-----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, HfsjrA9FmkpVzlCc3ctQTk2mXcVMsMVcUSnRny+vq8CLJMRmdIIR+YyXrQnnOI+8 kOtCEJ37NulXLBY7D8/B4g== 0001169232-09-003510.txt : 20090730 0001169232-09-003510.hdr.sgml : 20090730 20090730160658 ACCESSION NUMBER: 0001169232-09-003510 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090630 FILED AS OF DATE: 20090730 DATE AS OF CHANGE: 20090730 EFFECTIVENESS DATE: 20090730 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: 09973849 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 d77421_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: 6/30/2009 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 July 30, 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: ____________ Form 13F Information Table Value Total: $___________ List of Other Included Managers: 1 Tocqueville Asset Management L.P. FORM 13F 30-Jun-09
TITLE OF VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER CLASS CUSIP (x1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE - ----------------------- -------- --------- -------- ------- --- ---- ------- ---------- ----- ------ ---- Bank of America Corp. Pfd 8.2% PFD 060505765 336 17000 SH Sole 17000 CORTS TR IV IBM DEBS CORTS A 7 PFD 22082g208 208 8000 SH Sole 8000 Entergy Miss.7.25% C@25 11/22/ PFD 29364n868 212 8500 SH Sole 8500 Freeport-McMoran C & G Pfd Per PFD 35671D790 8385 7700 SH Sole 7700 HSBC Hldgs Plc Sub Cap 8.125% PFD 404280703 369 15500 SH Sole 15500 J P Morgan Chase & Co Pfd 8.62 PFD 46625H621 703 27650 SH Sole 27650 Pub Storage Ser E 6.75% C@25 PFD 74460D398 790 40000 SH Sole 40000 Pub Storage Ser-W 6.50% C@25 1 PFD 74460D570 334 16800 SH Sole 16800 Pub Storage Ser-X 6.45% C@25 1 PFD 74460D554 391 20200 SH Sole 20200 Pub Storage Ser-Z 6.25% C@25 PFD 74460D521 821 44200 SH Sole 44200 Public Storage Ser-F 6.45% C@2 PFD 74460D380 554 28500 SH Sole 28500 Public Storage Series-M 6.625% PFD 74460D232 1729 86450 SH Sole 86450 US Bancorp Pfd. 7.875% PFD 902973882 336 13500 SH Sole 13500 1 800 Flowers Com Inc. COM 68243Q106 5053 2631549 SH Sole 2080979 550570 3Com Corp. 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COM 053807103 204 9700 SH Sole 9700 Avon Products Inc. COM 054303102 1458 56550 SH Sole 56550 BP Prudhoe Bay Royalty Trust COM 055630107 284 4111 SH Sole 4111 BancorpSouth, Inc. COM 059692103 2289 111500 SH Sole 111500 Bank of Somerset Hills/NJ COM 834728107 99 13240 SH Sole 13240 Bank of the Ozarks, Inc. COM 063904106 249 11500 SH Sole 11500 BankAmerica Corp. COM 060505104 2468 186953 SH Sole 164234 22719 Bard C. R., Inc COM 067383109 3191 42857 SH Sole 42800 57 Baxter International Inc. COM 071813109 9745 184015 SH Sole 183932 83 Baytex Energy Tr.Units COM 073176109 362 21525 SH Sole 21525 Bebe Stores, Inc. COM 075571109 11256 1636004 SH Sole 1297654 338350 Becton Dickinson & Co. COM 075887109 510 7150 SH Sole 7150 Berkshire-Hathaway, Inc. Class COM 084670108 1800 20 SH Sole 20 Berkshire-Hathaway, Inc. Class COM 084670207 9625 3324 SH Sole 3324 Boeing Co. COM 097023105 17543 412781 SH Sole 400788 11993 Boston Scientific Corp. 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COM 98956P102 1897 44531 SH Sole 41461 3070 eBay Inc. COM 278642103 11374 664000 SH Sole 664000 iShares - Russell 2000 COM 464287655 13241 259215 SH Sole 259215 iShares Lehman US TIPS Fund COM 464287176 2192 21564 SH Sole 20564 1000 iShares Silver Trust COM 46428q109 375 28000 SH Sole 28000 iShares iBoxx Inv Grade Corp B COM 464287242 2588 25810 SH Sole 25810 streetTRACKS SPDR Biotec ETF COM 78464a870 2239 44210 SH Sole 44210 Vale S.A. - ADR COM 91912E105 3357 190400 SH Sole 190400 Dreyfus Premier Intermediate T MF 261967301 246 21268.06 SH Sole 2.133 21265.93 Europacific Growth Cl F MF 298706409 6137 195503.8 SH Sole 187525.5 7978.301 Fidelity Spartan 500 Index Fun MF 315912204 3254 51151.77 SH Sole 51151.77 Fundamental Investors, Inc. MF 360802102 2438 90267.54 SH Sole 90267.54 Hennesy Cornerstone Growth MF 425888104 129 15606.49 SH Sole 15606.49 JP Morgan Intermediate Tax Fre MF 4812A0441 216 20319.65 SH Sole 20319.65 Tocqueville Fund Cl A MF 888894102 69979 4282701 SH Sole 4186614 96087.39 Tocqueville Small Cap Fund MF 888894409 13790 1417216 SH Sole 1412082 5134.51 Vaguard Bond Index Fund INC In MF 921937306 220 21165.75 SH Sole 21165.75 Vanguard Nj L/T Tax-Exempt Adm MF 92204F305 399 35538.88 SH Sole 35538.88 Drinks America Holdings RES 26205U10R 5 33333 SH Sole 33333 Emcore Corp. (XXX) RES 29084610R 643 510000 SH Sole 510000 Mirant Corp - Escrow shares RES 604675991 0 26491 SH Sole 10320 16171 Rockwood Services Corp. (Restr RES 999QBV907 1014 751 SH Sole 751 REPORT SUMMARY 478 DATA RECORDS
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