-----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, QAdzoyLTf9lPMwSNtUDq/8mfqcbGMsHP7H0ovXbVeO2leyGxzbmgOqyWQS/XDTO1 Xh3uxOdhBdrKYGr8qny/YA== 0000919574-99-001297.txt : 20031216 0000919574-99-001297.hdr.sgml : 20031216 19991109170000 ACCESSION NUMBER: 0000919574-99-001297 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19990930 FILED AS OF DATE: 19991109 DATE AS OF CHANGE: 19991112 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: 99744866 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: September 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: 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: 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 11/9/99 _______________________ _____________________ _________ [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: 151 Form 13F Information Table Value Total: $429,902,520 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 September 30, 1999
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 --------- -------- -------- -------- -------- --------- -------- -------- INVESTMENT DISCRETION VOTING AUTHORITY --------------------- ------------------- TITLE 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 - --------------------- ----- --------- ------------ --------- --- --- ---- ----- ----- -------- --------- ----- ---- COMMON STOCKS - ------------- 3Com Corp. COM 885535104 7992500 278000 x 278000 AT&T Corp. COM 001957109 8036625 184750 x 184750 Active Voice COM 004938106 263500 17000 x 17000 Adobe Systems Inc. COM 00724F101 25548850 225100 x 225100 Alcoa Inc. COM 013817101 7898570.25 127268 x 127268 Alexander & Baldwin Inc. COM 014482103 3270875 137000 x 137000 Alza Corp. (Cl A) COM 022615108 2012187.5 47000 x 47000 American General Corp. COM 026351106 298034 4712 x 4712 American Home Products COM 026609107 415000 10000 x 10000 American Int'l Group COM 026874107 217343.75 2500 x 2500 Amgen Inc. COM 031162100 537900 6600 x 6600 Anadarko Petroleum Corp. COM 032511107 867975 28400 x 28400 Analysts International Corp. COM 032681108 3400925 327800 x 327800 Anixter Int'l Inc. COM 035290105 930000 40000 x 40000 Apache Corp. COM 037411105 302312.5 7000 x 7000 Apex Silver Mines Ltd. COM G04074103 1014656.25 68500 x 68500 Asahi America Inc COM 04338D106 731237.5 85400 x 85400 Asarco Inc. COM 043413103 3850200 142600 x 142600 Atlantic Richfield COM 048825103 274560.25 3098 x 3098 Avatex Corp. COM 05349F105 1616781.25 1361500 x 1361500 BJ's Wholesale Club Inc COM 05548J106 327256.88 11070 x 11070 BP Amoco PLC COM 055622104 249882.19 2255 x 2255 Baker Hughes Inc. COM 057224107 7374700 254300 x 254300 Bank of Bermuda COM 999999998 3532914 112156 x 112156 Bank of New York COM 064057102 374098.75 11188 x 11188 Bank of Tokyo Mitsubishi Ltd ADR COM 065379109 4915312.5 321000 x 321000 BankAmerica Corp. COM 060505104 4717510.88 84714 x 84714 Battle Mountain Gold Co COM 071593107 956250 300000 x 300000 Boeing Company COM 097023105 5886512.5 138100 x 138100 4 Burlington Industries Inc New COM 121693105 2891700 642600 x 642600 Burlington Resources Inc. COM 122014103 4817925 131100 x 131100 C R Bard Inc COM 067383109 941250 20000 x 20000 Catellus Development Corp. COM 149111106 3942125 335500 x 335500 Centocor Inc COM 152342101 907718.75 15500 x 15500 Circle Corp. COM 172559106 194166.5 35303 x 35303 CitiGroup Inc. COM 172967101 609400 13850 x 13850 Compania de