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DMK

David M. Knott Portfolio holdings

AUM $275M
1-Year Est. Return 59.23%
This Fund
S&P 500
This Quarter Est. Return
-5.48%
1 Year Est. Return
+59.23%
3 Year Est. Return
+80.95%
5 Year Est. Return
+223.18%
10 Year Est. Return
–
AUM
$194M
AUM Growth
-$240M
Cap. Flow
-$225M
Cap. Flow %
-116.25%
Top 10 Hldgs %
87.64%
Holding
86
New
3
Increased
–
Reduced
12
Closed
21

Top Buys

Rank Stock Value
1
WHLRD
Wheeler Real Estate Investment Trust Series D Preferred Stock
WHLRD
+$757K
2
MBAI
Check-Cap
MBAI
+$287K
3
ADVM
Adverum Biotechnologies
ADVM
+$250K

Top Sells

Rank Stock Value
1
LGND icon
Ligand Pharmaceuticals
LGND
+$23.7M
2
SM icon
SM Energy
SM
+$15.5M
3
SWN
Southwestern Energy Company
SWN
+$15.4M
4
HES
Hess
HES
+$14.4M
5
SLCA
U.S. SILICA HOLDINGS, INC.
SLCA
+$14.1M

Sector Composition

Rank Sector Weight
1 Healthcare 77.24%
2 Financials 7.76%
3 Technology 3.86%
4 Real Estate 1.68%
5 Communication Services 1.5%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
IBM icon
26
IBM
IBM
$200B
$681K 0.35%
4,481
– –
FF icon
27
Future Fuel
FF
$211M
$618K 0.32%
54,804
-500
-0.9% -$5.69K
RLOG
28
DELISTED
Rand Logistics, Inc.
RLOG
$505K 0.26%
664,435
-900
-0.1% -$845
CHEKW
29
DELISTED
Check-Cap Ltd. Series A Warrant
CHEKW
$495K 0.26%
66,059
– –
STND
30
DELISTED
STANDARD FINANCIAL CORP COM STK
STND
$456K 0.24%
20,000
– –
DD
31
DELISTED
Du Pont De Nemours E I
DD
$451K 0.23%
6,700
– –
SBCP
32
DELISTED
Sunshine Bancorp, Inc
SBCP
$412K 0.21%
27,800
– –
GILD icon
33
Gilead Sciences
GILD
$167B
$409K 0.21%
5,170
-100
-2% -$8.12K
MBAI
34
Check-Cap
MBAI
$7.73M
$317K 0.16%
+666
New +$287K
ANCB
35
DELISTED
Anchor Bancorp
ANCB
$313K 0.16%
12,250
– –
MIC
36
DELISTED
Macquarie Infrastructure Holdings, LLC
MIC
$275K 0.14%
3,300
– –
ADVM
37
DELISTED
Adverum Biotechnologies
ADVM
$271K 0.14%
+6,600
New +$250K
MDLZ icon
38
Mondelez International
MDLZ
$78.3B
$259K 0.13%
5,900
– –
TTE icon
39
TotalEnergies
TTE
$181B
$251K 0.13%
5,260
– –
KO icon
40
Coca-Cola
KO
$351B
$245K 0.13%
5,800
– –
ARLZ
41
DELISTED
Aralez Pharmaceuticals Inc.
ARLZ
$183K 0.09%
37,698
– –
AEHL icon
42
Antelope Enterprise Holdings
AEHL
$15.1M
$147K 0.08%
7
– –
CUZ icon
43
Cousins Properties
CUZ
$5.23B
$140K 0.07%
4,757
– –
GE icon
44
GE Aerospace
GE
$364B
$139K 0.07%
977
– –
ORIT
45
DELISTED
Oritani Financial Corp. New
ORIT
$122K 0.06%
7,800
– –
TST
46
DELISTED
TheStreet, Inc.
TST
$111K 0.06%
10,060
– –
FNB icon
47
FNB Corp
FNB
$6.82B
$110K 0.06%
8,905
– –
MDT icon
48
Medtronic
MDT
$106B
$91K 0.05%
1,050
– –
T icon
49
AT&T
T
$152B
$83K 0.04%
2,714
– –
VZ icon
50
Verizon
VZ
$182B
$83K 0.04%
1,583
– –
1
2
3 4

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ISG
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TPCM
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MCL
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David M. Knott's Q3 2016 Portfolio in Review

As of Q3 2016, David M. Knott held 86 positions worth $194M, down 55% from $434M the previous quarter. Its ten largest holdings account for 88% of the portfolio.

David M. Knott withdrew a net $225M in Q3 2016, closing 21 positions and reducing 12 holdings. Its most notable exit was SM Energy, an estimated $15.5M position sold in full.

By sector, the portfolio is most concentrated in Healthcare at 77% of assets, up from 44% a quarter earlier, followed by Financials and Technology.

Against the trend, David M. Knott opened a new position in Wheeler Real Estate Investment Trust Series D Preferred Stock worth $765K.

  • David M. Knott's largest Q3 2016 buy was Wheeler Real Estate Investment Trust Series D Preferred Stock: 30,000 shares worth $765K.
  • David M. Knott's biggest Q3 2016 reduction was Ligand Pharmaceuticals, cutting an estimated $23.7M.
  • David M. Knott fully exited SM Energy in Q3 2016, selling an estimated $15.5M.
  • David M. Knott's ten largest holdings make up 88% of its $194M portfolio in Q3 2016.
  • David M. Knott opened 3 new positions and closed 21 in Q3 2016.
  • David M. Knott's portfolio value fell 55% quarter-over-quarter to $194M.

Based on David M. Knott's 13F filing for Q3 2016, filed 10 Nov 2016.