-----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, T6YQsvgwaZWVLNnWw0vjgrI3OiWS3M75IoQe6/4Jn4st9Nc5sUmFP4hqh8x3rPHJ 1G0mEWomEFR7wDenHjlHHg== 0000919574-99-000631.txt : 19990419 0000919574-99-000631.hdr.sgml : 19990419 ACCESSION NUMBER: 0000919574-99-000631 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19990331 FILED AS OF DATE: 19990416 FILER: COMPANY DATA: COMPANY CONFORMED NAME: TOCQUEVILLE ASSET MANAGEMENT LP CENTRAL INDEX KEY: 0000883961 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: 13F-HR SEC ACT: SEC FILE NUMBER: 028-03589 FILM NUMBER: 99596200 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: March 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: 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: Mr. Kieran C. Lyons Title: Chief Financial Officer Phone: (212) 698-0848 Signature, Place, and Date of Signing: /s/ Kieran C. Lyons New York, NY 4/16/99 _______________________ _____________________ _________ [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: Form 13F Information Table Entry Total: Form 13F Information Table Value Total: $404,434 [thousands] List of Other Included Managers: NONE 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 March 31, 1999
Title Investment Discretion Voting Authority of --------------------- ------------------- Security Class CUSIP Market Value Quantity Sole Share Other Managers Sole Share None - ------------------------- ----- --------- ---------------- ------------- ---- ----- ----- -------- --------- ----- ---- COMMON STOCKS - ------------- 3Com Corp. COM 885535104 2,473,456.25 106,100 106,100 106,100 AT&T Corp. COM 001957109 11,229,618.75 140,700 140,700 140,700 Active Voice COM 004938106 712,500.00 75,000 75,000 75,000 Adobe Systems Inc. COM 00724F101 30,156,950.00 531,400 531,400 531,400 Alcoa Inc. COM 022249106 5,343,913.38 129,746 129,746 129,746 Alexander & Baldwin Inc. COM 014482103 2,708,250.00 138,000 138,000 138,000 American General Corp. COM 026351106 339,246.00 4,812 4,812 4,812 American Home Products COM 026609107 717,750.00 11,000 11,000 11,000 American Int'l Group COM 026874107 361,875.00 3,000 3,000 3,000 Amgen Inc. COM 031162100 2,508,312.50 33,500 33,500 33,500 Anadarko Petroleum Corp. COM 032511107 1,072,100.00 28,400 28,400 28,400 Analysts International COM 032681108 1,049,950.00 91,300 91,300 91,300 Corp. Anixter Int'l Inc. COM 035290105 238,750.00 20,000 20,000 20,000 Arc International Corp COM 001905108 105,750.00 70,500 70,500 70,500 Asahi America Inc COM 04338D106 565,775.00 85,400 85,400 85,400 Asarco Inc. COM 043413103 3,527,712.50 255,400 255,400 255,400 Atlantic Richfield COM 048825103 255,791.25 3,498 3,498 3,498 Autodesk Inc. COM 052769106 214,318.75 5,300 5,300 5,300 Avatex Corp. COM 05349F105 850,937.50 1,361,500 1,361,500 1,361,500 BJ's Wholesale Club Inc COM 05548J106 291,279.38 11,070 11,070 11,070 BP Amoco PLC COM 055622104 227,755.00 2,255 2,255 2,255 Baker Hughes Inc. COM 057224107 7,352,100.00 302,400 302,400 302,400 Bank of Bermuda COM 999999998 3,150,000.00 100,000 100,000 100,000 Bank of New York COM 064057102 418,959.38 11,658 11,658 11,658 Bank of Tokyo Mitsubishi COM 065379109 4,522,000.00 323,000 323,000 323,000 Ltd ADR BankAmerica Corp. COM 06605F102 7,801,166.88 110,459 110,459 110,459 Battle Mountain Gold Co COM 071593107 412,500.00 150,000 150,000 150,000 Boeing Company COM 097023105 4,321,400.00 127,100 127,100 127,100 Brite Voice Systems Inc. COM 110411105 1,080,000.00 135,000 135,000 135,000 Burlington Industries Inc COM 121693105 4,318,837.50 651,900 651,900 651,900 New Burlington Resources Inc. COM 122014103 4,556,868.75 114,100 114,100 114,100 C R Bard Inc COM 067383109 504,375.00 10,000 10,000 10,000 C-Cor Electronics Inc COM 125010108 1,116,000.00 