Minas Buenaventurs S. A. COM 204448104 458781.25 26500 x 26500 De Beers Cons Mines ADR COM 931500 34500 x 34500 Dime Bancorp Inc. COM 25429Q102 1662500 95000 x 95000 Dura Pharmaceuticals Inc. COM 26632S109 11655931.25 836300 x 836300 EOG Resources, Inc. COM 26875P101 1362125 64100 x 64100 Echo Bay Mines Ltd. COM 278751102 387500 200000 x 200000 Elan Corp. PLC COM 284131208 1963406.25 58500 x 58500 Electronic Data Systems Cor New COM 285661104 6087812.5 115000 x 115000 Exxon COM 302290101 4871600 64100 x 64100 Fedders Corp COM 313135105 5124360 854060 x 854060 Financial Security Assurance Hldgs Ltd COM 31769P100 4853456.25 93900 x 93900 General Electric Co. COM 369604103 1560163.94 13159 x 13159 Genzyme Corp. COM 372917104 5344412.5 118600 x 118600 Genzyme Surgical Products COM 372917609 98761.13 17557.54 x 17557.54 Gold Fields Ltd COM 38059T106 693750 150000 x 150000 Golden Books Family Entertainment Inc. COM 42300 211500 x 211500 Grupo Radio Centro S.A. COM 40049C102 50250 12000 x 12000 H & Q Healthcare Investors-SBI COM 404052102 3857906.25 236500 x 236500 H & R Block Inc COM 093671105 4626093.75 106500 x 106500 HSB Group Inc. COM 40428N109 4783740.63 135950 x 135950 Halliburton Co. COM 406216101 6588700 160700 x 160700 Hanna M A Co. COM 410522106 568750 50000 x 50000 Harmony Gold Mining Co. Ltd. ADR COM 413216300 829800 138300 x 138300 Harris Corp. COM 413875105 828750 30000 x 30000 Hoechst ADR COM 434390308 1135350 26100 x 26100 Homestake Mining COM 437614100 1731843.75 188500 x 188500 Humana Inc COM 444859102 854562.5 124300 x 124300 Hyperion Solutions Corp. COM 44914M104 897600 40800 x 40800 Idexx Laboratories Corp. COM 45168D104 688750 40000 x 40000 Illinois Tool Wks COM 452308109 1358901.56 18225 x 18225 Inco Ltd COM 453258402 13224712.5 618700 x 618700 5 Int'l Business Machines COM 459200101 10061150 83150 x 83150 Integrated Health Service Inc COM 45812C106 2972187.5 1902200 x 1902200 Intel Corp. COM 458140100 222937.5 3000 x 3000 Intervoice Inc. COM 461142101 1133906.25 102500 x 102500 Ivax Corp. COM 465823102 495000 30000 x 30000 Jennifer Convertibles Inc COM 476153101 200000 100000 x 100000 Johnson & Johnson COM 478160104 220500 2400 x 2400 K Mart Corp. COM 482584109 8612518.75 736900 x 736900 Kinross Gold Corp. COM 496902107 888662.5 309100 x 309100 Knightsbridge Tankers Ltd. COM G5299G106 1768000 110500 x 110500 Lam Reaserch Corp. COM 512807108 414800 6800 x 6800 Litton Industries, Inc. COM 538021106 2595150 47400 x 47400 Lockheed Martin Corp. COM 539830109 2722868.75 83300 x 83300 Longview Fibre Co. COM 543213102 3327031.25 267500 x 267500 Mcdonalds Corp. COM 580135101 483794.5 11186 x 11186 Mckesson Corp. New COM 58155Q103 4576200 157800 x 157800 Medicis Pharmaceutical Corp. COM 584690309 2958300 103800 x 103800 Mobil Corp. COM 607059102 201500 2000 x 2000 Murphy Oil Corp. COM 626717102 8714875 161200 x 161200 Nabors Industries Inc COM 629568106 11357500 454300 x 454300 Nat'L Comp Sys COM 635519101 2638050 68800 x 68800 Newell Rubbermaid Inc. COM 651229106 472737.94 16551 x 16551 Newmont Mining Corp. COM 651639106 9679734 374096 x 374096 Norstan Inc. COM 656535101 308000 38500 x 38500 Northrop Grumman Corp. COM 666807102 5498156.25 86500 x 86500 O'Sullivan Industries Holdings COM 688609106 673500 44900 x 44900 Occidental Petroleum COM 674599105 763125 33000 x 33000 Oceaneering Int'l COM 675232102 1092812.5 65000 