# EDGAR Filing Document

**Accession Number:** 0001892770
**File Stem:** 0001104659-23-019381
**Filing Date:** 2023-2
**Character Count:** 21431
**Document Hash:** 565d65f2f5d7117f10a095cfeba59c5b
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001104659-23-019381.hdr.sgml**: 20230213

**ACCESSION NUMBER**: 0001104659-23-019381

**CONFORMED SUBMISSION TYPE**: 13F-HR

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20221231

**FILED AS OF DATE**: 20230213

**DATE AS OF CHANGE**: 20230213

**EFFECTIVENESS DATE**: 20230213

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Knott David M Jr
- **CENTRAL INDEX KEY:** 0001892770

**FILING VALUES:**
- **FORM TYPE:** 13F-HR
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 028-21815
- **FILM NUMBER:** 23616371

**MAIL ADDRESS:**
- **STREET 1:** DORSET MANAGEMENT CORPORATION
- **STREET 2:** 485 UNDERHILL BOULEVARD, SUITE 205
- **CITY:** SYOSSET
- **STATE:** NY
- **ZIP:** 11791

### FORM 13F COVER PAGE

**Report for the Calendar Year or Quarter Ended:** 12-31-2022

**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:** Knott David M Jr<br>**Address:** Dorset Management Corporation<br>485 Underhill Boulevard Suite 205<br>Syosset, NY 11791

**Form 13F File Number:** 028-21815

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:** Knott David M Jr<br>**Title:** Investment Manager<br>**Phone:** 516-364-0303

**Signature, Place, and Date of Signing:**

/s/ David M. Knott Jr  Syosset, NY  02-13-2023<br>[Signature]  [City, State]  [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 are reported 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).)

### Form 13F Summary Page

**Report Summary:**

**Number of Other Included Managers:** 1

**Form 13F Information Table Entry Total:** 182

**Form 13F Information Table Value Total:** $251600

      (round to nearest dollar)

**List of Other Included Managers:**

Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report.

[If there are no entries in this list, state “NONE” and omit the column headings and list entries.]

| No.   | Name                   | Form 13F File Number   |
|:---|:---|:---|
|  | DORSET MANAGEMENT CORP | 028-10281              |

