-----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, KpKc8+WrlOCynQ7kxYOf/LDs+/prkMeDJcHH8d8/xZX0hvKH7jtHPEfAFLcdho6N drqG2hu62CzWB3bHzRbHmA== 0001169232-08-003627.txt : 20081008 0001169232-08-003627.hdr.sgml : 20081008 20081008131445 ACCESSION NUMBER: 0001169232-08-003627 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20080930 FILED AS OF DATE: 20081008 DATE AS OF CHANGE: 20081008 EFFECTIVENESS DATE: 20081008 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: 081113835 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 d75085_13fhr.txt 13F HOLDINGS REPORT 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, 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: 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 October 8, 2008 - ----------------------------------- ---------------- -------------------- 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: FORM 13F INFORMATION TABLE Tocqueville Asset Management L.P. FORM 13F Advisory & Sub-Advisory Accounts & Mutual & Hedge Funds September 30, 2008
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 11557 2363320 SH Sole 1980270 383050 3Com Corp. COM 885535104 72 30500 SH Sole 30500 3M Company COM 88579Y101 22585 358487 SH Sole 351587 6900 ABM Industries Inc COM 000957100 14726 752478 SH Sole 633728 118750 AFLAC Inc. COM 001055102 2446 49775 SH Sole 49775 AT & T Inc. COM 00206R102 2450 91196.11 SH Sole 74135.11 896 16165 Abbott Laboratories COM 002824100 9722 172384 SH Sole 168123 4261 Accuray Inc. COM 004397105 112 16000 SH Sole 16000 Activision Blizzard, Inc. COM 00507V109 4787 393657 SH Sole 393657 Adobe Systems Inc. COM 00724F101 227 7400 SH Sole 7400 Agilent Technologies, Inc. COM 00846U101 643 23825 SH Sole 11520 12305 Air Products & Chemicals COM 009158106 3041 49105 SH Sole 49105 Alaska Communications Systems COM 01167P101 33511 2929300 SH Sole 2929300 Albany International Corp COM 012348108 5926 257000 SH Sole 257000 Alcoa Inc. COM 013817101 15003 828464 SH Sole 826424 2040 Alexander & Baldwin Inc. COM 014482103 217 5000 SH Sole 5000 Alkermes Inc. COM 01642T108 18963 1562003 SH Sole 1332803 229200 Alliant Energy Corp. COM 018802108 307 10400 SH Sole 10400 Allied Nevada Gold Corporation COM 019344100 1239 300000 SH Sole 300000 Allscripts Healthcare Solution COM 01988P108 12528 1098976 SH Sole 935626 163350 Allstate Corp COM 020002101 1350 32074 SH Sole 32074 Altria Group Inc. COM 02209S103 1629 84290 SH Sole 83890 400 Amazon.com Inc. COM 023135106 1630 24995 SH Sole 24995 American Express Co. COM 025816109 4872 162026 SH Sole 160634 1392 American Int'l Group COM 026874107 5549 1433912.2 SH Sole 1432612 1300 American Software, Inc. COM 029683109 1826 415890 SH Sole 415890 American Superconductor Corp COM 030111108 360 24000 SH Sole 24000 Ameriprise Financial, Inc. COM 03076C106 266 8380 SH Sole 8380 Amgen Inc. COM 031162100 26403 480237 SH Sole 479937 300 Amylin Pharmaceuticals Inc. COM 032346108 238 15000 SH Sole 15000 Anadarko Petroleum Corp. COM 032511107 465 11750 SH Sole 11750 Analogic Corporation COM 032657207 21751 470594 SH