x 65000 Ogden Corp. COM 676346109 584112.5 56300 x 56300 Olin Corp COM 680665205 6335625 465000 x 465000 Olsten Corp COM 681385100 3120812.5 299000 x 299000 Osmonics Inc. COM 688350107 685506.25 64900 x 64900 Owens & Minor Inc Holding Co. COM 690732102 6073375 631000 x 631000 PSC Inc COM 69361E107 880000 110000 x 110000 Perrigo Co. COM 714290103 1035562.5 131500 x 131500 Phelps Dodge COM 717265102 1750987.5 31800 x 31800 Philip Morris Co's Inc. COM 718154107 4164037.5 121800 x 121800 Placer Dome Inc. COM 725906101 2948299.38 198205 x 198205 Polaroid Corp COM 731095105 4602000 177000 x 177000 Protein Design Laboratories Inc. COM 74369L103 903125 25000 x 25000 Raytheon Co. Class A COM 755111309 881972.5 18185 x 18185 Raytheon Co. Class B COM 755111408 4421587.5 89100 x 89100 6 Reader's Digest Association Inc Cl A COM 755267101 5212350 178200 x 178200 Roberts Pharmaceutical Corp COM 770491108 937750 31000 x 31000 Romac International Inc. COM 775835101 1453359.38 175500 x 175500 Royal Dutch Petroleum Co. COM 780257804 212625 3600 x 3600 SAGA Systems, Inc. COM 786610105 1479843.75 102500 x 102500 Schering Plough Corp. COM 806605101 244300 5600 x 5600 Schlumberger Ltd. COM 806857108 1028156.25 16500 x 16500 "Schulman,A Inc." COM 808194104 4516831.25 260900 x 260900 Sea Containers Limited Class A COM 811371707 243600 8700 x 8700 Seattle Filmworks Inc. COM 812572105 427375 105200 x 105200 Sensormatic Electronics Corp. COM 817265101 1585937.5 125000 x 125000 SkyePharma PCL ADR COM 830808101 351050 41300 x 41300 Sonoco Products Co. COM 835495102 289832.81 12705 x 12705 Sprint Corp. COM 852061100 8414175 155100 x 155100 Stillwater Mining Co COM 86074Q102 6507781.25 242150 x 242150 Stone & Webster, Inc. COM 861572105 1825600 65200 x 65200 Storage Technology Corp. COM 862111200 1048668.75 54300 x 54300 Systems & Computer Technology Corp COM 871873105 11067562.5 881000 x 881000 Technology Solutions Co. COM 87872T108 1412500 100000 x 100000 Tellabs Inc. COM 879664100 2219879.25 38988 x 38988 Teltrend Inc COM 87969R106 1559250 77000 x 77000 Tenet Healthcare Corp COM 88033G100 2490362.5 141800 x 141800 Tenneco Inc. COM 88037E101 3833500 225500 x 225500 Teva Pharmaceutical Ind. Ltd spd ADR COM 881624209 503125 10000 x 10000 Texaco Inc. COM 881694103 5902187.5 93500 x 93500 Texas Instruments Inc. COM 882508104 493500 6000 x 6000 Thoratec Laboratories Corp. New COM 885175307 126605.5 16604 x 16604 Ultrak Inc COM 903898401 756954.06 127487 x 127487 Uniao de Bancos Brasileiros S.A. COM 90458E107 242318.75 13700 x 13700 Union Pacific Corp. COM 907818108 4469812.5 93000 x 93000 Union Pacific Resources Group COM 907834105 1263372.5 77746 x 77746 Unisys Corp. COM 909214108 6579225 145800 x 145800 United Healthcare Corp. COM 910581107 1241531.25 25500 x 25500 United Stationers, Inc. COM 913004107 1065625 50000 x 50000 Unitrin, Inc. COM 913275103 4924075 141700 x 141700 UnumProvident Corp. COM 91529Y106 1342350 45600 x 45600 7 Varco International Inc. COM 922126107 5435625 446000 x 446000 Warner-Lambert COM 934488107 426061.13 6419 x 6419 Waste Management, Inc. COM 94106L109 3842627.25 199617 x 199617 Wave Technologies Intl Inc COM 94352Q109 503593.75 146500 x 146500 Westvaco Corp. COM 961548104 7277500 284000 x 284000 Xerox COM 984121103 461312.5 11000 x 11000 ------------- 429902519.9 8 52276001.AC1
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