13F-HR 1 d75846_13fhr.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: 12/31/2008 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: 40 West 57th Street, 19th Floor New York, NY 10019 13F File Number: 028-03589 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 submission. 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 January __, 2009 ----------------------------------- ---------------- -------------------- Report Type (Check only one.): |X| 13F HOLDINGS REPORT. |_| 13F NOTICE. |_| 13F COMBINATION REPORT. List of Other Managers Reporting for this Manager: FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: Form 13F Information Table Entry Total: 516 Form 13F Information Table Value Total: $2,543,106 List of Other Included Managers: 1 Tocqueville Asset Management L.P. FORM 13F TAM LP 31-Dec-08
TITLE OF VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE ----------------------- ------- --------- -------- ------- --- ---- ------- -------- -------- -------- ------- 1 800 Flowers Com Inc. COM 68243Q106 9744 2550721 SH Sole 2171101 379620 3Com Corp. COM 885535104 70 30500 SH Sole 30500 3M Company COM 88579Y101 20463 355626 SH Sole 349296 6330 99 Cents Only Stores COM 65440K106 268 24490 SH Sole 24490 Abbott Laboratories COM 002824100 12847 240710 SH Sole 232247 8463 Activision Blizzard, Inc. COM 00507V109 2891 334567 SH Sole 334567 Adobe Systems Inc. COM 00724F101 969 45503 SH Sole 45350 153 AFLAC Inc. COM 001055102 2229 48625 SH Sole 48625 Agilent Technologies, Inc. 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COM 842587107 3201 86508 SH Sole 77314 9194 Southwestern Energy COM 845467109 222 7675 SH Sole 5500 2175 SPDR Gold Trust COM 78463V107 18399 212660 SH Sole 210160 1500 1000 SPDR Series Trust Lehman Yield COM 78464a417 324 10000 SH Sole 10000 Spectra Energy Corp COM 847560109 773 49087 SH Sole 48237 850 St. Jude Medical Inc. COM 790849103 5273 159975 SH Sole 159975 Standard & Poor's Depository R COM 78462f103 9209 102048 SH Sole 97336 4712 Staples Inc. COM 855030102 247 13775 SH Sole 11600 2175 Starbucks Corp. COM 855244109 1514 160050 SH Sole 158935 1115 Starwood Hotels & Resorts Worl COM 85590A401 692 38635 SH Sole 38635 State Street Corp. COM 857477103 319 8115 SH Sole 7315 800 Steelcase Inc. COM 858155203 17149 3051462 SH Sole 2907342 144120 Stericycle Inc. COM 858912108 566 10870 SH Sole 10670 200 Strayer Education Inc. COM 863236105 204 953 SH Sole 953 streetTRACKS SPDR Biotec ETF COM 78464a870 1718 32035 SH Sole 32035 Stryker Corp. COM 863667101 3119 78070 SH Sole 76320 1750 Suncor Energy, Inc. COM 867229106 579 29700 SH Sole 26400 500 2800 Symantec Corp COM 871503108 1619 119725 SH Sole 118210 1515 SYMS CORP COM 871551107 2189 246500 SH Sole 246500 Symyx COM 87155S108 11121 1872187 SH Sole 1723367 148820 Synovus Financial Corp. COM 87161C105 518 62462 SH Sole 45500 16962 Sysco Corp. COM 871829107 3738 162960 SH Sole 149115 13845 Talisman Energy Inc. COM 87425E103 421 42100 SH Sole 20500 21600 Target Corp. COM 87612E106 1479 42845 SH Sole 42845 Tellabs Inc. COM 879664100 107 25925 SH Sole 25925 Tetra Tech Inc. COM 88162g103 7186 297566 SH Sole 278759 18807 Tetra Technologies COM 88162F105 9610 1977419 SH Sole 1737739 239680 Texas Instruments Inc. COM 882508104 1203 77489 SH Sole 64315 13174 The Bank of New York Mellon Co COM 064058100 4192 147958.64 SH Sole 144836 3122.64 The Manitowoc Company, Inc. COM 563571108 927 107005 SH Sole 107005 Thermo Fisher Scientific Inc. COM 883556102 2701 79270 SH Sole 79270 Thomas & Betts Corp. COM 884315102 456 19000 SH Sole 19000 Thoratec Laboratories Corp. COM 885175307 24852 764902 SH Sole 670422 94480 Tibco Software Inc. COM 88632Q103 11672 2248855 SH Sole 1929595 319260 Tidewater