Sole 395244 75350 Anheuser Busch Companies Inc. COM 035229103 6227 98697 SH Sole 98547 150 Apache Corp. COM 037411105 3572 41311 SH Sole 40201 1110 Apex Silver Mines Ltd. COM G04074103 115 65500 SH Sole 5500 60000 Apple Inc. COM 037833100 8601 87640 SH Sole 86540 1100 Applied Biosystems Group - App COM 038020103 272 8600 SH Sole 900 7700 Applied Materials Inc. COM 038222105 32961 2434360 SH Sole 2410960 23400 Archer-Daniels-Midland Co COM 039483102 2410 131213 SH Sole 131213 Aspen Tech Inc. COM 045327103 23160 2013870 SH Sole 1693470 320400 Astec Industries Inc. COM 046224101 12974 544914 SH Sole 460064 84850 Autodesk Inc. COM 052769106 359 12600 SH Sole 12600 Automatic Data Processing COM 053015103 13300 345451 SH Sole 334901 10550 Avery Dennison Corp. COM 053611109 4391 111850 SH Sole 108850 3000 Avnet Inc. COM 053807103 225 10579 SH Sole 2379 8200 Avon Products Inc. COM 054303102 10463 280291 SH Sole 276791 3500 BP Prudhoe Bay Royalty Trust COM 055630107 393 4611 SH Sole 4611 Baldor Electric Co COM 057741100 16535 681020 SH Sole 578620 102400 BancorpSouth, Inc. COM 059692103 4146 150500 SH Sole 149000 1500 Bank of the Ozarks, Inc. COM 063904106 632 22500 SH Sole 22500 BankAmerica Corp. COM 060505104 1682 52213 SH Sole 52213 Bard C. R., Inc COM 067383109 3780 42100 SH Sole 42100 Baxter International Inc. COM 071813109 3280 50735 SH Sole 50735 Baytex Energy Tr.Units COM 073176109 504 26880 SH Sole 26880 Bebe Stores, Inc. COM 075571109 5267 632998 SH Sole 532398 100600 Becton Dickinson & Co. COM 075887109 249 3195 SH Sole 2895 300 Bed Bath & Beyond Inc. COM 075896100 1363 47500 SH Sole 47500 Berkshire-Hathaway, Inc. Class COM 084670108 2616 20 SH Sole 20 Berkshire-Hathaway, Inc. Class COM 084670207 12911 2941 SH Sole 2921 20 Boeing Co. COM 097023105 21318 415632 SH Sole 415632 Boston Scientific Corp. COM 101137107 119 11500 SH Sole 11500 Bristol Myers Squibb Co. COM 110122108 29668 1535619 SH Sole 1528489 7130 Brush Engineered Materials Inc COM 117421107 8152 611564 SH Sole 513564 98000 Bunge Ltd COM G16962105 455 9700 SH Sole 9700 Burlington Northern Santa Fe C COM 12189T104 259 3052 SH Sole 3052 CARBO Ceramics, Inc. COM 140781105 266 5800 SH Sole 5800 CB Richard Ellis Group Inc. COM 12497t101 246 29935 SH Sole 29935 CIT Group Inc COM 125581108 368 53600 SH Sole 53600 CVS/Caremark Corp. COM 126650100 8498 278534 SH Sole 278234 300 Cabot Microelectronics Corp. COM 12709P103 6783 230867 SH Sole 197692 33175 Callon Petroleum Co. COM 13123x102 329 23050 SH Sole 23050 Cambrex Corp. COM 132011107 3609 693945 SH Sole 693945 Cameron International Corp. COM 13342B105 364 12583 SH Sole 12583 Campbell Soup Cp. COM 134429109 30693 788205 SH Sole 787805 400 Cardinal Health Inc. COM 14149Y108 1602 34725 SH Sole 34725 Carlisle Companies, Inc. COM 142339100 226 8304 SH Sole 8304 Caterpillar Inc. COM 149123101 4168 84715.86 SH Sole 84715.86 Cedar Fair LP Depositry Unit COM 150185106 221 12350 SH Sole 12350 Celgene Corp COM 151020104 10096 180519.11 SH Sole 180519.1 Cerner Corp COM 156782104 1597 40400 SH Sole 40400 Charles River