-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Eo8PZFYRSpWQe5USjiBtQTOnATS7X+asRKiV3kcIONgbgVJEt1usrOb+xH8siAcH RJntzvsozgULJph+Ns9f4w== 0000919574-00-000248.txt : 20031216 0000919574-00-000248.hdr.sgml : 20031216 20000214172200 ACCESSION NUMBER: 0000919574-00-000248 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19991231 FILED AS OF DATE: 20000214 DATE AS OF CHANGE: 20000217 FILER: COMPANY DATA: COMPANY CONFORMED NAME: TOCQUEVILLE ASSET MANAGEMENT LP CENTRAL INDEX KEY: 0000883961 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-03589 FILM NUMBER: 00544070 BUSINESS ADDRESS: STREET 1: 1675 BROADWAY CITY: NEW YORK STATE: NY ZIP: 10009 MAIL ADDRESS: STREET 1: TOCQUEVILLE ASSET MANAGEMENT LP STREET 2: 1675 BROADWAY CITY: NEW YORK STATE: NY ZIP: 10019 13F-HR 1 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: Tocqueville Asset Management L.P. Address: 1675 Broadway New York, New York 10019 Form 13F File Number: 028-03063 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: Elizabeth F. Bosco Title: Compliance Officer Phone: (212) 698-0845 Signature, Place, and Date of Signing: /s/Elizabeth F. Bosco New York, NY 2/14/00 _______________________ _____________________ _________ [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 her if no holdings reported are in this report, and all holdings are reported by other reporting manger(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).) List of Other Managers Reporting for this Manager: NONE [If there are no entries in this list, omit this section.] Form 13F File Number Name 28- [Repeat as necessary.] 2 Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 162 Form 13F Information Table Value Total: $460,043 (thousands) 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. Form 13F File Number Name 28- [Repeat as necessary.] 3 Tocqueville Asset Management LP FORM 13F December 31, 1999
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 --------- -------- -------- -------- -------- --------- -------- -------- INVESTMENT DISCRETION VOTING AUTHORITY TITLE FAIR --------------------- ------------------- OF MARKET SHRS OR SH/ PUT/ (A) (B) (C) OTHER (A) (B) (C) NAME OF ISSUER CLASS CUSIP VALUE PRN AMT PRN CALL SOLE SHARE OTHER MANAGERS SOLE SHARE NONE - --------------------- ----- --------- ------------ --------- --- --- ---- ----- ----- -------- --------- ----- ---- 3Com Corp. COM 885535104 9376500 199500 x 199500 99 Cents Only Stores COM 65440K106 285000 7451 x 7451 AT&T Corp. COM 001957109 9728053 191450 x 191450 Adobe Systems Inc. COM 00724F101 19273850 286600 x 286600 Alcoa Inc. COM 013817101 10566066 127302 x 127302 Alexander & Baldwin Inc. COM 014482103 3695625 162000 x 162000 Allstate Corp COM 020002101 409062 17000 x 17000 Alza Corp. (Cl A) COM 022615108 1689700 48800 x 48800 American Business Prod. Inc. COM 024763104 587881 50300 x 50300 American General Corp. COM 026351106 357523 4712 x 4712 American Home Products COM 026609107 392500 10000 x 10000 American Int'l Group COM 026874107 270312 2500 x 2500 Amgen Inc. COM 031162100 792825 13200 x 13200 Anadarko Petroleum Corp. COM 032511107 1412775 41400 x 41400 Analysts International Corp. COM 032681108 4535000 362800 x 362800 Anixter Int'l Inc. COM 035290105 2062500 100000 x 100000 Apache Corp. COM 037411105 258562 7000 x 7000 Apex Silver Mines Ltd. COM G04074103 822000 68500 x 68500 Atlantic Richfield COM 048825103 267977 3098 x 3098 Autodesk Inc. COM 052769106 293625 8700 x 8700 Avatex Corp. COM 05349F402 1872062 1361500 x 1361500 BJ's Wholesale Club Inc COM 05548J106 404055 11070 x 11070 BP Amoco PLC COM 055622104 267499 4510 x 4510 Baker Hughes Inc. COM 057224107 6028087 286200 x 286200 Bank of New York COM 064057102 447520 11188 x 11188 Bank of Tokyo Mitsubishi Ltd ADR COM 065379109 4543625 326000 x 326000 BankAmerica Corp. COM 060505104 4351958 86714 x 86714 Battle