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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

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

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

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
LGND icon
1
Ligand Pharmaceuticals
LGND
$5.94B
$102M 52.58%
1,599,954
-323,271
-17% -$23.7M
PFE icon
2
Pfizer
PFE
$143B
$33.6M 17.36%
1,046,281
-2,845
-0.3% -$95.1K
CFFN icon
3
Capitol Federal Financial
CFFN
$1.09B
$9.71M 5.01%
690,400
-2,000
-0.3% -$28.3K
APC
4
DELISTED
Anadarko Petroleum
APC
$5.12M 2.64%
80,760
-220,450
-73% -$12.3M
ABBV icon
5
AbbVie
ABBV
$449B
$4.72M 2.44%
74,800
-500
-0.7% -$32.4K
MSFT icon
6
Microsoft
MSFT
$2.98T
$3.96M 2.04%
68,750
– –
OSG
7
Octave Specialty Group
OSG
$275M
$3.13M 1.62%
170,426
-3,000
-2% -$53.8K
AAPL icon
8
Apple
AAPL
$4.89T
$2.83M 1.46%
100,200
– –
IRDM icon
9
Iridium Communications
IRDM
$4.94B
$2.74M 1.41%
338,000
-2,000
-0.6% -$16.8K
ACAD icon
10
Acadia Pharmaceuticals
ACAD
$4.39B
$2.08M 1.07%
65,397
-200
-0.3% -$6.78K
AGN
11
DELISTED
Allergan plc
AGN
$2.03M 1.05%
8,800
– –
JPM icon
12
JPMorgan Chase
JPM
$912B
$1.53M 0.79%
23,050
– –
CHCT
13
Community Healthcare Trust
CHCT
$531M
$1.31M 0.68%
60,000
– –
AVDL
14
DELISTED
Avadel Pharmaceuticals
AVDL
$1.24M 0.64%
99,587
– –
QLTI
15
DELISTED
QLT Inc
QLTI
$1.13M 0.58%
545,926
– –
DAL icon
16
Delta Air Lines
DAL
$57B
$1.1M 0.57%
28,000
– –
KHC icon
17
Kraft Heinz
KHC
$31.1B
$1.07M 0.55%
11,900
– –
CNQ icon
18
Canadian Natural Resources
CNQ
$89.4B
$1.04M 0.54%
66,059
-818,842
-93% -$12.5M
DOC
19
DELISTED
PHYSICIANS REALTY TRUST
DOC
$987K 0.51%
45,800
– –
GSK icon
20
GSK
GSK
$106B
$975K 0.5%
18,080
– –
SGYP
21
DELISTED
Synergy Pharmaceuticals, Inc Common Stock
SGYP
$873K 0.45%
158,400
– –
JNJ icon
22
Johnson & Johnson
JNJ
$602B
$860K 0.44%
7,280
– –
WHLRD
23
Wheeler Real Estate Investment Trust Series D Preferred Stock
WHLRD
$765K 0.39%
+30,000
New +$757K
XRN
24
Chiron Real Estate Inc
XRN
$551M
$752K 0.39%
15,400
– –
ENFC
25
DELISTED
Entegra Financial Corp.
ENFC
$739K 0.38%
40,250
– –
1
2 3 4

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ISG
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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.