-----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, IwdDUrif1NycCsSoox84c1J/VuTJo8FcfDif/3hrTQtlPvTT9CXxigc2YUwBS5lo iEkU4W2w8hnI8v9in6qvOQ== 0000919574-00-001027.txt : 20031216 0000919574-00-001027.hdr.sgml : 20031216 20001115142100 ACCESSION NUMBER: 0000919574-00-001027 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20000930 FILED AS OF DATE: 20001115 DATE AS OF CHANGE: 20001117 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: 00770259 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 0001.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 2000 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: 28-3063 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 11/14/00 _______________________ _____________________ _________ [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 here 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: 164 Form 13F Information Table Value Total: $489,430 [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 Form 13F INFORMATION TABLE September 30, 2000
COLUMN 1 COLUMN2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 TITLE VALUE SH/ PUT INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER OF CLASS CUSIP (X1000) SHARES PRN CALL DISCRETION MGRS SOLE SHARED NONE - -------------- -------- ----- ------- ------ -------- ---------- ----- ---------------------- 3Com Corp. COM 885535104 324268.75 16900 SH Sole 16900 AAR Corp. COM 000361105 1319887.5 115400 SH Sole 115400 ADC Telecommuni- cations Inc. COM 000886101 243091.25 9040 SH Sole 9040 AT&T Corp. COM 001957109 7856343.75 267450 SH Sole 267450 AVT Corp. COM 002420107 556250 100000 SH Sole 100000 Aber Resources Ltd. COM 002893105 604687.5 75000 SH Sole 75000 Active Voice COM 004938106 1175000 100000 SH Sole 100000 Adobe Systems Inc. COM 00724F101 13367025 86100 SH Sole 86100 Agnico Eagle Mines Ltd COM 008474108 581250 100000 SH Sole 100000 Alcoa Inc. COM 013817101 6324783.75 249868 SH Sole 249868 Alexander & Baldwin Inc. COM 014482103 3783000 145500 SH Sole 145500 Allied Leisure Plc Fgn COM 019990951 16010 10000 SH Sole 10000 Allstate Corp COM 020002101 10470175 301300 SH Sole 301300 Alza Corp. (Cl A) COM 022615108 1928950 22300 SH Sole 22300 American General Corp. COM 026351106 367536 4712 SH Sole 4712 American Home Products COM 026609107 5271625 93200 SH Sole 93200 American Int'l Group COM 026874107 358828.13 3750 SH Sole 3750 Amgen Inc. COM 031162100 649401.56 9300 SH Sole 9300 Anadarko Petroleum Corp. COM 032511107 3613691.39 54373.93 SH Sole 54373.93 Analysts International Corp. COM 032681108 3091790.63 428300 SH Sole 428300 AniSHter Int'l Inc. COM 035290105 2766875 95000 SH Sole 95000 Apache Corp. COM 037411105 295625 5000 SH Sole 5000 ApeSH Silver Mines Ltd. COM G04074103 617625 61000 SH Sole 61000 Autodesk Inc. COM 052769106 5907300 232800 SH Sole 232800 Autozone Inc. COM 053332102 673818.75 29700 SH Sole 29700 AvateSH Corp. COM 05349F402 510562.5 1361500 SH Sole 1361500 ASHcelis Technologies, Inc. COM 054540109 1505750 126800 SH Sole 126800 BJ's Wholesale Club Inc COM 05548J106 377763.75 11070 SH Sole 11070 BP Amoco PLC COM 055622104 438151 8267 SH Sole 8267 Baker Hughes Inc. COM 057224107 8561025 230600 SH Sole 230600 4 Baldor Electric Co COM 057741100 4619021.86 227398 SH Sole 227398 Bank of New York COM 064057102 612090.38 10918 SH Sole 10918 BankAmerica Corp. COM 060505104 4614918.38 88113 SH Sole 88113 Battle Mountain Gold Co COM 071593107 525000 300000 SH Sole 300000 Bear Stearns Companies Inc COM 073902108 834372 13244 SH Sole 13244 Bindley Western Industry Inc. COM 090324104 3062720 95710 SH Sole 95710 Bio Technology Genl Corp. COM 090578105 228750 20000 SH Sole 20000 Boeing Company COM 097023105 13437900 213300 SH Sole 213300 Burlington Industries Inc New COM 121693105 1888125 1510500 SH Sole 1510500 Burlington Resources Inc. COM 122014103 920312.5 25000 SH Sole 25000 C R Bard Inc COM 067383109 1690000 40000 SH Sole 