Knott David M

CIK

808722

Location

Syosset, NY

Portfolio Value

Small $171,349,781

Diversification

Highly concentrated

Filing Date

Global Rank

#3,430 / 5,929 ▼ 274 · as of Sep 2021

Top Industry

Software - Application 58.5%

3Y Alpha vs SPY

-0.4%

Period ended 4 years ago

Filed Nov 12, 2021 · 4y

7 quarters · since Mar 2020

Clone Performance

Jul 2023–Jul 2026 · vs SPY

Hypothetical growth of cloning every reported 13F position and rebalancing on each filing, indexed to the same start.

Cloned portfolio

-20.4%

SPY

+75.5%

Annualised alpha

-27.9%

Max drawdown

−45.7%

Estimate. 13F holdings are quarter-lagged and long-only, so the clone rebalances about 45 days after each period end — when the filing becomes public — and excludes options and short positions. Past performance does not predict future results.

Portfolio Concentration

71 positions · as of Sep 30, 2021 · Δ vs Jun 30, 2021

Top Position

58.5%

−1.4 pts

Top 5

70.4%

−1.9 pts

Top 10

79.8%

−0.9 pts

HHI

3,497

Highly concentrated−165

Portfolio Trend

7 quarters · across all stocks

Sector Breakdown

As of Sep 30, 2021

Sector	% Portfolio	Value	Positions
Technology	59.0%	$101,011,838	3
Healthcare	22.4%	$38,466,049	29
Financial Services	10.1%	$17,291,634	11
Real Estate	3.5%	$5,926,655	6
Consumer Defensive	1.7%	$2,867,910	5
Basic Materials	1.3%	$2,302,454	5
Communication Services	1.1%	$1,807,677	4
Consumer Cyclical	0.7%	$1,197,842	4
Energy	0.2%	$391,204	2
Industrials	0.1%	$86,518	2

Last Quarter's Activity

Export CSV

Sep 30, 2021 vs Jun 30, 2021

Added To

Positions the filer increased

14 positions

Ticker	Company	Δ Shares	Shares	Value
INVA	Innoviva, Inc.	+67,471	115,269	$1,926,144
FSBW	FS Bancorp, Inc.	+3,723	7,300	$252,652
CHRS	Coherus Oncology, Inc.	+2,900	102,555	$1,648,058
VLY	Valley National Bancorp	+320	12,800	$170,368
TARA	Protara Therapeutics, Inc.	+315	36,479	$252,434
VZ	Verizon Communications Inc	+280	17,991	$971,693
CFFN	Capitol Federal Financial, Inc.	+200	4,000	$45,960
MRK	Merck & Co., Inc.	+175	1,475	$110,787
MDLZ	Mondelez International, Inc.	+100	16,000	$930,880
T	At&T Inc.	+75	20,125	$410,556
DOW	Dow Inc.	+42	12,160	$699,929
CTVA	Corteva, Inc.	+42	12,075	$508,115
DD	DuPont de Nemours, Inc.	+42	12,160	$1,037,772
OGN	Organon & Co.	+17	147	$4,819
No positions match the current search.

Trimmed

Positions the filer reduced

15 positions

Ticker	Company	Δ Shares	Shares	Value
FSK	FS KKR Capital Corp	−195,350	199,825	$4,404,143
AUPH	Aurinia Pharmaceuticals Inc.	−101,944	62,896	$1,391,888
BRSL	Brightstar Lottery PLC	−97,000	10,500	$276,360
IMVT	Immunovant, Inc.	−54,694	42,600	$370,194
KKR	KKR & Co. Inc.	−50,000	50,000	$3,044,000
XENE	Xenon Pharmaceuticals Inc.	−46,063	94,488	$1,443,776
EBC	Eastern Bankshares, Inc.	−10,000	190,000	$3,857,000
PFE	Pfizer Inc	−5,400	114,500	$4,924,645
CNQ	CANADIAN NATURAL RESOURCES Ltd	−3,400	18,885	$337,931
JPM	Jpmorgan Chase & Co	−1,430	16,740	$2,740,169
KHC	Kraft Heinz Co	−1,169	2,732	$100,592
BMY	Bristol Myers Squibb Co	−1,000	42,409	$2,509,340
JNJ	Johnson & Johnson	−880	5,200	$839,800
TGTX	Tg Therapeutics, Inc.	−781	49,592	$1,650,421
OXY	Occidental Petroleum Corp /De/	−586	1,801	$53,273
No positions match the current search.

