0001140361-17-030246.txt : 20170804 0001140361-17-030246.hdr.sgml : 20170804 20170804160128 ACCESSION NUMBER: 0001140361-17-030246 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170630 FILED AS OF DATE: 20170804 DATE AS OF CHANGE: 20170804 EFFECTIVENESS DATE: 20170804 FILER: COMPANY DATA: COMPANY CONFORMED NAME: TOCQUEVILLE ASSET MANAGEMENT L.P. CENTRAL INDEX KEY: 0000883961 IRS NUMBER: 133547557 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-03589 FILM NUMBER: 171008615 BUSINESS ADDRESS: STREET 1: 40 WEST 57TH STREET STREET 2: 19TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 212-698-0800 MAIL ADDRESS: STREET 1: 40 WEST 57TH STREET STREET 2: 19TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 FORMER COMPANY: FORMER CONFORMED NAME: TOCQUEVILLE ASSET MANAGEMENT LP DATE OF NAME CHANGE: 19990325 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0000883961 XXXXXXXX 06-30-2017 06-30-2017 TOCQUEVILLE ASSET MANAGEMENT L.P.
40 WEST 57TH STREET 19TH FLOOR NEW YORK NY 10019
13F HOLDINGS REPORT 028-03589 N
Victor Huwang Compliance Officer 646-873-3208 /s/ Victor Huwang New York NY 08-04-2017 0 833 8335426 false
INFORMATION TABLE 2 form13fInfoTable.xml 3D Systems Corp COM 88554D205 9571 511824 SH SOLE 511824 0 0 3M Company COM 88579Y101 35302 169566 SH SOLE 169566 0 0 A.O. Smith Corporation COM 831865209 1983 35200 SH SOLE 35200 0 0 ABB Ltd F ADR COM 000375204 1687 67736 SH SOLE 67520 0 216 Abbott Labs Inc COM 002824100 48031 988083 SH SOLE 984804 0 3279 Abbvie Inc. COM 00287Y109 45062 621460 SH SOLE 619406 0 2054 Abtech Hldgs Inc COM 00400H108 1 100000 SH SOLE 100000 0 0 Acadia Pharmaceuticals Inc COM 004225108 2805 100560 SH SOLE 100560 0 0 Accenture Plc F Class A COM G1151C101 2068 16723 SH SOLE 16723 0 0 Activision Blizzard, Inc. COM 00507V109 288 5010 SH SOLE 4690 0 320 Acuity Brands, Inc. COM 00508Y102 503 2476 SH SOLE 2476 0 0 Adobe Systems Inc COM 00724F101 13991 98920 SH SOLE 98890 0 30 Advanced Auto Parts COM 00751Y106 4687 40198 SH SOLE 40198 0 0 Advanced Micro Devices, Inc. COM 007903107 680 54500 SH SOLE 54500 0 0 Advaxis Inc COM 007624208 127 19600 SH SOLE 19600 0 0 Aegion Corporation COM 00770F104 8074 369000 SH SOLE 369000 0 0 Aegon N.V. COM 007924103 104 20389 SH SOLE 0 0 20389 Aerie Pharmaceuticals Inc COM 00771V108 6697 127450 SH SOLE 127450 0 0 Aetna Inc. COM 00817Y108 846 5570 SH SOLE 5520 0 50 Aflac Inc. COM 001055102 54604 702930 SH SOLE 702930 0 0 Agco Corporation COM 001084102 804 11932 SH SOLE 11932 0 0 Agilent Technologies Inc Com COM 00846U101 19459 328089 SH SOLE 324904 0 3185 AGNC Investment Corp. COM 00123q104 315 14800 SH SOLE 14800 0 0 Agnico-Eagle Mines Ltd COM COM 008474108 29776 660284 SH SOLE 660284 0 0 Agnico-Eagle Mines Ltd Com COM 008474108 63243 1401662 SH SOLE 1299061 0 102601 Air Products & Chemicals, Inc. COM 009158106 11605 81121 SH SOLE 80581 0 540 Alacer Gold Corp COM 010679108 6563 4091800 SH SOLE 4091800 0 0 Alamos Gold Inc. COM 011532108 83174 11584120 SH SOLE 11012820 0 571300 Alcoa Corp COM 013872106 7037 215536 SH SOLE 215536 0 0 Alerian MLP ETF COM 00162Q866 161 13475 SH SOLE 13135 0 340 Alibaba Group Holding