40000 Cameco Corp. COM 13321L108 583000 44000 SH Sole 44000 Circle Corp. COM 172559106 189640 34480 SH Sole 34480 CitiGroup Inc. COM 172967101 998318.06 18466 SH Sole 18466 Claires Stores, Inc. COM 179584107 1515600 84200 SH Sole 84200 Clayton Homes, Inc. COM 184190106 1680000 168000 SH Sole 168000 CloroSH Co. COM 189054109 3896906.25 98500 SH Sole 98500 Comerica Inc. COM 200340107 2542031.25 43500 SH Sole 43500 Compaq Computer Corp. COM 204493100 689500 25000 SH Sole 25000 Computer Horizons Corp. COM 205908106 1021875 150000 SH Sole 150000 Corn Products International, Inc. COM 219023108 2957500 130000 SH Sole 130000 Corning Inc. COM 219350105 267300 900 SH Sole 900 DeluSHe Corp. COM 248019101 5238593.75 257900 SH Sole 257900 Dial Corp. COM 25247D101 895125 77000 SH Sole 77000 Diebold, Inc. COM 253651103 1856718.75 69900 SH Sole 69900 Dura Pharmaceuticals Inc. COM 26632S109 2104812.5 59500 SH Sole 59500 Eastman Kodak COM 277461109 11530428.75 282090 SH Sole 282090 Elan Corp. PLC COM 284131208 1571325 28700 SH Sole 28700 Engineered Supp Systems COM 292866100 4155862.5 217300 SH Sole 217300 Ethan Allen Interiors, Inc. COM 297602104 2240934.38 79150 SH Sole 79150 ESHSHon Mobil Corp. COM 30231G102 273079 3064 SH Sole 3064 FPL Group Inc COM 302571104 2968612.5 45150 SH Sole 45150 Fedders Corp COM 313135105 3094664.13 798623 SH Sole 798623 Federal Signal Corp. COM 313855108 4732237.5 238100 SH Sole 238100 Furniture Brand Intl. Inc. COM 360921100 738150 44400 SH Sole 44400 Gartner Group, Inc. COM 366651107 1627500 140000 SH Sole 140000 General Electric Co. COM 369604103 1773717.56 30747 SH Sole 30747 Genzyme Corp. COM 372917104 1636500 24000 SH Sole 24000 5 Genzyme Surgical Products COM 372917609 83760 11168 SH Sole 11168 Global Industries Ltd COM 379336100 2462500 197000 SH Sole 197000 H & Q Healthcare Investors-SBI COM 404052102 2193324.38 60610 SH Sole 60610 H & R Block Inc COM 093671105 15251218.75 411500 SH Sole 411500 HCR Manor Care, Inc. COM 564055101 156875 10000 SH Sole 10000 Healthsouth Corp COM 421924101 731250 90000 SH Sole 90000 Homestake Mining COM 437614100 3208468.75 618500 SH Sole 618500 Humana Inc COM 444859102 2986350 277800 SH Sole 277800 IHOP Corp. COM 449623107 2513025 131400 SH Sole 131400 IdeSHSH Laboratories Corp. COM 45168D104 1070000 40000 SH Sole 40000 Illinois Tool Wks COM 452308109 627196.88 11225 SH Sole 11225 Inco Ltd COM 453258402 12853237.5 797100 SH Sole 797100 InformiSH Corp. COM 456779407 3470362.5 841300 SH Sole 841300 Input/Output Inc COM 457652105 11064900 1149600 SH Sole 1149600 Int'l Business Machines COM 459200101 9680625 86050 SH Sole 86050 InterDent, Inc. COM 4586R1094 315000 67200 SH Sole 67200 InterVoice-Brite Inc. COM 461142101 1338750 127500 SH Sole 127500 Intl Multifoods Corp. COM 460043102 955625 55000 SH Sole 55000 Ivanhoe Energy Inc COM 465790103 7788962.5 1684100 SH Sole 1684100 IvaSH Corp. COM 465823102 828000 18000 SH Sole 18000 J.M. Smucker Co. COM 832696306 486250 20000 SH Sole 20000 Jennifer Convertibles Inc COM 476153101 231250 100000 SH Sole 100000 John Hancock Finl. Svs. Inc. COM 41014S106 827750 30800 SH Sole 30800 Johnson & Johnson COM 478160104 1137019.5 12104 SH Sole 12104 K Mart Corp. COM 482584109 4191600 698600 SH Sole 698600 Kforce.com Inc. COM 493732101 798000 228000 SH Sole 228000 Kinross Gold Corp. COM 496902107 56250 100000 SH Sole 100000 Knightsbridge Tankers Ltd. COM G5299G106 218750 10000 SH Sole 10000 Lafarge Corp. COM 505862102 1857450 85400 SH Sole 85400 Lam Research Corp. COM 512807108 213562.5 10200 SH Sole 10200 Litton Industries, Inc. COM 538021106 14295531.25 319900 SH Sole 319900 Longview Fibre Co. COM 543213102 3246000 270500 SH Sole 270500 MatriSH Pharmaceut- ical, Inc. COM 576844104 155625 10000 SH Sole 10000 Mattel Inc. COM 577081102 6715856.25 600300 SH Sole 600300 Mcdonalds Corp. COM 580135101 339579.19 11249 SH Sole 11249 Mckesson Corp. New COM 58155Q103 8762268.75 