New Positions

Positions the filer opened this quarter

4 positions

Ticker	Company	Shares	Value
INCY	Incyte Corp	26,475	$1,820,950
CDXS	Codexis, Inc.	10,000	$232,600
IOVA	Iovance Biotherapeutics, Inc.	4,000	$98,640
SWBI	Smith & Wesson Brands, Inc.	4,097	$85,053
No positions match the current search.

Sold Out

Positions the filer fully exited

6 positions

Ticker	Company	Shares	Value
INSE	Inspired Entertainment, Inc.	100,000	$1,275,000
IBM	International Business Machines Corp	4,284	$600,374
PRGO	PERRIGO Co plc	4,915	$225,352
CUZ	Cousins Properties Inc	3,357	$123,470
EDIT	Editas Medicine, Inc.	1,000	$56,640
VTRS	Viatris Inc	794	$11,346
No positions match the current search.

Portfolio Positions

Compact Export CSV View 13F filing

71 positions · $171,349,781 total · as of Sep 30, 2021

All sectors Basic Materials Communication Services Consumer Cyclical Consumer Defensive Energy Financial Services Healthcare Industrials Real Estate Technology

Showing 1–50 of 71 positions by value · page 1 of 2

Ticker	Company	Type	Shares	Δ Shares	Value (USD)	% Δ Value	% of Portfolio
UPLD	Upland Software, Inc. Technology	Held	300,000	0	$100,320,000	−18.8%	58.55%
LGND	Ligand Pharmaceuticals Inc Healthcare	Held	75,000	0	$6,518,400	+6.2%	3.80%
PFE	Pfizer Inc Healthcare	Reduced	114,500	-5,400	$4,924,645	+4.9%	2.87%
FSK	FS KKR Capital Corp Financial Services	Reduced	199,825	-195,350	$4,404,143	−48.2%	2.57%
KW	Kennedy-Wilson Holdings, Inc. Real Estate	Held	210,000	0	$4,393,200	+5.3%	2.56%
EBC	Eastern Bankshares, Inc. Financial Services	Reduced	190,000	-10,000	$3,857,000	−6.2%	2.25%
REGN	Regeneron Pharmaceuticals, Inc. Healthcare	Held	6,000	0	$3,631,080	+8.4%	2.12%
KKR	KKR & Co. Inc. Financial Services	Reduced	50,000	-50,000	$3,044,000	−48.6%	1.78%
UTHR	UNITED THERAPEUTICS Corp Healthcare	Held	15,300	0	$2,824,074	+2.9%	1.65%
JPM	Jpmorgan Chase & Co Financial Services	Reduced	16,740	-1,430	$2,740,169	−3.0%	1.60%
BMY	Bristol Myers Squibb Co Healthcare	Reduced	42,409	-1,000	$2,509,340	−13.5%	1.46%
AB	Alliancebernstein Holding L.P. Financial Services	Held	50,500	0	$2,503,790	+6.5%	1.46%
INVA	Innoviva, Inc. Healthcare	Added	115,269	+67,471	$1,926,144	+200.5%	1.12%
INCY	Incyte Corp Healthcare	NEW	26,475	NEW	$1,820,950	NEW	1.06%
TGTX	Tg Therapeutics, Inc. Healthcare	Reduced	49,592	-781	$1,650,421	−15.5%	0.96%
CHRS	Coherus Oncology, Inc. Healthcare	Added	102,555	+2,900	$1,648,058	+19.6%	0.96%
QURE	uniQure N.V. Healthcare	Held	46,766	0	$1,496,979	+3.9%	0.87%
XENE	Xenon Pharmaceuticals Inc. Healthcare	Reduced	94,488	-46,063	$1,443,776	−44.8%	0.84%