### FORM 13F INFORMATION TABLE

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| NAME OF ISSUER | TITLE OF CLASS | CUSIP | FIGI | VALUE (x$1000) | SHRS OR PRN AMT | SH/PRN | PUT/CALL | INVESTMENT DISCRETION | OTHER MANAGER | VOTING AUTHORITY | VOTING AUTHORITY | VOTING AUTHORITY |
| NAME OF ISSUER | TITLE OF CLASS | CUSIP | FIGI | VALUE (x$1000) | SHRS OR PRN AMT | SH/PRN | PUT/CALL | INVESTMENT DISCRETION | OTHER MANAGER | SOLE | SHARED | NONE |
| Aadi Bioscience Inc. | Common | 00032Q104 |  | 350 | 27242 | SH |  | DFND | 2 | 27242 | 0 | 0 |
| Abbott Laboratories | Common | 002824100 |  | 5 | 50 | SH |  | DFND | 2 | 50 | 0 | 0 |
| AbbVie Inc. | Common | 00287Y109 |  | 814 | 5037 | SH |  | DFND | 2 | 5037 | 0 | 0 |
| Abeona Therapeutics Inc. | Common | 00289Y206 |  | 462 | 150000 | SH |  | DFND | 2 | 150000 | 0 | 0 |
| Acer Therapeutics Inc. | Common | 00444P108 |  | 351 | 140000 | SH |  | DFND | 2 | 140000 | 0 | 0 |
| ADMA Biologics Inc. | Common | 000899104 |  | 513 | 132301 | SH |  | DFND | 2 | 132301 | 0 | 0 |
| Adobe Systems | Common | 00724F101 |  | 12 | 35 | SH |  | DFND | 2 | 35 | 0 | 0 |
| AECOM | Common | 00766T100 |  | 19 | 228 | SH |  | DFND | 2 | 228 | 0 | 0 |
| African Gold Acquistion Corp. | Common | G0112R108 |  | 10 | 1000 | SH |  | DFND | 2 | 1000 | 0 | 0 |
| African Gold Acquistion Corp. Warrants | Common | G0112R124 |  | 5175 | 450000 | SH |  | DFND | 2 | 450000 | 0 | 0 |
| African Gold Acquistion Corp. Warrants | Common | G0112R124 |  | 9 | 750 | SH |  | DFND | 2 | 750 | 0 | 0 |
| Alerian MLP ETF | Common | 00162Q452 |  | 5 | 120 | SH |  | DFND | 2 | 120 | 0 | 0 |
| AllianceBernstein Holding L.P. | Common | 01881G106 |  | 1736 | 50500 | SH |  | DFND | 2 | 50500 | 0 | 0 |
| Alphabet Inc Class A | Common | 02079K305 |  | 26 | 300 | SH |  | DFND | 2 | 300 | 0 | 0 |
| Alphabet Inc Class C | Common | 02079K107 |  | 20 | 220 | SH |  | DFND | 2 | 220 | 0 | 0 |
| Alphabet Inc-Cl C | Common | 02079K107 |  | 9938 | 112000 | SH |  | DFND | 2 | 112000 | 0 | 0 |
| Amazon Inc. | Common | 023135106 |  | 25 | 300 | SH |  | DFND | 2 | 300 | 0 | 0 |
| American Tower Corp | Common | 03027X100 |  | 20 | 93 | SH |  | DFND | 2 | 93 | 0 | 0 |
| Apollo Global Management Inc. | Common | 03769M106 |  | 14353 | 225000 | SH |  | DFND | 2 | 225000 | 0 | 0 |
| Apple Inc. | Common | 037833100 |  | 273 | 2100 | SH |  | DFND | 2 | 2100 | 0 | 0 |
| Apple Inc. | Common | 037833100 |  | 51 | 394 | SH |  | DFND | 2 | 394 | 0 | 0 |
| Aramark Inc. | Common | 03852U106 |  | 27 | 651 | SH |  | DFND | 2 | 651 | 0 | 0 |
| Arc Resources Ltd. | Common | 03940R107 |  | 17 | 1229 | SH |  | DFND | 2 | 1229 | 0 | 0 |