Inc. COM 886423102 610 15150 SH Sole 15150 TJX Companies, Inc. COM 872540109 1776 86334.99 SH Sole 85309.99 1025 Total System Services Inc. COM 891906109 279 19898 SH Sole 15000 4898 Tractor Supply Company COM 892356106 8119 224648 SH Sole 190674 33974 Transocean Ltd. COM H8817H100 468 9897 SH Sole 9897 Trimble Navigation Ltd. COM 896239100 2187 101205 SH Sole 101205 TRW Automotive Holdings COM 87264s106 327 90849 SH Sole 90849 Tyco International Ltd. (New) COM g9143x208 1371 63490 SH Sole 63190 300 Ultra Russell200 ProShares COM 74347R842 324 16250 SH Sole 16250 UltraShort Lehman 20+ Yr Treas COM 74347R297 14162 375355 SH Sole 375355 Ultratech, Inc. COM 904034105 25843 2160794 SH Sole 1886859 273935 UNIFI INC COM COM 904677101 264 93548 SH Sole 93548 Union Pacific Corp. COM 907818108 1450 30333 SH Sole 30282 51 United Health Group Inc. COM 91324P102 456 17125 SH Sole 14805 2320 United Parcel Service, Inc. COM 911312106 12639 229140 SH Sole 226940 2200 United Technologies COM 913017109 6007 112079 SH Sole 111979 100 US Bancorp COM 902973304 3256 130177.98 SH Sole 129029 1149 UST Inc. COM 902911106 208 3000 SH Sole 3000 ValueClick, Inc. COM 92046N102 5262 769358 SH Sole 655523 113835 Verizon Communications COM 92343V104 36692 1082363 SH Sole 1078609 950 2804 Visa Inc. COM 92826C839 2287 43600 SH Sole 43600 Vital Images Inc. COM 92846N104 668 48000 SH Sole 48000 Vulcan Materials Company COM 929160109 647 9300 SH Sole 7200 2100 W&T Offshore Inc. COM 92922P106 309 21600 SH Sole 21600 W. R. Grace & Co. COM 38388F108 3835 642300 SH Sole 642300 Walgreen Co. COM 931422109 985 39941 SH Sole 21380 18561 Wal-Mart Stores Inc. COM 931142103 10736 191502.97 SH Sole 183498 1100 6905 Watsco Inc. Cl A COM 942622200 925 24100 SH Sole 24100 WD-40 Company COM 929236107 11822 417872 SH Sole 357684 60188 Weatherford International, Inc COM G95089101 2396 221425 SH Sole 219380 2045 Wells Fargo & Co. COM 949746101 9370 317828.98 SH Sole 306849 10980 Westell Technologies Inc. COM 957541105 7 28000 SH Sole 28000 Western Union Co. COM 959802109 13509 942050 SH Sole 942050 Western/Claymore Inflation-Lin COM 95766Q106 136 12555 SH Sole 12555 Weyerhaeuser Co. COM 962166104 9781 319545 SH Sole 319215 330 Whole Foods Market Inc. COM 966837106 95 10100 SH Sole 10100 Wiley John & Sons Inc COM 968223206 754 21200 SH Sole 21200 Williams Cos Inc COM 969457100 1155 79790 SH Sole 79790 Wright Medical Group Inc. COM 98235T107 25273 1237041 SH Sole 1080391 156650 Wyeth COM 983024100 690 18386 SH Sole 18386 Wynn Resorts Ltd. COM 983134107 515 12175 SH Sole 12175 XTO Energy Inc. COM 98385X106 2198 62318 SH Sole 61981 337 Yahoo! Inc. COM 984332106 241 19750 SH Sole 19650 100 Yum! Brands Inc. COM 988498101 344 10920 SH Sole 10520 400 Zimmer Holdings, Inc. COM 98956P102 1732 42844 SH Sole 41084 1760 Zoltek Co's Inc. COM 98975w104 5637 627000 SH Sole 627000 DREYFUS PREMIER INTERMEDIATE T MF 261967301 296 26567.362 SH Sole 2.107 26565.26 DREYFUS PREMIER S&P STARS CL-R MF 26202X405 374 18219.357 SH Sole 18219.36 Dreyfus Premier Strategic Valu MF 26200C627 341 16987.231 SH Sole 16987.23 Europacific Growth Cl F MF 298706409 2631 94371.811 SH Sole 70713.3 23658.51 Fcp Tocqueville Small Caps Ame MF 324 275 SH Sole 275 Fcp Tocqueville Value Amerique MF 6765 231039.0005 SH Sole 231039 Fidelity Advisor Prime Fund MF 233809102 143 142663.3 SH Sole 142663.3 Fidelity Spartan 500 Index Fun MF 315912204 3428 55185.258 SH Sole 55185.26 Fundamental Investors, Inc. MF 360802102 2757 110367.544 SH Sole 110367.5 Hennesy Cornerstone Growth MF 425888104 124 14208.273 SH Sole 14208.27 Integrity Managed Porf Nh Muni MF 45821C600 111 10936.232 SH Sole 10936.23 Putnam Investors Fund Inc CL A MF 746809102 461 52876.069 SH Sole 