COM 01609W102 7890 56000 SH SOLE 56000 0 0 Align Technologies Inc. COM 016255101 229 1525 SH SOLE 1525 0 0 Alkermes PLC COM G01767105 21674 373891 SH SOLE 373891 0 0 Allergan Plc COM G0177J108 55822 229636 SH SOLE 228231 0 1405 ALLERGAN PLC 5.5 PFD PFD CONV COM G0177J116 2329 2685 SH SOLE 2685 0 0 Allstate Corporation COM 020002101 2645 29906 SH SOLE 29451 0 455 Almaden Minerals Ltd COM 020283305 189 150000 SH SOLE 150000 0 0 Almaden Minerals Ltd COM 020283305 4797 3816667 SH SOLE 3816667 0 0 Almaden Minerals Ltd COM 020283305 1851 1481482 SH SOLE 1481482 0 0 Almadex Minerals Ltd COM 020289104 966 1240000 SH SOLE 1240000 0 0 Alnylam Pharmaceutical COM 02043Q107 1322 16575 SH SOLE 16575 0 0 Alphabet Inc COM 02079K107 100862 110992 SH SOLE 110705 0 287 Alphabet Inc Class A COM 02079K305 84469 90858 SH SOLE 90660 0 198 Altius Minerals Corp COM 020936100 1143 137400 SH SOLE 137400 0 0 Altria Group Inc COM 02209S103 2713 36436 SH SOLE 34475 0 1961 Amazon Inc. COM 023135106 134631 139082 SH SOLE 138613 0 469 Ambev Sa Sponsored ADR COM 02319V103 20213 3681830 SH SOLE 3681830 0 0 American Century Heritage Fund COM 025083791 216 9637 SH SOLE 9637 0 0 American Express Company COM 025816109 4421 52479 SH SOLE 40755 0 11724 American FD Europacific GWTH F COM 29875E100 7452 143803 SH SOLE 138676 0 5127 American Homes 4 Rent COM 02665T306 316 14000 SH SOLE 14000 0 0 American Sts WTR Co COM COM 029899101 488 10300 SH SOLE 10300 0 0 Ameriprise Financial, Inc. COM 03076C106 221 1736 SH SOLE 880 0 856 AmerisourceBergen Corp. COM 03073E105 234 2472 SH SOLE 2472 0 0 Ametek Inc. COM 031100100 736 12150 SH SOLE 12150 0 0 Amgen Incorporated COM 031162100 15207 88293 SH SOLE 88182 0 111 Anadarko Petro Corp COM COM 032511107 2940 64854 SH SOLE 64854 0 0 Anheuser-Busch InBev NV - ADR COM 03524A108 4817 43650 SH SOLE 43650 0 0 Annaly Capital Management Inc. COM 035710409 138 11437 SH SOLE 11437 0 0 Apache Corporation COM 037411105 303 6316 SH SOLE 6316 0 0 Apple Inc. COM 037833100 142679 990689 SH SOLE 987131 0 3558 Applied Materials, Inc. COM 038222105 40812 987941 SH SOLE 979127 0 8814 Aratana Therapeutics Inc. COM 03874P101 1866 258150 SH SOLE 258150 0 0 Arch Coal Inc Cl A COM 039380407 7762 113650 SH SOLE 112500 0 1150 Arconic Inc COM 03965L100 15484 683601 SH SOLE 683601 0 0 Argonaut Gold Inc COM 04016A101 11747 6427450 SH SOLE 5954449 0 473001 Ascena Retail Group Inc. COM 04351G101 2509 1167004 SH SOLE 1167004 0 0 Aspen Aerogels Inc. COM 04523Y105 3809 856055 SH SOLE 856055 0 0 Assurant, Inc. COM 04621X108 617 5951 SH SOLE 124 0 5827 AT & T INC COM 00206R102 33217 880396 SH SOLE 875907 0 4489 AT Mid Cap Equity Fund Institu COM 00769G477 141 11257 SH SOLE 11257 0 0 ATAC Resources Ltd. COM 046491106 2494 5389400 SH SOLE 5018500 0 370900 ATAC Resources Ltd. COM 046491106 103 221400 SH SOLE 221400 0 0 ATAC Resources Ltd. COM 046491106 2802 6055191 SH SOLE 6055191 0 0 Aurico Metals Inc COM 05157J108 7212 8204010 SH SOLE 8019424 0 184586 Aurico Metals Inc COM 05157J108 86 98448 SH SOLE 98448 0 0 Autobytel Inc Com New COM 05275N205 188 14900 SH SOLE 14900 0 0 Automatic Data Processing Inc COM 053015103 