 795757103 983,136 29,400 SH DEFINED X
Splash Technology Holdings Inc. Common 848623104 666,225 75,600 SH SOLE X
Splash Technology Holdings Inc. Common 848623104 523,314 59,400 SH DEFINED X
Sterling Commerce Inc. Common 859205106 1,836,000 54,000 SH SOLE X
Sterling Commerce Inc. Common 859205106 1,448,400 42,600 SH DEFINED X
Stone Energy Corp. Common 861642106 2,604,187 73,100 SH SOLE X
Stone Energy Corp. Common 861642106 1,837,992 51,600 SH DEFINED X
Sunrise Tech Inc. Common 86769L103 1,918,350 162,400 SH SOLE X
Syntroleum Corp. Common 871630109 47,125 5,800 SH SOLE X
Syntroleum Corp. Common 871630109 34,104 4,200 SH DEFINED X
Triton Energy Corp. Common G90751101 6,186 300 SH DEFINED X
Triton Energy Corp. Common G90751101 2,103,760 102,000 SH SOLE X
US Home Corp. Common 911920106 1,119,528 43,800 SH DEFINED X
US Home Corp. Common 911920106 1,533,750 60,000 SH SOLE X
Valassis Communications Co. Common 918866104 5,070,000 120,000 SH SOLE X
Valassis Communications Co. Common 918866104 3,724,338 88,150 SH DEFINED X
Value Line Inc. Common 920437100 568,800 15,800 SH SOLE X
Value Line Inc. Common 920437100 226,800 6,300 SH DEFINED X
Vialog Corp. Common 92552X106 143,750 46,000 SH SOLE X
Vialog Corp. Common 92552X106 104,520 33,500 SH DEFINED X
Wachovia Corp. Common 929771103 2,223,600 32,700 SH DEFINED X
Wachovia Corp. Common 929771103 3,400,000 50,000 SH SOLE X
Wells Fargo & Co. Common 949746101 14,719,250 364,000 SH SOLE X
Page 7 of 8
<PAGE>
<CAPTION>
Form 13F Information Table
TITLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY
NAME OF ISSUER OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE
- ------------------------------ -------------- --------- -------- -------- --- ---- ------- -------- ---- ------- --------
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Wells Fargo & Co. Common 949746101 10,769,172 266,300 SH DEFINED X
Zions Bancorp Common 989701107 4,889,212 82,602 SH DEFINED X
Zions Bancorp Common 989701107 6,591,002 111,358 SH SOLE X
GRAND TOTAL: 339,969,608 16,547,319
Page 8 of 8
</TABLE>