52876.07 Tocqueville Fund Cl A MF 888894102 53204 3439189.227 SH Sole 3369686 69503.29 Tocqueville Small Cap Fund MF 888894409 11494 1279939.811 SH Sole 1268535 11404.81 VANGUARD BOND INDEX FUND INC I MF 921937306 119 11287.019 SH Sole 11287.02 Vanguard Nj L/T Tax-Exempt Adm MF 92204F305 377 34772.528 SH Sole 34772.53 BAC Capital Trust XII 6.875% PFD 05633T209 609 32014 SH Sole 32014 Bank of America Corp. Pfd 8.2% PFD 060505765 399 19700 SH Sole 19700 Citigroup Inc. PFD1/1000 SR F PFD 172967556 329 20800 SH Sole 20800 CORTS TR IV IBM DEBS CORTS A 7 PFD 22082g208 206 8000 SH Sole 8000 Dermacare Ser A (Restricted) PFD 51 366569 SH Sole 366569 Dermacare Ser B (Restricted) PFD 40 233148 SH Sole 233148 Freeport-McMoran C & G Pfd Per PFD 35671D790 6026 9700 SH Sole 9700 J P Morgan Chase & Co pfd 8.62 PFD 46625H621 217 8600 SH Sole 8600 JP Morgan Chase XIX 6.625% PFD 48123A207 841 38300 SH Sole 38300 Pub Storage Ser E 6.75% C@25 PFD 74460D398 718 39000 SH Sole 39000 Pub Storage Ser-W 6.50% C@25 1 PFD 74460d570 316 17000 SH Sole 17000 Pub Storage Ser-X 6.45% C@25 1 PFD 74460d554 404 22400 SH Sole 22400 Pub Storage Ser-Z 6.25% C@25 PFD 74460d521 761 44200 SH Sole 44200 Public Storage Ser-F 6.45% C@2 PFD 74460D380 336 17500 SH Sole 17500 Public Storage Series-M 6.625% PFD 74460D232 1683 90950 SH Sole 90950 US Bancorp Pfd. 7.875% PFD 902973882 486 18200 SH Sole 18200 Applied Semiconductor, Inc. SE RES 101 16800 SH Sole 16800 CDG Research Corp. CL A RES 31 50000 SH Sole 50000 CDG Tech, Inc. CL A RES 31 50000 SH Sole 50000 Drinks America Holdings RES 26205U10R 5 33333 SH Sole 33333 Emcore Corp. (XXX) RES 29084610R 663 510000 SH Sole 510000 Genetic ID Inc. CONV PFD SER B RES 176 14650 SH Sole 8400 6250 Mirant Corp - Escrow shares RES 604675991 0 26491 SH Sole 10055 16436 Argentex Mining Corp. (pvt) 04012e107 398 1420000 SH Sole 1420000 Argentex Mining WTS @1.60$USD AGXM:1.60 0 710000 SH Sole 710000 ATW Gold Corp WTS US$1.35* EXP ATWGF:01. 0 1175000 SH Sole 1175000 BIO-key International Inc. (Se 0 65926 SH Sole 65926 BIO-key Intl WTS $1.00 exp 4/1 0 333334 SH Sole 333334 ECF Value Fund II LP 380 500000 SH Sole 500000 Electrum Ltd. (pvt) :COST 18422 3289583 SH Sole 3289583 Emcore Corp. WTS $15.06 02/19/ 0 89250 SH Sole 89250 Exploration Syndicate, Inc.(pv :COST 1500 1500000 SH Sole 1500000 Geo Fossil Fuels :0 0 91036.7 SH Sole 91036.7 GeoBiotics LLC Private Placeme :COST 584 417142 SH Sole 417142 GeoBiotics LLC Private Placeme :1.75 1000 571400 SH Sole 571400 GeoBiotics LLC Private Placeme :1.75 437 250000 SH Sole 250000 GeoBiotics LLC Private Placeme :COST 106 60640 SH Sole 60640 GeoBiotics LLC Private Placeme :COST 136 77432 SH Sole 77432 GeoBiotics, LLC :COST 625 357142 SH Sole 357142 GeoSynFuels :26 2367 91036.7 SH Sole 91036.7 Gold Resource Corp. (pvt) :COST 10311 2946000 SH Sole 2946000 GoviEx IP Holdings Inc. (pvt) :COST 146 3600000 SH Sole 3600000 GoviEx Uranium Inc. (pvt) :COST 7054 3600000 SH Sole 3600000 Kinder Morgan Energy LP 494550106 842 18400 SH Sole 16400 2000 Marketus Partners LP 1531 1250000 SH Sole 1250000 Overlook Partners LP 280 250000 SH Sole 250000 Platte River Gld US Inc WTS $4 :COST 0 601550 SH Sole 601550 Platte River Gold $2.00 exp 03 :COST 0 1592500 SH Sole 1592500 Platte River Gold $2.00 exp 11 :COST 0 360000 SH Sole 360000 Platte River Gold Inc (pvt) :0.81 2725 3363750 SH Sole 3363750 Platte River Gold Inc (pvt) :3 3609 1203100 SH Sole 1203100 Platte River Gold Inc (pvt) :1.2 3621 3014375 SH Sole 3014375 Platte River Gold Inc (pvt) :1.25 900 720000 SH Sole 720000 The Water Company, LLC :COST 625 15624 SH Sole 15624 Zymequest Series E 112 80000 SH Sole 80000 REPORT SUMMARY 516 DATA RECORDS 2543106 1 OTHER MANAGERS ON WHOSE BEHALF REPORT IS FILED