33440 326367 SH SOLE 326367 0 0 Avangrid Inc. COM 05351W103 1936 43860 SH SOLE 43550 0 310 Avery Dennison Corp COM 053611109 226 2561 SH SOLE 1524 0 1037 Avexis Inc. COM 05366U100 552 6720 SH SOLE 6720 0 0 Avnet, Inc. COM 053807103 4372 112447 SH SOLE 112447 0 0 AXA SA SPONSORED ADR COM 054536107 7889 286245 SH SOLE 285075 0 1170 Axovant Sciences Ltd. COM G0750W104 375 16175 SH SOLE 16175 0 0 B2Gold Corporation COM 11777Q209 76067 27070031 SH SOLE 25602951 0 1467080 Banco Santander SA - ADR COM 05964H105 7025 1050128 SH SOLE 1050128 0 0 Bank Of America C VAR 99 Due 1 COM 060505dr2 15092 14688000 PRN SOLE 14161000 0 527000 Bank Of America Corp COM 060505104 52390 2159520 SH SOLE 2146803 0 12717 Bank of New York Mellon Corp COM 064058ad2 4365 4185000 PRN SOLE 4155000 0 30000 Bank of New York Mellon Corpor COM 064058100 34250 671314 SH SOLE 671314 0 0 Bank of the Ozarks COM 063904106 2703 57675 SH SOLE 57675 0 0 Barkerville Gold Mines Ltd Com COM 067642603 4701 7110000 SH SOLE 7110000 0 0 Barkerville Gold Mines WTS C$1 COM 067642132 156 3555000 SH SOLE 3555000 0 0 Barnes Group Inc. COM 067806109 6847 116975 SH SOLE 116975 0 0 Barrick Gold Corporation COM 067901108 2110 132635 SH SOLE 132635 0 0 Baxter Intl Inc COM COM 071813109 560 9242 SH SOLE 5406 0 3836 Bayer A G Sponsored ADR COM 072730302 4182 32205 SH SOLE 32199 0 6 BB&T Corp COM 054937107 4040 88964 SH SOLE 88964 0 0 BCE Inc. COM 05534B760 7197 159800 SH SOLE 159800 0 0 Bear Creek Mining Corp COM 07380N104 17169 10602566 SH SOLE 10033166 0 569400 Bear Creek Mining Corp COM 07380N104 161 99700 SH SOLE 99700 0 0 Becton, Dickinson & Company COM 075887109 3982 20410 SH SOLE 20410 0 0 Berkshire Hathaway Inc. - Clas COM 084670108 5858 23 SH SOLE 23 0 0 Berkshire Hathawayinc DEL CL B COM 084670702 25031 147786 SH SOLE 145315 0 2471 Berry Plastics Group Inc. COM 08579W103 228 4000 SH SOLE 4000 0 0 Best Buy Inc COM 086516101 460 8019 SH SOLE 119 0 7900 BHP Billiton Limited - ADR COM 088606108 33654 945602 SH SOLE 945202 0 400 Biogen Inc. COM 09062X103 31333 115468 SH SOLE 115368 0 100 Biomarin Pharmaceutl COM 09061G101 1748 19250 SH SOLE 19250 0 0 Bioverativ Inc COM 09075E100 372 6183 SH SOLE 6183 0 0 Black Stone Minerals COM 09225M101 1274 80860 SH SOLE 80860 0 0 Blackstone Group LP COM 09253U108 479 14350 SH SOLE 13650 0 700 Block H & R Inc COM COM 093671105 19141 619251 SH SOLE 584766 0 34485 Bluebird Bio Inc COM 09609G100 3287 31290 SH SOLE 31290 0 0 Boardwalk Pipeline Partners LP COM 096627104 13511 750174 SH SOLE 750174 0 0 Boeing Company COM 097023105 33332 168554 SH SOLE 161035 0 7519 BP plc - ADR COM 055622104 2336 67429 SH SOLE 65636 0 1793 Brinks Co COM 109696104 20948 312650 SH SOLE 309298 0 3352 Bristol Myers Squibb Co COM 110122108 37528 673514 SH SOLE 668999 0 4515 Broadcom Ltd COM Y09827109 583 2500 SH SOLE 2500 0 0 Brookfield Infrastructure Part COM G16252101 424 10350 SH SOLE 10350 0 0 Brookfield Property Partners L COM G16249107 249 10500 SH SOLE 10500 0 0 BYD Co Ltd COM Y1023R104 149 24000 SH SOLE 24000 0 0 C. H. Robinson Worldwide, Inc. COM 12541W209 515 7500 SH SOLE 7500 0 0 C.R. Bard, Inc. COM 067383109 1524 