| Ardelyx Inc. | Common | 039697107 |  | 4275 | 1500000 | SH |  | DFND | 2 | 1500000 | 0 | 0 |
| Avadel Pharmaceuticals plc | Common | 05337M104 |  | 2221 | 310251 | SH |  | DFND | 2 | 310251 | 0 | 0 |
| B.Riley Principal 250 Merger Corp. Wts. | Common | 05602L112 |  | 1342 | 116666 | SH |  | DFND | 2 | 116666 | 0 | 0 |
| Bank of Nova Scotia | Common | 064149107 |  | 20 | 400 | SH |  | DFND | 2 | 400 | 0 | 0 |
| Becton Dickinson  Co. | Common | 075887109 |  | 27 | 106 | SH |  | DFND | 2 | 106 | 0 | 0 |
| Beyond Air Inc. | Common | 08862L103 |  | 649 | 100000 | SH |  | DFND | 2 | 100000 | 0 | 0 |
| Blackrock Inc. | Common | 09247X101 |  | 22 | 31 | SH |  | DFND | 2 | 31 | 0 | 0 |
| Blackstone Inc. | Common | 09260D107 |  | 16 | 210 | SH |  | DFND | 2 | 210 | 0 | 0 |
| Broadcom Inc. | Common | 11135F101 |  | 40 | 71 | SH |  | DFND | 2 | 71 | 0 | 0 |
| Brookfield Infrastructure Corporation | Common | 11275Q107 |  | 194 | 4999 | SH |  | DFND | 2 | 4999 | 0 | 0 |
| Brookfield Infrastructure Partners L.P. | Common | G16252101 |  | 1395 | 45000 | SH |  | DFND | 2 | 45000 | 0 | 0 |
| CALLS/Calumet Specialty Product @12 ex1/23 | Common | 131476903 |  | 1941 | 115000 | SH |  | DFND | 2 | 115000 | 0 | 0 |
| Calumet Specialty Products Partners LP | Common | 131476103 |  | 73006 | 4325000 | SH |  | DFND | 2 | 4325000 | 0 | 0 |
| Canadian Natural Resources Limited | Common | 136385101 |  | 355 | 6400 | SH |  | DFND | 2 | 6400 | 0 | 0 |
| Capitol Federal Financial Inc. | Common | 14057J101 |  | 17 | 2000 | SH |  | DFND | 2 | 2000 | 0 | 0 |
| Cenovus Energy Inc. | Common | 15135U109 |  | 1844 | 95000 | SH |  | DFND | 2 | 95000 | 0 | 0 |
| Chesapeake Energy Corporation | Common | 165167735 |  | 1887 | 20000 | SH |  | DFND | 2 | 20000 | 0 | 0 |
| Chevron Corp | Common | 166764100 |  | 17 | 96 | SH |  | DFND | 2 | 96 | 0 | 0 |
| Chipotle Mexican Grill Inc. | Common | 169656105 |  | 14 | 10 | SH |  | DFND | 2 | 10 | 0 | 0 |
| Chubb Ltd | Common | H1467J104 |  | 27 | 121 | SH |  | DFND | 2 | 121 | 0 | 0 |
| Coca-Cola Co. | Common | 191216100 |  | 611 | 9600 | SH |  | DFND | 2 | 9600 | 0 | 0 |
| Codexis Inc. | Common | 192005106 |  | 84 | 18020 | SH |  | DFND | 2 | 18020 | 0 | 0 |
| Cogent Communications Holdings Inc. | Common | 19239V302 |  | 799 | 14000 | SH |  | DFND | 2 | 14000 | 0 | 0 |
| Coherus Biosciences Inc. | Common | 19249H103 |  | 1018 | 128517 | SH |  | DFND | 2 | 128517 | 0 | 0 |
| Coliseum Acquisition Corp. Wts | Common | G2263T107 |  | 5693 | 495000 | SH |  | DFND | 2 | 495000 | 0 | 0 |
| Colombier Acquisition Corp. Wts. | Common | 19533H116 |  | 307 | 26666 | SH |  | DFND | 2 | 26666 | 0 | 0 |
