-----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, IPCtEabc+3c10cRFpHW2/NUsrCHvFIThuD82/e2KQ7p2qlG0PnMq4vp0DlrAxqOe sXtn/s0DgurDO/uWky3RtA== 0000919574-99-000952.txt : 20031216 0000919574-99-000952.hdr.sgml : 20031216 19990816123100 ACCESSION NUMBER: 0000919574-99-000952 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19990630 FILED AS OF DATE: 19990816 DATE AS OF CHANGE: 19990818 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: 99691163 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: June 30, 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 8/13/99 _______________________ _____________________ _________ [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: 0 Form 13F Information Table Entry Total: 157 Form 13F Information Table Value Total: $489,996 [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 June 30, 1999
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 --------- -------- -------- -------- -------- --------- -------- -------- INVESTMENT DISCRETION VOTING AUTHORITY --------------------- ------------------- TITLE MARKET SHRS OR SH/ (A) (B) (C) (A) (B) (C) NAME OF ISSUER CLASS CUSIP VALUE PRN AMT PRN SOLE SHARE OTHER MANAGERS SOLE SHARE NONE - --------------------- ----- --------- ------------ --------- --- ---- ----- ----- -------- --------- ----- ---- COMMON STOCKS - ------------- COMMON STOCKS - ------------- 3Com Corp. COM 885535104 10,045,175 376,400 SH 376,400 NA 376,400 AT&T Corp. COM 001957109 10,188,572 182,550 SH 182,550 NA 182,550 Active Voice COM 004938106 1,087,500 75,000 SH 75,000 NA 75,000 Adobe Systems Inc. COM 00724F101 23,734,941 288,900 SH 288,900 NA 288,900 Alcoa Inc. COM 022249106 7,925,198 128,084 SH 128,084 NA 128,084 Alexander & Baldwin Inc. COM 014482103 3,070,500 138,000 SH 138,000 NA 138,000 Alza Corp. (Cl A) COM 022615108 2,391,125 47,000 SH 47,000 NA 47,000 American General Corp. COM 026351106 362,705 4,812 SH 4,812 NA 4,812 American Home Products COM 026609107 573,750 10,000 SH 10,000 NA 10,000 American Int'l Group COM 026874107 234,500 2,000 SH 2,000 NA 2,000 Amgen Inc. COM 031162100 523,525 8,600 SH 8,600 NA 8,600 Anadarko Petroleum Corp. COM 032511107 1,045,475 28,400 SH 28,400 NA 28,400 Analysts International Corp. COM 032681108 3,063,313 213,100 SH 213,100 NA 213,100 Anixter Int'l Inc. COM 035290105 730,000 40,000 SH 40,000 NA 40,000 Apache Corp. COM 037411105 273,000 7,000 SH 7,000 NA 7,000 Apex Silver Mines Ltd. COM G04074103 839,125 68,500 SH 68,500 NA 68,500 Arc International Corp COM 001905108 77,438 59,000 SH 59,000 NA 59,000 Asahi America Inc COM 04338D106 619,150 85,400 SH 85,400 NA 85,400 Asarco Inc. COM 043413103 4,706,888 250,200 SH 250,200 NA 250,200 Atlantic Richfield COM 048825103 258,877 3,098 SH 3,098 NA 3,098 Avatex Corp. COM 1,531,688 1,361,500 SH 1,361,500 NA 1,361,500 BJ's Wholesale Club Inc COM 05548J106 332,792 11,070 SH 11,070 NA 11,070 BP Amoco PLC COM 055622104 244,668 2,255 SH 2,255 NA 2,255 Baker Hughes Inc. COM 057224107 8,649,700 258,200 SH 258,200 NA 258,200 Bank of Bermuda COM 999999998 2,800,000 100,000 SH 100,000 NA 100,000 Bank of New York COM 064057102 422,200 11,508 SH 11,508 NA 11,508 Bank of