Mountain Gold Co COM 071593107 618750 300000 x 300000 4 Bindley Western Industry Inc. COM 090324104 1215694 80710 x 80710 Boeing Company COM 097023105 8909062 215000 x 215000 Burlington Industries Inc New COM 121693105 5236400 1309100 x 1309100 Burlington Resources Inc. COM 122014103 5108156 154500 x 154500 C R Bard Inc COM 067383109 1060000 20000 x 20000 Catellus Development Corp. COM 149111106 4426718 345500 x 345500 Chemfab Corp. COM 16361L102 468750 30000 x 30000 Circle Corp. COM 172559106 194166 35303 x 35303 CitiGroup Inc. COM 172967101 771271 13850 x 13850 Compania de Minas Buenaventurs S. A. COM 204448104 425656 26500 x 26500 Consolidated Products, Inc. COM 209798107 303808 30005.8 x 30005.8 Cooper Tire & Rubber Co. COM 216831107 693094 44006 x 44006 Dime Bancorp Inc. COM 25429Q102 1512500 100000 x 100000 Discount Auto Parts, Inc. COM 254642101 213751 11834 x 11834 Dura Pharmaceuticals Inc. COM 26632S109 11655931 836300 x 836300 Eastman Kodak COM 277461109 3941212 59490 x 59490 Echo Bay Mines Ltd. COM 278751102 237500 200000 x 200000 Elan Corp. PLC COM 284131208 2516350 85300 x 85300 Electronic Data Systems Cor New COM 285661104 7430062 111000 x 111000 Exxon Mobil Corp. COM 30231G102 561037 6964 x 6964 Fedders Corp COM 313135105 4697330 854060 x 854060 Federal Signal Corp. COM 313855108 963750 60000 x 60000 Financial Security Assurance Hldgs Ltd COM 31769P100 4998787 95900 x 95900 Gartner Group, Inc. COM 366651107 1525000 100000 x 100000 General Electric Co. COM 369604103 1859321 12015 x 12015 Genzyme Corp. COM 372917104 5629500 125100 x 125100 Genzyme Surgical Products COM 372917609 96847 16662 x 16662 Global Industries Ltd COM 379336100 1474875 171000 x 171000 Gold Fields Ltd COM 38059T106 1130093 249400 x 249400 Golden Books Family Entertainment Inc. COM 39300 196500 x 196500 H & Q Healthcare Investors-SBI COM 404052102 5084750 236500 x 236500 H & R Block Inc COM 093671105 4746875 108500 x 108500 HSB Group Inc. COM 40428N109 4672887 138200 x 138200 Halliburton Co. COM 406216101 3385025 84100 x 84100 Hanna M A Co. COM 410522106 546875 50000 x 50000 Homestake Mining COM 437614100 3875000 496000 x 496000 Hugoton Royalty Trusts COM 444717102 113806 14007 x 14007 5 Humana Inc COM 444859102 1304268 159300 x 159300 Idexx Laboratories Corp. COM 45168D104 806250 50000 x 50000 Illinois Tool Wks COM 452308109 12313266 18225 x 18225 Inco Ltd COM 453258402 14656950 623700 x 623700 Informix Corp. COM 45665P105 2462493 215300 x 215300 Input/Output Inc COM 457652105 5068068 1001100 x 1001100 Int'l Business Machines COM 459200101 9487606 87950 x 87950 Integrated Health Service Inc COM 45812C106 213037 1704300 x 1704300 InterVoice-Brite Inc. COM 461142101 2383125 102500 x 102500 Intl Multifoods Corp. COM 460043102 530000 40000 x 40000 Ivax Corp. COM 465823102 772500 30000 x 30000 JLK Direct Distribution Inc. COM 46621C105 116747 11321 x 11321 Jack in the Box Inc. COM 466367109 362155 17506 x 17506 Jennifer Convertibles Inc COM 476153101 231250 100000 x 100000 Johnson & Johnson COM 478160104 1138023 12204 x 12204 Jones Pharma Inc. COM 480236108 511650 11779 x 11779 K Mart Corp. COM 482584109 7551232 750433 x 750433 Kinross Gold Corp. COM 496902107 579562 309100 x 309100 Knightsbridge Tankers Ltd. COM G5299G106 1441800 106800 x 106800 Lam Research Corp. COM 512807108 379312 3400 x 3400 Litton Industries, Inc. COM 538021106 4738125 95000 x 95000 Lockheed Martin Corp. COM 539830109 1822187 83300 x 83300 Longview Fibre Co. COM 543213102 3868875 271500 x 271500 Masco Corp. COM 574599106 315284 12425 x 12425 Mcdonalds Corp. COM 580135101 457546 11350 x 11350 Mckesson Corp. New COM 58155Q103 6410250 284900 x 284900 Medicis Pharmaceutical Corp. COM 584690309 4782875 112373 x 112373 Midway Games Inc. COM 598148104 208208 8698 x 8698 Murphy Oil Corp. COM 626717102 9363600 163200 x 163200 Nabors Industries Inc COM 