Laboratories Int COM 159864107 3950 74735 SH Sole 74735 Chesapeake Energy Corp. COM 165167107 3418 128975 SH Sole 128975 ChevronTexaco Corp. COM 166764100 14758 192066 SH Sole 183420 8646 Chordiant Software, Inc. COM 170404305 86 20000 SH Sole 20000 Chubb Corp COM 171232101 798 17185 SH Sole 17185 Church & Dwight Co. COM 171340102 949 15100 SH Sole 15100 Cimarex Energy Co. COM 171798101 453 11000 SH Sole 11000 Cincinnati Bell Inc. COM 171871106 90 33600 SH Sole 33600 Cintas Corp. COM 172908105 14312 544800 SH Sole 544800 Circle Corp. COM 172559106 0 28686 SH Sole 28686 Cisco Systems Inc. COM 17275R102 49518 2420252 SH Sole 2412552 7700 CitiGroup Inc. COM 172967101 1349 77478 SH Sole 76912 566 Cleveland Cliffs Inc. COM 185896107 16743 459590 SH Sole 459590 Coach Inc. COM 189754104 2847 139640 SH Sole 138040 1600 Coca-Cola Company COM 191216100 15453 303475 SH Sole 295707 7768 Colgate Palmolive Co. COM 194162103 39086 538159 SH Sole 531453 2406 4300 Columbia Sportswear Co COM 198516106 11416 313119 SH Sole 263594 49525 Comcast Corp - Class A COM 20030N101 401 22129 SH Sole 5429 16700 Commercial Metals Company COM 201723103 2137 195200 SH Sole 189200 6000 ConocoPhillips COM 20825C104 2459 37988 SH Sole 26426 500 11062 Constellation Brands Inc. COM 21036p108 675 36300 SH Sole 36300 Convergys Corp. COM 212485106 386 28000 SH Sole 28000 Corn Products International, I COM 219023108 220 9200 SH Sole 9200 Corning Inc. COM 219350105 65525 4697125 SH Sole 4692125 5000 Corrections Corp of America COM 22025Y407 1081 48750 SH Sole 48750 Costco Wholesale Corp. COM 22160K105 2070 34235 SH Sole 34235 Covance Inc. COM 222816100 9726 116967 SH Sole 116767 200 Covanta Holding Corp. COM 22282E102 321 17830 SH Sole 17230 600 Cray Inc. COM 225223304 66 13000 SH Sole 13000 Crescent Financial Corporation COM 225744101 248 45000 SH Sole 45000 Cross Timbers Royalty Trust COM 22757R109 7259 191190 SH Sole 181190 10000 Cubist Pharmaceuticals Inc. COM 229678107 1044 52000 SH Sole 52000 Cullen/Frost Bankers Inc. COM 229899109 2752 50450 SH Sole 49450 1000 Cymer, Inc. COM 232572107 6478 281519 SH Sole 237569 43950 DB Gold Long ETN COM 25154H749 1753 93400 SH Sole 93400 DPL Inc. COM 233293109 2179 95400 SH Sole 93400 2000 Danaher Corp. COM 235851102 3093 50300 SH Sole 50300 Deere & Co. COM 244199105 955 25600 SH Sole 25600 Dell Inc. COM 24702R101 2343 157700 SH Sole 153700 4000 Devon Energy Corp. COM 25179M103 2706 34958 SH Sole 32054 2904 Diamond Offshore Drill COM 25271C102 238 2700 SH Sole 2000 700 DiamondRock Hospitality Co. COM 252784301 110 16000 SH Sole 15000 1000 Diamonds Tr Unit Ser 1 COM 252787106 476 4760 SH Sole 4760 DirecTV Group Inc. COM 25459L106 209 8839 SH Sole 8839 Disney, Walt Company COM 254687106 4145 146667 SH Sole 137467 9200 Dominion Res Inc./VA COM 25746U109 3101 77360 SH Sole 75360 2000 Dover Corp. COM 260003108 357 10175 SH Sole 1475 8700 Dow Chemical COM 260543103 450 15350 SH Sole 15350 Dr Pepper Snapple Group COM 26138E109 1910 76700 SH Sole 76700 Du Pont De Nemours, E.I. & Co. COM 263534109 50054 1336190 SH Sole 1331090 