| Conagra Brands Inc. | Common | 205887102 |  | 387 | 10000 | SH |  | DFND | 2 | 10000 | 0 | 0 |
| Conocophillips Com | Common | 20825C104 |  | 13 | 113 | SH |  | DFND | 2 | 113 | 0 | 0 |
| Corteva Inc. | Common | 22052L104 |  | 680 | 11563 | SH |  | DFND | 2 | 11563 | 0 | 0 |
| Crane Holdings Co | Common | 224441105 |  | 19 | 194 | SH |  | DFND | 2 | 194 | 0 | 0 |
| CSX Corporation | Common | 126408103 |  | 2169 | 70000 | SH |  | DFND | 2 | 70000 | 0 | 0 |
| CTI BioPharma Corp. | Common | 12648L601 |  | 3406 | 566687 | SH |  | DFND | 2 | 566687 | 0 | 0 |
| CVS Health Corp | Common | 126650100 |  | 24 | 258 | SH |  | DFND | 2 | 258 | 0 | 0 |
| Danaher Corp | Common | 235851102 |  | 48 | 180 | SH |  | DFND | 2 | 180 | 0 | 0 |
| DigitalBridge Group Inc. | Common | 25401T603 |  | 4 | 366 | SH |  | DFND | 2 | 366 | 0 | 0 |
| Disney Walt Co. | Common | 254687106 |  | 10 | 116 | SH |  | DFND | 2 | 116 | 0 | 0 |
| DocGo Inc. | Common | 256086109 |  | 9898 | 1400000 | SH |  | DFND | 2 | 1400000 | 0 | 0 |
| Dow Inc. | Common | 260557103 |  | 561 | 11136 | SH |  | DFND | 2 | 11136 | 0 | 0 |
| DuPont de Nemours Inc. | Common | 26614N102 |  | 764 | 11136 | SH |  | DFND | 2 | 11136 | 0 | 0 |
| Eagle Materials Inc. | Common | 26969P108 |  | 30 | 228 | SH |  | DFND | 2 | 228 | 0 | 0 |
| Eli Lilly  Co. | Common | 532457108 |  | 110 | 300 | SH |  | DFND | 2 | 300 | 0 | 0 |
| Equinix Inc. | Common | 29444U700 |  | 24 | 37 | SH |  | DFND | 2 | 37 | 0 | 0 |
| F.N.B. Corporation | Common | 302520101 |  | 116 | 8905 | SH |  | DFND | 2 | 8905 | 0 | 0 |
| FaZe Holdings Inc. Warrants | Common | 31423J110 |  | 663 | 57654 | SH |  | DFND | 2 | 57654 | 0 | 0 |
| FaZe Holdings Inc. Warrants | Common | 31423J110 |  | 8 | 667 | SH |  | DFND | 2 | 667 | 0 | 0 |
| Franklin BSP Realty Trust Inc. | Common | 35243J101 |  | 11082 | 859047 | SH |  | DFND | 2 | 859047 | 0 | 0 |
| FS Bancorp Inc. | Common | 30263Y104 |  | 146 | 4380 | SH |  | DFND | 2 | 4380 | 0 | 0 |
| FS KKR Capital Corp. | Common | 302635206 |  | 266 | 15175 | SH |  | DFND | 2 | 15175 | 0 | 0 |
| FTAI Aviation Ltd. | Common | G3730V105 |  | 7276 | 425000 | SH |  | DFND | 2 | 425000 | 0 | 0 |
| FTAI Infrastructure LLC | Common | 35953C106 |  | 1254 | 425000 | SH |  | DFND | 2 | 425000 | 0 | 0 |
| Generac Holdings Inc. | Common | 368736104 |  | 7 | 69 | SH |  | DFND | 2 | 69 | 0 | 0 |
| General Electric Company | Common | 369604301 |  | 26 | 312 | SH |  | DFND | 2 | 312 | 0 | 0 |
| GlaxoSmithKline plc | Common | 37733W204 |  | 2108 | 60000 | SH |  | DFND | 2 | 60000 | 0 | 0 |