62,000 62,000 62,000 Calpine Corp. COM 131347106 2,714,593.75 74,500 74,500 74,500 4 Catellus Development COM 149111106 4,246,562.50 317,500 317,500 317,500 Corp. Centocor Inc COM 152342101 1,126,593.75 30,500 30,500 30,500 Ceridian Corp. COM 15677T106 214,036.88 5,854 5,854 5,854 CitiGroup Inc. COM 172967101 638,750.00 10,000 10,000 10,000 De Beers Cons Mines ADR COM 662,812.50 35,000 35,000 35,000 Dura Pharmaceuticals Inc. COM 26632S109 11,379,100.00 805,600 805,600 805,600 Echo Bay Mines Ltd. COM 278751102 253,125.00 150,000 150,000 150,000 Electronic Data Systems COM 285661104 6,889,281.25 141,500 141,500 141,500 Cor New Enron Oil & Gas Co COM 293562104 1,065,662.50 64,100 64,100 64,100 Exxon COM 302290101 4,523,056.25 64,100 64,100 64,100 Fedders Corp COM 313135105 2,926,935.00 578,160 578,160 578,160 Financial Security COM 31769P100 4,659,787.50 93,900 93,900 93,900 Assurance Hldgs Ltd Frontier Adjusters of COM 359050101 102,500.00 41,000 41,000 41,000 America Frontier Corp COM 35906P105 689,937.50 13,300 13,300 13,300 General Electric Co. COM 369604103 973,500.00 8,800 8,800 8,800 Genzyme Corp. COM 372917104 13,451,681.25 266,700 266,700 266,700 Genzyme Corp., Molecular COM 372917500 47,962.50 12,790 12,790 12,790 Onc. Div, Getchell Gold Corp COM 374265106 2,325,450.00 88,800 88,800 88,800 Golden Books Family COM 380804104 78,840.00 219,000 219,000 219,000 Entertainment Inc. H & Q Healthcare COM 404052102 3,235,312.50 246,500 246,500 246,500 Investors-SBI H & R Block Inc COM 093671105 5,064,387.50 106,900 106,900 106,900 HSB Group Inc. COM 40428N109 5,058,281.25 136,250 136,250 136,250 Halliburton Co. COM 406216101 6,348,650.00 164,900 164,900 164,900 Hanna M A Co. COM 410522106 256,250.00 20,000 20,000 20,000 Harmony Gold Mining COM 413216300 700,781.25 149,500 149,500 149,500 Company Ltd. ADR Hoechst ADR COM 434390308 1,132,087.50 26,100 26,100 26,100 Homestake Mining COM 437614100 1,079,850.00 125,200 125,200 125,200 Humana Inc COM 444859102 1,435,200.00 83,200 83,200 83,200 Idexx Laboratories Corp. COM 45168D104 478,750.00 20,000 20,000 20,000 Illinois Tool Wks COM 452308109 1,127,671.88 18,225 18,225 18,225 Inco Ltd COM 453258402 8,236,443.75 618,700 618,700 618,700 Int'l Business Machines COM 459200101 10,683,743.75 60,275 60,275 60,275 Integrated Health Service COM 45812C106 7,368,350.00 1,339,700 1,339,700 1,339,700 Inc Intel Corp. COM 458140100 356,625.00 3,000 3,000 3,000 Ivax Corp. COM 465823102 236,250.00 20,000 20,000 20,000 Jennifer Convertibles Inc COM 476153101 250,000.00 100,000 100,000 100,000 K Mart Corp. COM 482584109 12,355,506.25 734,900 734,900 734,900 Kinross Gold Corp. COM 496902107 667,462.50 314,100 314,100 314,100 Knightsbridge Tankers COM G5299G106 2,026,875.00 117,500 117,500 117,500 Ltd. Litton Industries, Inc. COM 538021106 1,881,225.00 32,400 32,400 32,400 Lockheed Martin Corp. COM 539830109 2,219,700.00 58,800 58,800 58,800 5 Longview Fibre Co. COM 543213102 3,104,531.25 268,500 268,500 268,500 Mcdonalds Corp. COM 580135101 506,865.63 11,186 11,186 11,186 Midway Games Inc. COM 598148104 365,995.69 42,129 42,129 42,129 Motorola Inc. COM 620076109 16,012,450.00 218,600 218,600 218,600 Murphy Oil Corp. COM 626717102 6,689,800.00 161,200 161,200 161,200 Nabors Industries Inc COM 629568106 12,075,590.63 663,950 663,950 663,950 Nat'L Comp Sys COM 635519101 1,685,600.00 68,800 68,800 68,800 Newell Rubbermaid Inc. COM 651229106 786,172.50 16,551 16,551 16,551 Newmont Mining Corp. COM 651639106 7,106,680.00 406,096 406,096 406,096 Norstan Inc. COM 656535101 462,500.00 50,000 50,000 50,000 Northrop Grumman Corp. COM 666807102 4,340,937.50 72,500 72,500 72,500 O'Sullivan Industries COM 688609106 4,453,150.00 322,400 322,400 322,400 Holdings Oceaneering Int'l COM 