286700 SH Sole 286700 Meridian Gold Inc. COM 589975101 340625 50000 SH Sole 50000 Murphy Oil Corp. COM 626717102 9832056.25 151700 SH Sole 151700 Nabors Industries Inc COM 629568106 3065400 58500 SH Sole 58500 Newmont Mining Corp. COM 651639106 4294132 252596 SH Sole 252596 6 News Communications, Inc. COM 652484809 21746 21746 SH Sole 21746 Northrop Grumman Corp. COM 666807102 11550212.5 127100 SH Sole 127100 Oceaneering Int'l COM 675232102 2244375 135000 SH Sole 135000 Olin Corp COM 680665205 8417500 520000 SH Sole 520000 Omnicare, Inc. COM 681904108 886875 55000 SH Sole 55000 Osmonics Inc. COM 688350107 644800 80600 SH Sole 80600 Owens & Minor Inc Holding Co. COM 690732102 3685500 234000 SH Sole 234000 PE Corp. - PE Biosystems Group COM 69332S102 233000 2000 SH Sole 2000 PSC Inc COM 69361E107 184500 61500 SH Sole 61500 Palm Inc. COM 696642107 1326772.56 25063 SH Sole 25063 Perrigo Co. COM 714290103 1368750 200000 SH Sole 200000 Pfizer Inc. COM 717081103 231158.5 5144 SH Sole 5144 Phelps Dodge COM 717265102 9285200 222400 SH Sole 222400 Photoworks, Inc. COM 71940B109 295875 105200 SH Sole 105200 Placer Dome Inc. COM 725906101 2377683.75 251940 SH Sole 251940 Procter & Gamble COM 742718109 8408500 125500 SH Sole 125500 Protein Design Laboratories Inc. COM 74369L103 482000 4000 SH Sole 4000 Providian Financial Corp. COM 74406A102 285750 2250 SH Sole 2250 Questar Corp. COM 748356102 2870250 103200 SH Sole 103200 Quintiles Trans- national Corp. COM 748767100 1351500 84800 SH Sole 84800 Raytheon Co. Class B COM 755111408 2860812.5 100600 SH Sole 100600 Reader's Digest Association Inc Cl A COM 755267101 5632343.75 159500 SH Sole 159500 Renal Care Group, Inc. COM 759930100 558750 30000 SH Sole 30000 Ryan's Family Steak Houses COM 783519101 1101618.75 143300 SH Sole 143300 SAGA Systems, Inc. COM 786610105 903000 86000 SH Sole 86000 Sara Lee Corp. COM 803111103 2325781.25 114500 SH Sole 114500 Schein Henry Inc. COM 806407102 3190000 160000 SH Sole 160000 Schering-Plough Corp. COM 806605101 274350 5900 SH Sole 5900 Schlumberger Ltd. COM 806857108 1275843.75 15500 SH Sole 15500 Schulman,A Inc. COM 808194104 4335100 394100 SH Sole 394100 Steelcase Inc. COM 858155203 1423750 85000 SH Sole 85000 Stillwater Mining Co COM 86074Q102 5931037 219100 SH Sole 219100 Storage Technology Corp. COM 862111200 2978325 219600 SH Sole 219600 Systems & Computer Technology Corp COM 871873105 13932331.25 793300 SH Sole 793300 TJSH Companies, Inc. COM 872540109 2286000 101600 SH Sole 101600 Tellabs Inc. COM 879664100 304979.25 6387 SH Sole 6387 Tenet Healthcare Corp COM 88033G100 1138537.5 31300 SH Sole 31300 7 Teva Pharmaceutical Ind. Ltd spd ADR COM 881624209 731875 10000 SH Sole 10000 TeSHaco Inc. COM 881694103 15897000 302800 SH Sole 302800 TeSHas Instruments Inc. COM 882508104 566250 12000 SH Sole 12000 Thoratec Laboratories Corp. New COM 885175307 321288 14604 SH Sole 14604 Tosco Corp. COM 891490302 1434625 46000 SH Sole 46000 Transocean Sedco ForeSH Inc. COM G90078109 1617581 27592 SH Sole 27592 Ultrak Inc COM 903898401 472418.75 75587 SH Sole 75587 Unisys Corp. COM 909214108 1407937.5 125150 SH Sole 125150 United Healthcare Corp. COM 910581107 997375 10100 SH Sole 10100 United Stationers, Inc. COM 913004107 806250 30000 SH Sole 30000 Unitrin, Inc. COM 913275103 4160568.75 131300 SH Sole 131300 Varco International Inc. COM 922122106 7421518.97 356589.5 SH Sole 356589.5 Verizon Communications COM 92343V104 226929.69 4685 SH Sole 4685 Walt Disney Production COM 254687106 233325 6100 SH Sole 6100 Waste Management, Inc. COM 94106L109 3494771.44 200417 SH Sole 200417 Wellpoint Health Networks, Inc. COM 94973H108 2294400 23900 SH Sole 23900 Westvaco Corp. COM 961548104 12302937.5 461000 SH Sole 461000 Willammette Industries, Inc. COM 969133107 1884400 67300 SH Sole 67300 SHeroSH COM 984121103 7138118.75 473900 SH Sole 473900
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