AUPH	Aurinia Pharmaceuticals Inc. Healthcare	Reduced	62,896	-101,944	$1,391,888	−34.8%	0.81%
VKTX	Viking Therapeutics, Inc. Healthcare	Held	208,102	0	$1,306,880	+4.8%	0.76%
GILD	Gilead Sciences, Inc. Healthcare	Held	15,481	0	$1,081,347	+1.4%	0.63%
RHP	Ryman Hospitality Properties, Inc. Real Estate	Held	12,400	0	$1,037,880	+6.0%	0.61%
DD	DuPont de Nemours, Inc. Basic Materials	Added	12,160	+42	$1,037,772	−11.9%	0.61%
VZ	Verizon Communications Inc Communication Services	Added	17,991	+280	$971,693	−2.1%	0.57%
MDLZ	Mondelez International, Inc. Consumer Defensive	Added	16,000	+100	$930,880	−6.2%	0.54%
ABBV	AbbVie Inc. Healthcare	Held	8,000	0	$862,960	−4.2%	0.50%
JNJ	Johnson & Johnson Healthcare	Reduced	5,200	-880	$839,800	−16.2%	0.49%
KMB	Kimberly Clark Corp Consumer Defensive	Held	6,000	0	$794,640	−1.0%	0.46%
KO	Coca Cola Co Consumer Defensive	Held	13,400	0	$703,098	−3.0%	0.41%
DOW	Dow Inc. Basic Materials	Added	12,160	+42	$699,929	−8.7%	0.41%
PRTS	CarParts.com, Inc. Consumer Cyclical	Held	3,700	0	$577,570	−23.3%	0.34%
CTVA	Corteva, Inc. Basic Materials	Added	12,075	+42	$508,115	−4.8%	0.30%
BFLY	Butterfly Network, Inc. Healthcare	Held	45,760	0	$477,734	−27.9%	0.28%
WPC	W. P. Carey Inc. Real Estate	Held	6,000	0	$429,226	−2.1%	0.25%
T	At&T Inc. Communication Services	Added	20,125	+75	$410,556	−5.8%	0.24%
MSFT	Microsoft Corp Technology	Held	1,400	0	$394,688	+4.1%	0.23%
IMVT	Immunovant, Inc. Healthcare	Reduced	42,600	-54,694	$370,194	−64.0%	0.22%
GMED	Globus Medical Inc Healthcare	Held	4,631	0	$354,827	−1.2%	0.21%
CAG	Conagra Brands Inc. Consumer Defensive	Held	10,000	0	$338,700	−6.9%	0.20%
CNQ	CANADIAN NATURAL RESOURCES Ltd Energy	Reduced	18,885	-3,400	$337,931	−14.6%	0.20%
META	Meta Platforms, Inc. Communication Services	Held	990	0	$335,996	−2.4%	0.20%
AAPL	Apple Inc. Technology	Held	2,100	0	$297,150	+3.3%	0.17%
BRSL	Brightstar Lottery PLC Consumer Cyclical	Reduced	10,500	-97,000	$276,360	−89.3%	0.16%
FSBW	FS Bancorp, Inc. Financial Services	Added	7,300	+3,723	$252,652	+98.2%	0.15%
TARA	Protara Therapeutics, Inc. Healthcare	Added	36,479	+315	$252,434	−28.3%	0.15%
CDXS	Codexis, Inc. Healthcare	NEW	10,000	NEW	$232,600	NEW	0.14%
CRSP	CRISPR Therapeutics AG Healthcare	Held	2,000	0	$223,860	−30.9%	0.13%
JMIA	Jumia Technologies AG Consumer Cyclical	Held	9,800	0	$182,182	−38.7%	0.11%
VLY	Valley National Bancorp Financial Services	Added	12,800	+320	$170,368	+1.6%	0.10%
LEGH	Legacy Housing Corp Consumer Cyclical	Held	9,000	0	$161,730	+6.3%	0.09%