4820 SH SOLE 4820 0 0 CA INC COM COM 12673P105 207 6005 SH SOLE 3821 0 2184 Cabot Oil & Gas Corporation COM 127097103 6091 242880 SH SOLE 242880 0 0 Cadence Design Systems Inc. COM 127387108 206 6153 SH SOLE 5520 0 633 CaesarStone Ltd COM M20598104 807 23015 SH SOLE 23015 0 0 Calgon Carbon Corporation COM 129603106 3668 242900 SH SOLE 242900 0 0 Cameco Corp COM COM 13321L108 8125 892859 SH SOLE 892859 0 0 Campbell Soup Co. COM 134429109 18667 357941 SH SOLE 357941 0 0 Canadian Natl RY Co COM 136375102 9677 119400 SH SOLE 119400 0 0 Canarc Resource Corp COM 13722D101 10 131500 SH SOLE 131500 0 0 Capital One Financial Corp. COM 14040hbh7 4216 4015000 PRN SOLE 3985000 0 30000 Capital One Financial Corp. COM 14040H105 21011 254311 SH SOLE 254276 0 35 Capstead Mtg Corp Com No Par COM 14067E506 250 24000 SH SOLE 24000 0 0 Care Capital Properties Inc COM 141624106 1025 38389 SH SOLE 38389 0 0 Carlisle Companies Inc. COM 142339100 3726 39054 SH SOLE 39054 0 0 Cars.com Inc. COM 14575E105 12009 450940 SH SOLE 450940 0 0 Caterpillar Inc. COM 149123101 39759 369990 SH SOLE 369990 0 0 Cavium Inc. 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COM 27579R104 7586 129500 SH SOLE 129500 0 0 Eastman Chemical Co. COM 277432100 25899 308355 SH SOLE 308355 0 0 Eaton Corp Plc COM G29183103 634 8150 SH SOLE 8150 0 0 Eaton Vance 1-to-10 Year Ladde COM 27826X300 1496 150553 SH SOLE 150553 0 0 Eaton Vance 5-to-15 Year Ladde COM 27826M734 989 80906 SH SOLE 80906 0 0 eBay Inc. COM 278642103 13449 385136 SH SOLE 385000 0 136 Echelon Diversified Fund LP COM 278LP8450 13 12989 SH SOLE 12989 0 0 Ecolab Inc. COM 278865100 1369 10315 SH SOLE 10315 0 0 Edwards Lifesciences Corp COM 28176E108 5946 50289 SH SOLE 50289 0 0 Eldorado Gold Corporation COM 284902103 32705 12388245 SH SOLE 11692695 0 695550 Eldorado Gold Corporation COM 284902103 2645 1000000 SH SOLE 1000000 0 0 Electro Scientific Industries COM 285229100 3457 419542 SH SOLE 419542 0 0 Electromed Inc. COM 285409108 1665 301103 SH SOLE 301103 0 0 Electronic Arts, Inc. 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COM 31154R109 2931 327905 SH SOLE 327905 0 0 FedEx Corp. COM 31428X106 793 3649 SH SOLE 3649 0 0 Fibrogen Inc. COM 31572Q808 2423 75000 SH SOLE 75000 0 0 Fidelity Spartan 500 Index Fun COM 315911206 4037 47430 SH SOLE 47430 0 0 Fidelity Spartan 500 Index Fun COM 315911701 6001 70592 SH SOLE 70592 0 0 Fifth Third 6.625 Pfd Ser I COM 316773605 1162 38755 SH SOLE 38315 0 440 Fifth Third Bancorp COM 316773100 518 19952 SH SOLE 16961 0 2991 Financial Select Sector SPDR F COM 81369Y605 12019 487196 SH SOLE 485810 0 1386 Finisar Corporation COM 31787A507 3329 128125 SH SOLE 128125 0 0 Finish Line Inc Cl A COM 317923100 338 23854 SH SOLE 23700 0 154 Fireeye Inc COM 31816Q101 2429 159725 SH SOLE 159725 0 0 First Data Corp. COM 32008D106 488 26800 SH SOLE 26800 0 0 First Rep Bk San Francisco Cal COM 33616C100 18672 186529 SH SOLE 183657 0 2872 First Trust ISE Water Index Fu COM 33733B100 432 10100 SH SOLE 10100 0 0 Fission Uranium Corp. COM 33812R109 11 23700 SH SOLE 23700 0 0 Flex Ltd. 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