| Globus Medical Inc. | Common | 379577208 |  | 1547 | 20831 | SH |  | DFND | 2 | 20831 | 0 | 0 |
| Heritage NOLA Bancorp Inc. | Common | 42727P108 |  | 44 | 3000 | SH |  | DFND | 2 | 3000 | 0 | 0 |
| Home Depot Inc. | Common | 437076102 |  | 25 | 80 | SH |  | DFND | 2 | 80 | 0 | 0 |
| Horizon Therapeutics Public Ltd. | Common | G46188101 |  | 4608 | 40490 | SH |  | DFND | 2 | 40490 | 0 | 0 |
| Ibere Pharmaceuticals | Common | G46843101 |  | 363 | 36000 | SH |  | DFND | 2 | 36000 | 0 | 0 |
| Ibere Pharmaceuticals Warrants | Common | G46843119 |  | 207 | 18000 | SH |  | DFND | 2 | 18000 | 0 | 0 |
| Incyte Corporation | Common | 45337C102 |  | 205 | 2557 | SH |  | DFND | 2 | 2557 | 0 | 0 |
| International Game Technology PLC | Common | 459902102 |  | 374 | 16500 | SH |  | DFND | 2 | 16500 | 0 | 0 |
| Intuitive Surgical Inc. | Common | 46120E602 |  | 16 | 61 | SH |  | DFND | 2 | 61 | 0 | 0 |
| iPath Series B S 500 VIX Short-Term Fut | Common | 06746P621 |  | 706 | 50000 | SH |  | DFND | 2 | 50000 | 0 | 0 |
| Iqvia Holdings Inc. | Common | 46266C105 |  | 25 | 122 | SH |  | DFND | 2 | 122 | 0 | 0 |
| Ishares Inc MSCI Eurozone | Common | 464286608 |  | 2 | 55 | SH |  | DFND | 2 | 55 | 0 | 0 |
| Ishares Inc MSCI Germany | Common | 464286806 |  | 4 | 150 | SH |  | DFND | 2 | 150 | 0 | 0 |
| Ishares Inc. Core MSCI Emerging Markets | Common | 46434G103 |  | 17 | 363 | SH |  | DFND | 2 | 363 | 0 | 0 |
| Ishares Tr IBOXX$ High Yield Corp BD ETF | Common | 464288513 |  | 2 | 32 | SH |  | DFND | 2 | 32 | 0 | 0 |
| Ishares Trust Core MSCI Eafe | Common | 46432F842 |  | 39 | 633 | SH |  | DFND | 2 | 633 | 0 | 0 |
| Ishares Trust Core S Small Cap | Common | 464287804 |  | 30 | 313 | SH |  | DFND | 2 | 313 | 0 | 0 |
| Ishares Trust JP Morgan USD Emerging Mtks | Common | 464288281 |  | 1 | 17 | SH |  | DFND | 2 | 17 | 0 | 0 |
| Ishares Trust MSCI Eafe Value | Common | 464288877 |  | 3 | 63 | SH |  | DFND | 2 | 63 | 0 | 0 |
| Ishares Trust MSCI Eafe Value Growth | Common | 464288885 |  | 21 | 252 | SH |  | DFND | 2 | 252 | 0 | 0 |
| Ishares Trust MSCI United Kingdom | Common | 46435G334 |  | 4 | 116 | SH |  | DFND | 2 | 116 | 0 | 0 |
| Ishares Trust MSCI United Kingdom Small Cap | Common | 46429B416 |  | 8 | 246 | SH |  | DFND | 2 | 246 | 0 | 0 |
| Ishares Trust NY Muni BD ETF | Common | 464288323 |  | 13 | 242 | SH |  | DFND | 2 | 242 | 0 | 0 |
| Ishares Trust Russell 2000 Growth | Common | 464287648 |  | 25 | 118 | SH |  | DFND | 2 | 118 | 0 | 0 |
| Ishares Trust Russell 2000 Value | Common | 464287630 |  | 12 | 86 | SH |  | DFND | 2 | 86 | 0 | 0 |
| Ishares Trust Russell Mid Cap Value | Common | 464287473 |  | 29 | 273 | SH |  | DFND | 2 | 273 | 0 | 0 |