Tokyo Mitsubishi Ltd ADR COM 065379109 4,703,688 323,000 SH 323,000 NA 323,000 BankAmerica Corp. COM 06605F102 8,091,647 110,372 SH 110,372 NA 110,372 Battle Mountain Gold Co COM 071593107 365,625 150,000 SH 150,000 NA 150,000 4 Boeing Company COM 097023105 5,900,400 134,100 SH 134,100 NA 134,100 Brite Voice Systems Inc. COM 110411105 356,117 25,551 SH 25,551 NA 25,551 Burlington Industries Inc New COM 121693105 6,029,150 651,800 SH 651,800 NA 651,800 Burlington Resources Inc. COM 122014103 5,116,475 118,300 SH 118,300 NA 118,300 C R Bard Inc COM 067383109 956,250 20,000 SH 20,000 NA 20,000 Calpine Corp. COM 131347106 2,165,400 40,100 SH 40,100 NA 40,100 Catellus Development Corp. COM 149111106 4,841,875 317,500 SH 317,500 NA 317,500 Centocor Inc COM 152342101 1,422,063 30,500 SH 30,500 NA 30,500 Circle Corp. COM 172559106 194,167 35,303 SH 35,303 NA 35,303 CitiGroup Inc. COM 172967101 717,250 15,100 SH 15,100 NA 15,100 Daisytek Intl COM 234053106 587,250 36,000 SH 36,000 NA 36,000 De Beers Cons Mines ADR COM 823,688 34,500 SH 34,500 NA 34,500 Dura Pharmaceuticals Inc. COM 26632S109 9,619,238 805,800 SH 805,800 NA 805,800 E I Du Pont De Nemours & Co. COM 263534109 206,577 3,024 SH 3,024 NA 3,024 Echo Bay Mines Ltd. COM 278751102 215,625 150,000 SH 150,000 NA 150,000 Elan Corp. PLC COM 284131208 319,125 11,500 SH 11,500 NA 11,500 Electronic Data Systems Cor New COM 285661104 7,321,613 129,300 SH 129,300 NA 129,300 Enron Oil & Gas Co COM 293562104 1,298,025 64,100 SH 64,100 NA 64,100 Exxon COM 302290101 4,943,713 64,100 SH 64,100 NA 64,100 Fedders Corp COM 313135105 5,532,273 835,060 SH 835,060 NA 835,060 Financial Security Assurance Hldgs Ltd COM 31769P100 4,882,800 93,900 SH 93,900 NA 93,900 Frontier Corp COM 35906P105 826,613 14,100 SH 14,100 NA 14,100 General Electric Co. COM 369604103 1,332,609 11,793 SH 11,793 NA 11,793 Genzyme Corp. COM 372917104 10,534,200 217,200 SH 217,200 NA 217,200 Genzyme Corp., Molecular Onc. Div, COM 372917500 33,688 12,250 SH 12,250 NA 12,250 Genzyme Surgical Products COM 372917609 170,104 38,881 SH 38,881 NA 38,881 Gold Fields Ltd COM 38059T106 521,438 151,691 SH 151,691 NA 151,691 Golden Books Family Entertainment Inc. COM 380804104 59,130 219,000 SH 219,000 NA 219,000 H & Q Healthcare Investors-SBI COM 404052102 3,444,031 236,500 SH 236,500 NA 236,500 H & R Block Inc COM 093671105 5,345,000 106,900 SH 106,900 NA 106,900 HSB Group Inc. COM 40428N109 5,611,797 136,250 SH 136,250 NA 136,250 Halliburton Co. COM 406216101 7,461,725 164,900 SH 164,900 NA 164,900 Hanna M A Co. COM 410522106 328,750 20,000 SH 20,000 NA 20,000 Harmony Gold Mining Company Ltd. ADR COM 413216300 669,891 138,300 SH 138,300 NA 138,300 Hoechst ADR COM 434390308 1,214,400 26,400 SH 26,400 NA 26,400 Homestake Mining COM 437614100 1,338,656 163,500 SH 163,500 NA 163,500 Hubbell Inc. Class B COM 443510201 204,188 4,500 SH 4,500 NA 4,500 Humana Inc COM 444859102 1,119,094 86,500 SH 86,500 NA 86,500 5 Hyperion Solutions Corp. COM 44914M104 1,617,375 90,800 SH 90,800 NA 90,800 Idexx Laboratories Corp. COM 45168D104 466,250 20,000 SH 20,000 NA 20,000 Illinois Tool Wks COM 452308109 1,489,894 18,225 SH 18,225 NA 18,225 