5100 Duke Energy Corp COM 26441C105 2251 131565 SH Sole 127565 4000 Durect Corp. COM 266605104 1102 250000 SH Sole 250000 EMC Corp. COM 268648102 7646 711952 SH Sole 703452 8500 EOG Resources, Inc. COM 26875P101 481 6345 SH Sole 6345 Eagle Materials Inc. COM 26969p108 1402 81190 SH Sole 81190 East West Bancorp Inc. COM 27579r104 13636 869100 SH Sole 863600 5500 Eaton Corp COM 278058102 1615 33637 SH Sole 33637 Electro Scientific Industries COM 285229100 12615 1012427 SH Sole 868077 144350 Emcore Corp. COM 290846104 17272 3829667 SH Sole 3355467 474200 Emerson Electric Co. COM 291011104 2711 72417 SH Sole 66425 1000 4992 Endo Pharmaceuticals Holdings COM 29264F205 850 46400 SH Sole 46400 Energizer Holdings Inc. COM 29266R108 2022 25390 SH Sole 25390 Energy Select Sector SPDR COM 81369Y506 2208 40220 SH Sole 40220 Enterprise Products Partners L COM 293792107 525 24520 SH Sole 24120 400 Epicor Software Corp. COM 29426L108 7281 913558 SH Sole 768048 145510 Equity Residential Properties COM 29476L107 375 9700 SH Sole 9700 Exar Corp COM 300645108 13128 1919290 SH Sole 1759390 159900 Exelon Corp. COM 30161N101 257 4550 SH Sole 4200 350 Expeditors Int'l of Washington COM 302130109 425 13600 SH Sole 13600 Exxon Mobil Corp. COM 30231G102 39307 508362.86 SH Sole 504862.9 3500 FEI Company COM 30241l109 22235 1062840 SH Sole 897890 164950 FMC Corp. COM 302491303 327 7560 SH Sole 7560 FPL Group Inc COM 302571104 55098 1227138 SH Sole 1220138 7000 Fair, Issac & Co. COM 303250104 6481 352214 SH Sole 278514 73700 Fairpoint Communications Inc. COM 305560104 112 18009.11 SH Sole 17991.2 17.92 Fannie Mae COM 313586109 4456 3454000 SH Sole 3454000 First Midwest Bancorp COM 320867104 1146 42058 SH Sole 40558 1500 First Opportunity Fund Inc. COM 320228109 768 113800 SH Sole 113800 First Solar Inc. COM 336433107 2311 14470 SH Sole 14470 Flextronics Intl Ltd. COM Y2573F102 260 45420 SH Sole 45420 Fluor Corp. COM 343412102 325 7120 SH Sole 7120 Fording Canadian Coal Trust COM 345425102 505 6600 SH Sole 6600 Franklin Resources Inc COM 354613101 286 3725 SH Sole 3725 Freeport McMoRan Copper & Gold COM 35671D857 4147 94874 SH Sole 67674 27200 Friedman Billings Ramsey Group COM 358434108 14 12000 SH Sole 12000 Frontier Oil Corporation COM 35914P105 133 10000 SH Sole 10000 Garmin Ltd. COM G37260109 496 17350 SH Sole 14950 2400 Genentech Inc COM 368710406 4640 57548 SH Sole 56948 600 General Dynamics Corp. COM 369550108 613 9300 SH Sole 5500 3800 General Electric Co. COM 369604103 43139 2017731 SH Sole 2005631 12100 General Growth Properties Inc. COM 370021107 1467 189300 SH Sole 182300 7000 General Mills, Inc. COM 370334104 1521 22204 SH Sole 22004 200 Genuine Parts Co. COM 372460105 904 25260 SH Sole 14660 10600 Genzyme Corp. COM 372917104 2769 38100 SH Sole 35600 2500 Gilead Sciences, Inc. COM 375558103 4655 111146 SH Sole 111146 Glatfelter P H Co COM 377316104 19273 1766567 SH Sole 1489967 276600 Global Industries Ltd COM 379336100 5090 927081 SH Sole 781131 145950 Gold Resource Corp. COM 38068t105 1832 671097 SH Sole 671097 Goldman Sachs