| Ishares Trust Russell Mid Cap Value Growth | Common | 464287481 |  | 58 | 695 | SH |  | DFND | 2 | 695 | 0 | 0 |
| Jazz Pharmaceuticals PLC | Common | G50871105 |  | 3570 | 22411 | SH |  | DFND | 2 | 22411 | 0 | 0 |
| Johnson  Johnson | Common | 478160104 |  | 4381 | 24800 | SH |  | DFND | 2 | 24800 | 0 | 0 |
| JP Morgan Chase | Common | 46625H100 |  | 22 | 165 | SH |  | DFND | 2 | 165 | 0 | 0 |
| JPMorgan Chase  Co. | Common | 46625H100 |  | 2712 | 20220 | SH |  | DFND | 2 | 20220 | 0 | 0 |
| Kairos Acquisition Corp. Warrants | Common | G52110106 |  | 1602 | 139278 | SH |  | DFND | 2 | 139278 | 0 | 0 |
| Kennedy-Wilson Holdings Inc. | Common | 489398107 |  | 2753 | 175000 | SH |  | DFND | 2 | 175000 | 0 | 0 |
| Kimberly-Clark Corporation | Common | 494368103 |  | 815 | 6000 | SH |  | DFND | 2 | 6000 | 0 | 0 |
| Kiwetinohk Energy Corp. | Common | 49836K102 |  | 1722 | 160000 | SH |  | DFND | 2 | 160000 | 0 | 0 |
| Leap Therapeutics Inc. | Common | 52187K101 |  | 378 | 840000 | SH |  | DFND | 2 | 840000 | 0 | 0 |
| Legacy Housing Corporation | Common | 52472M101 |  | 123 | 6500 | SH |  | DFND | 2 | 6500 | 0 | 0 |
| Ligand Pharmaceuticals Incorporated | Common | 53220K504 |  | 5010 | 75000 | SH |  | DFND | 2 | 75000 | 0 | 0 |
| Ligand Pharmaceuticals Incorporated | Common | 53220K504 |  | 2672 | 40000 | SH |  | DFND | 2 | 40000 | 0 | 0 |
| Linde PLC | Common | G5494J103 |  | 23 | 70 | SH |  | DFND | 2 | 70 | 0 | 0 |
| Live Oak Mobility Aquisition Corp. Wts | Common | 538126111 |  | 828 | 72030 | SH |  | DFND | 2 | 72030 | 0 | 0 |
| Lululemon Athletica Inc. | Common | 550021109 |  | 12 | 39 | SH |  | DFND | 2 | 39 | 0 | 0 |
| M Bank Corporation | Common | 55261F104 |  | 26 | 177 | SH |  | DFND | 2 | 177 | 0 | 0 |
| Madrigal Pharmaaceuticals Inc. | Common | 558868105 |  | 2322 | 8000 | SH |  | DFND | 2 | 8000 | 0 | 0 |
| Medicus Science Acquisition Corp. Wts | Common | G5960S124 |  | 256 | 22222 | SH |  | DFND | 2 | 22222 | 0 | 0 |
| Medtronic Inc. | Common | 585055106 |  | 82 | 1050 | SH |  | DFND | 2 | 1050 | 0 | 0 |
| Merck  Co. Inc. | Common | 58933Y105 |  | 2718 | 24500 | SH |  | DFND | 2 | 24500 | 0 | 0 |
| Microsoft Corp | Common | 594918104 |  | 48 | 200 | SH |  | DFND | 2 | 200 | 0 | 0 |
| Microsoft Corporation | Common | 594918104 |  | 336 | 1400 | SH |  | DFND | 2 | 1400 | 0 | 0 |
| Midwest Holding Inc. | Common | 59833J206 |  | 4972 | 390241 | SH |  | DFND | 2 | 390241 | 0 | 0 |
| Mondelez International Inc. | Common | 609207105 |  | 14000 | 14000 | SH |  | DFND | 2 | 14000 | 0 | 0 |
| Morgan Stanley | Common | 617446448 |  | 25 | 293 | SH |  | DFND | 2 | 293 | 0 | 0 |