Inco Ltd COM 453258402 11,136,600 618,700 SH 618,700 NA 618,700 Int'l Business Machines COM 459200101 12,168,888 94,150 SH 94,150 NA 94,150 Integrated Health Service Inc COM 45812C106 15,357,600 1,919,700 SH 1,919,700 NA 1,919,700 Intel Corp. COM 458140100 238,000 4,000 SH 4,000 NA 4,000 Ivax Corp. COM 465823102 423,750 30,000S SH 30,000 NA 30,000 Jennifer Convertibles Inc COM 476153101 231,250 100,000 SH 100,000 NA 100,000 Johnson & Johnson COM 478160104 235,200 2,400 SH 2,400 NA 2,400 Johnson Controls Inc. COM 478366107 207,938 3,000 SH 3,000 NA 3,000 K Mart Corp. COM 482584109 12,158,850 736,900 SH 736,900 NA 736,900 Kinross Gold Corp. COM 496902107 521,606 309,100 SH 309,100 NA 309,100 Knightsbridge Tankers Ltd. COM G5299G106 2,021,250 115,500 SH 115,500 NA 115,500 Lam Reaserch Corp. COM 512807108 317,475 6,800 SH 6,800 NA 6,800 Litton Industries, Inc. COM 538021106 3,132,938 43,400 SH 43,400 NA 43,400 Lockheed Martin Corp. COM 539830109 2,581,425 69,300 SH 69,300 NA 69,300 Longview Fibre Co. COM 543213102 4,195,313 268,500 SH 268,500 NA 268,500 Mcdonalds Corp. COM 580135101 460,024 11,186 SH 11,186 NA 11,186 Mckesson Corp. New COM 581557105 4,017,000 124,800 SH 124,800 NA 124,800 Mobil Corp. COM 607059102 214,288 2,170 SH 2,170 NA 2,170 Motorola Inc. COM 620076109 15,880,100 167,600 SH 167,600 NA 167,600 Murphy Oil Corp. COM 626717102 7,883,219 161,500 SH 161,500 NA 161,500 Nabisco Group Holdings Corp. COM 62952P102 442,113 22,600 SH 22,600 NA 22,600 Nabors Industries Inc COM 629568106 15,380,625 631,000 SH 631,000 NA 631,000 Nat'L Comp Sys COM 635519101 2,322,000 68,800 SH 68,800 NA 68,800 Newell Rubbermaid Inc. COM 651229106 767,553 16,551 SH 16,551 NA 16,551 Newmont Mining Corp. COM 651639106 8,041,346 404,596 SH 404,596 NA 404,596 Norstan Inc. COM 656535101 621,875 50,000 SH 50,000 NA 50,000 Northrop Grumman Corp. COM 666807102 7,725,406 116,500 SH 116,500 NA 116,500 O'Sullivan Industries Holdings COM 688609106 2,616,300 153,900 SH 153,900 NA 153,900 Oceaneering Int'l COM 675232102 1,048,125 65,000 SH 65,000 NA 65,000 Ogden Corp. COM 676346109 1,516,581 56,300 SH 56,300 NA 56,300 Olin Corp COM 680665205 4,035,375 306,000 SH 306,000 NA 306,000 Olsten Corp COM 681385100 2,108,375 334,000 SH 334,000 NA 334,000 Osmonics Inc. COM 688350107 387,150 35,600 SH 35,600 NA 35,600 Owens & Minor Inc Holding Co. COM 690732102 3,053,600 277,600 SH 277,600 NA 277,600 PSC Inc COM 69361E107 1,079,375 110,000 SH 110,000 NA 110,000 Periphonics Corp. COM 714005105 2,390,750 146,000 SH 146,000 NA 146,000 Perrigo Co. COM 714290103 1,002,688 131,500 SH 131,500 NA 131,500 6 Petroleum Geo-Services ADR COM 716597109 342,125 23,000 SH 23,000 NA 23,000 Phelps Dodge COM 717265102 1,350,238 21,800 SH 21,800 NA 21,800 Philip Morris Co's Inc. COM 718154107 5,007,363 124,600 SH 124,600 NA 124,600 Phycor Inc. COM 71940F100 444,375 60,000 SH 60,000 NA 60,000 Placer Dome Inc. COM 725906101 2,423,896 206,289 SH 206,289 NA 206,289 Polaroid Corp COM 731095105 4,867,500 177,000 SH 177,000 NA 177,000 Protein Design Laboratories Inc. COM 74369L103 554,688 25,000 SH 25,000 NA 25,000 Providian Financial corp. COM 74406A102 209,813 2,250 SH 2,250 NA 