675232102 995,225.00 65,800 65,800 65,800 Ogden Corp. COM 676346109 1,523,156.25 63,300 63,300 63,300 Olin Corp COM 680665205 3,069,062.50 305,000 305,000 305,000 Olsten Corp COM 681385100 1,800,562.50 291,000 291,000 291,000 Osmonics Inc. COM 688350107 282,575.00 35,600 35,600 35,600 Owens & Minor Inc Holding COM 690732102 2,810,700.00 277,600 277,600 277,600 Co. PSC Inc COM 69361E107 921,250.00 110,000 110,000 110,000 Pepsico Inc. COM 713448108 231,206.25 5,900 5,900 5,900 Periphonics Corp. COM 714005105 1,047,875.00 166,000 166,000 166,000 Perrigo Co. COM 714290103 801,406.25 111,500 111,500 111,500 Petroleum Geo-Services COM 716597109 381,250.00 25,000 25,000 25,000 ADR Philip Morris Co's Inc. COM 718154107 3,564,493.75 101,300 101,300 101,300 Phycor Inc. COM 71940F100 285,000.00 60,000 60,000 60,000 Polaroid Corp COM 731095105 3,617,600.00 179,200 179,200 179,200 Protein Design COM 74369L103 376,562.50 25,000 25,000 25,000 Laboratories Inc. Providian Financial corp. COM 74406A102 247,500.00 2,250 2,250 2,250 RJR Nabisco Holdings COM 74960K876 587,500.00 23,500 23,500 23,500 Corp. Raytheon Co. Class A COM 755111309 1,066,411.50 18,466 18,466 18,466 Raytheon Co. Class B COM 755111408 4,596,200.00 78,400 78,400 78,400 Reader's Digest COM 755267101 6,293,787.50 200,200 200,200 200,200 Association Inc Cl A Reynolds Metals Co. COM 761763101 2,990,543.75 61,900 61,900 61,900 Roberts Pharmaceutical COM 720491109 643,250.00 31,000 31,000 31,000 Corp Romac International Inc. COM 775835101 595,000.00 70,000 70,000 70,000 Schering Plough Corp. COM 806605101 309,400.00 5,600 5,600 5,600 Schlumberger Ltd. COM 806857108 993,093.75 16,500 16,500 16,500 Schulman,A Inc. COM 808194104 3,131,025.00 229,800 229,800 229,800 Scientific Atlanta COM 808655104 1,026,970.75 37,687 37,687 37,687 Sea Containers Limited COM 811371707 577,500.00 20,000 20,000 20,000 Class A Seattle Filmworks Inc. COM 812572105 322,175.00 105,200 105,200 105,200 6 Sensormatic Electronics COM 817265101 1,662,500.00 175,000 175,000 175,000 Corp. Sonoco Products Co. COM 835495102 292,215.00 12,705 12,705 12,705 Sprint Corp. COM 852061100 7,693,000.00 78,400 78,400 78,400 Stillwater Mining Co COM 86074Q102 5,793,268.75 219,650 219,650 219,650 Systems & Computer COM 871873105 4,832,000.00 483,200 483,200 483,200 Technology Corp Tellabs Inc. COM 879664100 1,905,538.50 19,494 19,494 19,494 Teltrend Inc COM 87969R106 779,625.00 49,500 49,500 49,500 Tenet Healthcare Corp COM 88033G100 598,425.00 31,600 31,600 31,600 Tenneco Inc. COM 88037E101 4,944,099.38 176,970 176,970 176,970 Tesoro Petroleum Corp COM 881609101 4,833,400.00 439,400 439,400 439,400 Teva Pharmaceutical Ind. COM 881624209 474,375.00 10,000 10,000 10,000 Ltd spd ADR Texas Instruments Inc. COM 882508104 297,750.00 3,000 3,000 3,000 Thoratec Laboratories COM 885175307 231,575.00 31,400 31,400 31,400 Corp. New Ultrak Inc COM 903898401 776,598.63 132,187 132,187 132,187 Union Pacific Corp. COM 907818108 5,119,312.50 95,800 95,800 95,800 Union Pacific Resources COM 907834105 923,233.75 77,746 77,746 77,746 Group Unisys Corp. COM 909214108 4,701,337.50 169,800 169,800 169,800 United Healthcare Corp. COM 910581107 1,841,875.00 35,000 35,000 35,000 Varco International Inc. COM 922126107 5,504,650.00 494,800 494,800 494,800 WMS Industries Inc. COM 929297109 234,468.75 30,500 30,500 30,500 Warner-Lambert COM 934488107 292,758.75 4,419 4,419 4,419 Waste Management, Inc. COM 94106L109 6,031,849.38 135,929 135,929 135,929 Wave Technologies Intl COM 94352Q109 753,156.25 156,500 156,500 156,500 Inc Westvaco Corp. COM 961548104 4,989,600.00 237,600 237,600 237,600 Xerox COM 984121103 573,375.00 11,000 11,000 11,000 ---------------- 404,434,312.56
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