| Nike Inc. Cl B | Common | 654106103 |  | 11 | 91 | SH |  | DFND | 2 | 91 | 0 | 0 |
| Nvidia Corp | Common | 67066G104 |  | 19 | 128 | SH |  | DFND | 2 | 128 | 0 | 0 |
| Occidental Petroleum Corporation | Common | 674599105 |  | 80 | 1273 | SH |  | DFND | 2 | 1273 | 0 | 0 |
| Occidential Petro Wts exp. 8/3/27 | Common | 674599162 |  | 3 | 158 | SH |  | DFND | 2 | 158 | 0 | 0 |
| OmniAb Inc. | Common | 68218J103 |  | 3870 | 1074937 | SH |  | DFND | 2 | 1074937 | 0 | 0 |
| OmniAb Inc. | Common | 68218J103 |  | 706 | 196002 | SH |  | DFND | 2 | 196002 | 0 | 0 |
| Organon  Co. | Common | 68622V106 |  | 68 | 2450 | SH |  | DFND | 2 | 2450 | 0 | 0 |
| Oshkosh Corp | Common | 688239201 |  | 23 | 258 | SH |  | DFND | 2 | 258 | 0 | 0 |
| Ovintiv Inc. | Common | 69047Q102 |  | 1775 | 35000 | SH |  | DFND | 2 | 35000 | 0 | 0 |
| Paccar Inc. | Common | 693718108 |  | 10 | 99 | SH |  | DFND | 2 | 99 | 0 | 0 |
| Palo Alto Networks Inc. | Common | 697435105 |  | 14 | 102 | SH |  | DFND | 2 | 102 | 0 | 0 |
| Pfizer Inc. | Common | 717081103 |  | 4842 | 94500 | SH |  | DFND | 2 | 94500 | 0 | 0 |
| Poseida Therapeutics Inc. | Common | 73730P108 |  | 895 | 168839 | SH |  | DFND | 2 | 168839 | 0 | 0 |
| QualTek Services Inc. - Warrants | Common | 74760R113 |  | 288 | 25000 | SH |  | DFND | 2 | 25000 | 0 | 0 |
| Quanta Services Inc. | Common | 74762E102 |  | 25 | 176 | SH |  | DFND | 2 | 176 | 0 | 0 |
| Ryman Hospitality Properties Inc. | Common | 78377T107 |  | 1014 | 12400 | SH |  | DFND | 2 | 12400 | 0 | 0 |
| Salesforce Inc. | Common | 79466L302 |  | 10 | 77 | SH |  | DFND | 2 | 77 | 0 | 0 |
| Sanofi | Common | 80105N105 |  | 2712 | 56000 | SH |  | DFND | 2 | 56000 | 0 | 0 |
| Schlumberger Ltd. | Common | 806857108 |  | 16 | 292 | SH |  | DFND | 2 | 292 | 0 | 0 |
| Schwab Charles Corp | Common | 808513105 |  | 24 | 284 | SH |  | DFND | 2 | 284 | 0 | 0 |
| Sculptor Cap Mgmt CL A | Common | 811246107 |  | 2 | 200 | SH |  | DFND | 2 | 200 | 0 | 0 |
| Seres Therapeutics Inc. | Common | 81750R102 |  | 1121 | 200100 | SH |  | DFND | 2 | 200100 | 0 | 0 |
| Service Properties Trust | Common | 817761L10 |  | 7 | 1000 | SH |  | DFND | 2 | 1000 | 0 | 0 |
| South State Corporation | Common | 840441109 |  | 82 | 1068 | SH |  | DFND | 2 | 1068 | 0 | 0 |
| SPDR Sec SER TR Bloomberg Emer Mkts Loc BD etf | Common | 78464A391 |  | 3 | 147 | SH |  | DFND | 2 | 147 | 0 | 0 |
| Starwood Property Trust Inc. | Common | 85571B105 |  | 7 | 400 | SH |  | DFND | 2 | 400 | 0 | 0 |
| Stronghold Digital Mining Inc. | Common | 86337R103 |  | 4 | 9085 | SH |  | DFND | 2 | 9085 | 0 | 0 |