2,250 Raytheon Co. Class A COM 755111309 1,271,846 18,466 SH 18,466 NA 18,466 Raytheon Co. Class B COM 755111408 5,809,200 82,400 SH 82,400 NA 82,400 Reader's Digest Association Inc Cl A COM 755267101 7,162,950 180,200 SH 180,200 NA 180,200 Reynolds Metals Co. COM 761763101 3,669,800 62,200 SH 62,200 NA 62,200 Roberts Pharmaceutical Corp COM 720491109 744,000 31,000 SH 31,000 NA 31,000 Romac International Inc. COM 775835101 887,500 100,000 SH 100,000 NA 100,000 Royal Dutch Petroleum Co. COM 780257804 216,900 3,600 SH 3,600 NA 3,600 Schering Plough Corp. COM 806605101 294,000 5,600 SH 5,600 NA 5,600 Schlumberger Ltd. COM 806857108 1,050,844 16,500 SH 16,500 NA 16,500 Schulman,A Inc. COM 808194104 3,951,406 229,900 SH 229,900 NA 229,900 Sea Containers Limited Class A COM 811371707 604,125 18,000 SH 18,000 NA 18,000 Seattle Filmworks Inc. COM 812572105 322,175 105,200 SH 105,200 NA 105,200 Sensormatic Electronics Corp. COM 817265101 2,439,063 175,000 SH 175,000 NA 175,000 Skyepharma Plc Sponsored Amer COM 830808101 153,750 20,000 SH 20,000 NA 20,000 Sonoco Products Co. COM 835495102 380,356 12,705 SH 12,705 NA 12,705 Sprint Corp. COM 852061100 8,283,900 156,300 SH 156,300 NA 156,300 Stillwater Mining Co COM 86074Q102 6,456,125 198,650 SH 198,650 NA 198,650 Stone & Webster, Inc. COM 861572105 931,875 35,000 SH 35,000 NA 35,000 Systems & Computer Technology Corp COM 871873105 12,249,975 841,200 SH 841,200 NA 841,200 Technology Solutions Co. COM 87872T108 1,405,625 130,000 SH 130,000 NA 130,000 Tellabs Inc. COM 879664100 2,634,127 38,988 SH 38,988 NA 38,988 Teltrend Inc COM 87969R106 1,051,875 49,500 SH 49,500 NA 49,500 Tenet Healthcare Corp COM 88033G100 712,800 38,400 SH 38,400 NA 38,400 Tenneco Inc. COM 88037E101 5,421,296 227,070 SH 227,070 NA 227,070 Teva Pharmaceutical Ind. Ltd spd ADR COM 881624209 492,500 10,000 SH 10,000 NA 10,000 Texaco Inc. COM 881694103 5,832,063 93,500 SH 93,500 NA 93,500 Texas Instruments Inc. COM 882508104 432,000 3,000 SH 3,000 NA 3,000 7 Thoratec Laboratories Corp. New COM 885175307 176,418 16,604 SH 16,604 NA 16,604 Ultrak Inc COM 903898401 758,974 129,187 SH 129,187 NA 129,187 Union Pacific Corp. COM 907818108 5,702,963 97,800 SH 97,800 NA 97,800 Union Pacific Resources Group COM 907834105 1,268,232 77,746 SH 77,746 NA 77,746 Unisys Corp. COM 909214108 5,677,088 145,800 SH 145,800 NA 145,800 United Healthcare Corp. COM 910581107 2,035,313 32,500 SH 32,500 NA 32,500 United Stationers, Inc. COM 913004107 1,100,000 50,000 SH 50,000 NA 50,000 Unitrin, Inc. COM 913751038 6,219,700 151,700 SH 151,700 NA 151,700 Varco International Inc. COM 922126107 5,298,125 490,000 SH 490,000 NA 490,000 WMS Industries Inc. COM 929297109 433,500 25,500 SH 25,500 NA 25,500 Warner-Lambert COM 934488107 478,276 6,919 SH 6,919 NA 6,919 Waste Management, Inc. COM 94106L109 7,289,414 135,617 SH 135,617 NA 135,617 Wave Technologies Intl Inc COM 94352Q109 557,531 156,500 SH 156,500 NA 156,500 Westvaco Corp. COM 961548104 8,236,000 284,000 SH 284,000 NA 284,000 Xerox COM 984121103 649,688 11,000 SH 11,000 NA 11,000 --------------- Total 489,995,898 ===============
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