629568106 14054906 454300 x 454300 Nat'L Comp Sys COM 635519101 331100 8800 x 8800 Newell Rubbermaid Inc. COM 651229106 479979 16551 x 16551 Newmont Mining Corp. COM 651639106 6164102 251596 x 251596 News Communications, Inc. COM 652484809 63492 31746 x 31746 Norstan Inc. COM 656535101 245437 38500 x 38500 Northrop Grumman Corp. COM 666807102 4368250 80800 x 80800 Occidental Petroleum COM 674599105 713625 33000 x 33000 Oceaneering Int'l COM 675232102 1643125 110000 x 110000 Ogden Corp. COM 676346109 3477393 291300 x 291300 Olin Corp COM 680665205 9331687 471000 x 471000 Olsten Corp COM 681385100 395937 35000 x 35000 Osmonics Inc. COM 688350107 786450 85600 x 85600 6 Owens & Minor Inc Holding Co. COM 690732102 2819781 315500 x 315500 PE Corp. - Celera Genomics Group COM 69332S201 392317 2633 x 2633 PE Corp. - PE Biosystems Group COM 69332S102 804770 6689 x 6689 PSC Inc COM 69361E107 811250 110000 x 110000 Pactiv Corp. COM 695257105 386750 36400 x 36400 Perrigo Co. COM 714290103 1612000 201500 x 201500 Phelps Dodge COM 717265102 4884687 72500 x 72500 Philip Morris Co's Inc. COM 718154107 2801400 121800 x 121800 Placer Dome Inc. COM 725906101 2130703 198205 x 198205 Polaroid Corp COM 731095105 3734281 198500 x 198500 Precision Castprt Cp COM 740189105 525000 20000 x 20000 Protein Design Laboratories Inc. COM 74369L103 1750000 25000 x 25000 Providian Financial Corp. COM 74406A102 204890 2250 x 2250 Raytheon Co. Class A COM 755111309 438362 17667 x 17667 Raytheon Co. Class B COM 755111408 2292343 86300 x 86300 Reader's Digest Association Inc Cl A COM 755267101 5270850 180200 x 180200 Romac International Inc. COM 775835101 2391875 178000 x 178000 SAGA Systems, Inc. COM 786610105 2043593 102500 x 102500 Saks Inc. COM 79377W108 177039 11376 x 11376 Schein Henry Inc. COM 806407102 1690687 127000 x 127000 Schering Plough Corp. COM 806605101 237300 5600 x 5600 Schlumberger Ltd. COM 806857108 926062 16500 x 16500 Schulman,A Inc. COM 808194104 4255931 260900 x 260900 Seattle Filmworks Inc. COM 812572105 292587 105200 x 105200 Sensormatic Electronics Corp. COM 817265101 959062 55000 x 55000 Sonoco Products Co. COM 835495102 289038 12705 x 12705 Sprint Corp. COM 852061100 10574793 157100 x 157100 State Auto Financial Corp. COM 855707105 101606 11135 x 11135 Steelcase Inc. COM 858155203 600000 50000 x 50000 Stillwater Mining Co COM 86074Q102 7718531 242150 x 242150 Stone & Webster, Inc. COM 861572105 1195267 71094 x 71094 Storage Technology Corp. COM 862111200 1065687 57800 x 57800 Systems & Computer Technology Corp COM 871873105 14928663 918687 x 918687 Tellabs Inc. COM 879664100 2430202 37861 x 37861 Teltrend Inc COM 87969R106 2813250 93000 x 93000 7 Tenet Healthcare Corp COM 88033G100 3332300 141800 x 141800 Teva Pharmaceutical Ind. Ltd spd ADR COM 881624209 716875 10000 x 10000 Texaco Inc. COM 881694103 7587456 139700 x 139700 Texas Instruments Inc. COM 882508104 579750 6000 x 6000 horatec Laboratories Corp. New COM 885175307 161889 16604 x 16604 Ultrak Inc COM 903898401 984924 127087 x 127087 Union Pacific Corp. COM 907818108 4062937 93000 x 93000 Union Pacific Resources Group COM 907834105 991261 77746 x 77746 Unisys Corp. COM 909214108 4592612 143800 x 143800 United Healthcare Corp. COM 910581107 929687 17500 x 17500 United Stationers, Inc. COM 913004107 1428125 50000 x 50000 Unitrin, Inc. COM 913275103 5331462 141700 x 141700 UnumProvident Corp. COM 91529Y106 1833975 57200 x 57200 Varco International Inc. COM 922126107 4991875 490000 x 490000 Walt Disney Production COM 254687106 558675 19100 x 19100 Waste Management, Inc. COM 94106L109 3410292 198417 x 198417 Wave Technologies Intl Inc COM 94352Q109 396562 117500 x 117500 Westvaco Corp. COM 961548104 9363375 287000 x 287000 Xerox COM 984121103 10633631 468700 x 468700 GRAND TOTAL 460,042,981 ===========
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