| SVB Financial Group | Common | 78486Q101 |  | 11 | 48 | SH |  | DFND | 2 | 48 | 0 | 0 |
| Target Corp | Common | 87612E106 |  | 25 | 166 | SH |  | DFND | 2 | 166 | 0 | 0 |
| Tastemaker Acquisition Corp. Warrants | Common | 876545112 |  | 1150 | 100000 | SH |  | DFND | 2 | 100000 | 0 | 0 |
| Tesla Inc. | Common | 88160R101 |  | 6 | 45 | SH |  | DFND | 2 | 45 | 0 | 0 |
| The Chemours Company | Common | 163851108 |  | 21 | 680 | SH |  | DFND | 2 | 680 | 0 | 0 |
| The Kraft Heinz Company | Common | 500754106 |  | 125 | 3065 | SH |  | DFND | 2 | 3065 | 0 | 0 |
| The Mosaic Company | Common | 61945C103 |  | 1535 | 35000 | SH |  | DFND | 2 | 35000 | 0 | 0 |
| The Procter  Gamble Company | Common | 742718109 |  | 5 | 35 | SH |  | DFND | 2 | 35 | 0 | 0 |
| The RMR Group Inc. | Common | 74967R106 |  | 0 | 16 | SH |  | DFND | 2 | 16 | 0 | 0 |
| Thermo Fisher Scientific Inc. | Common | 883556102 |  | 25 | 45 | SH |  | DFND | 2 | 45 | 0 | 0 |
| TotalEnergies SE - ADR | Common | 89151E109 |  | 130 | 2100 | SH |  | DFND | 2 | 2100 | 0 | 0 |
| Twelve Seas Investment Company II Warrants | Common | 90118T114 |  | 1917 | 166666 | SH |  | DFND | 2 | 166666 | 0 | 0 |
| United Rentals Inc. | Common | 911363109 |  | 28 | 78 | SH |  | DFND | 2 | 78 | 0 | 0 |
| UnitedHealthcare Group Inc. | Common | 91324P102 |  | 30 | 57 | SH |  | DFND | 2 | 57 | 0 | 0 |
| Valley National Bancorp | Common | 919794107 |  | 72 | 6400 | SH |  | DFND | 2 | 6400 | 0 | 0 |
| Verizon Communications Inc. | Common | 92343V104 |  | 10 | 263 | SH |  | DFND | 2 | 263 | 0 | 0 |
| Vertex Pharmaceuticals Inc. | Common | 92532F100 |  | 2310 | 8000 | SH |  | DFND | 2 | 8000 | 0 | 0 |
| Viking Therapeutics Inc. | Common | 92686J106 |  | 3587 | 381621 | SH |  | DFND | 2 | 381621 | 0 | 0 |
| Vulcan Materials Co. | Common | 929160109 |  | 18 | 103 | SH |  | DFND | 2 | 103 | 0 | 0 |
| W.P. Carey Inc. | Common | 92936U109 |  | 469 | 6000 | SH |  | DFND | 2 | 6000 | 0 | 0 |
| Wabtec Corporation | Common | 929740108 |  | 1 | 12 | SH |  | DFND | 2 | 12 | 0 | 0 |
| Walmart Inc. | Common | 931124103 |  | 32 | 225 | SH |  | DFND | 2 | 225 | 0 | 0 |
| Wells Fargo  Co. | Common | 949746101 |  | 18 | 438 | SH |  | DFND | 2 | 438 | 0 | 0 |
| Workday Inc. | Common | 98138H101 |  | 8 | 45 | SH |  | DFND | 2 | 45 | 0 | 0 |
| Xenon Pharmaceuticals Inc. | Common | 98420N105 |  | 2346 | 59500 | SH |  | DFND | 2 | 59500 | 0 | 0 |
| XOMA Corporation | Common | 98419J206 |  | 210 | 11425 | SH |  | DFND | 2 | 11425 | 0 | 0 |
| Zimmer Biomet Holdings | Common | 98956P102 |  | 24 | 190 | SH |  | DFND | 2 | 190 | 0 | 0 |

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