Group Inc. COM 38141G104 4220 34034 SH Sole 33934 100 Google Inc. Cl A COM 38259P508 32629 87899 SH Sole 87899 Graco Inc. COM 384109104 499 16300 SH Sole 600 15700 Granite Construction Inc. COM 387328107 253 9000 SH Sole 300 8700 Greatbatch Inc. COM 39153L106 17147 743890 SH Sole 633790 110100 HCP Inc. COM 40414L109 529 15680 SH Sole 15680 Hain Celestial Group Inc. COM 405217100 21354 866461 SH Sole 734961 131500 Halliburton Co. COM 406216101 462 18736.74 SH Sole 18736.74 Hartford Financial Services Gr COM 416515104 414 13400 SH Sole 13400 Haverty Furniture Inc. COM 419596101 105 10000 SH Sole 10000 Hawaiian Electric Inds Inc COM 419870100 1575 58000 SH Sole 58000 Heinz (H.J.) 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COM 717081103 60898 3215288 SH Sole 3202708 12580 Pharmaceutical Product Develop COM 717124101 4659 126410 SH Sole 110610 15800 Philip Morris International In COM 718172109 7151 155047 SH Sole 154647 400 Pilgrim's Pride Corp. COM 721467108 150 69150 SH Sole 69150 Pioneer Southwest Energy Partn COM 72388B106 2974 224475 SH Sole 224475 Pitney Bowes Inc COM 724479100 535 17500 SH Sole 17500 Plum Creek Timber Co - Dep Uni COM 729251108 433 9647 SH Sole 9647 Polo Ralph Lauren Corp. CL A COM 731572103 700 12425 SH Sole 12425 Potash Corp. of Saskatchewan COM 73755L107 910 10475 SH Sole 10475 Potlatch Corp COM 737630103 414 9830 SH Sole 9830 Powershares Wilderhill Clean E COM 73935x500 474 39000 SH Sole 39000 Pozen Inc COM 73941U102 1293 137000 SH Sole 137000 Praxair Inc. COM 74005P104 2570 37150 SH Sole 37150 Precision Castparts Corp. COM 740189105 880 13290 SH Sole 13290 Procter & Gamble Co. COM 742718109 12253 178671.11 SH Sole 170821.1 200 7650 Progressive Corp. COM 743315103 240 15792 SH Sole 15792 Proshares DB Crude Oil 2X Shor COM 25154K809 7785 152000 SH Sole 152000 Prudential Financial, Inc. COM 744320102 2072 39687 SH Sole 39687 Public Service Enterprise Grou COM 744573106 217 7300 SH Sole 7300 Pure Cycle Corp. COM 746228303 3567 670500 SH Sole 670500 Qualcomm Inc. COM 747525103 2922 72630 SH Sole 70630 2000 Quest Diagnostics Inc. COM 74834L100 6894 145500 SH Sole 142700 2800 Questar Corp. COM 748356102 4324 143690 SH Sole 123890 19800 Quicksilver Resources Inc. COM 74837R104 162 12600 SH Sole 12600 Raytheon Co. COM 755111507 563 10961 SH Sole 10961 Realnetworks COM 75605l104 13199 2844527 SH Sole 2385577 458950 Rockwell Automation COM 773903109 1499 46500 SH Sole 46500 Rockwell Collins, Inc. COM 774341101 1495 35600 SH Sole 35600 Rockwood Services Corp. (Restr COM 1014 751 SH Sole 751 Roper Industries Inc. COM 776696106 3191 68452 SH Sole 68452 Rowan Companies Inc. COM 779382100 680 30100 SH Sole 30100 Royal Gold, Inc. COM 780287108 23973 695265 SH Sole 695265 Royal Gold, Inc. COM 780287108 152 4400 SH Other 2 4400 Rydex S&P Equal Weight Financi COM 78355w858 1313 51000 SH Sole 51000 Rydex S&P Equal Weight Healthc COM 78355w841 725 15600 SH Sole 15600 SPDR Gold Trust COM 78463V107 9711 115225 SH Sole 114225 1000 SPDR Gold Trust COM 78463V107 421 5000 SH Other 2 5000 Salesforce.com Inc. COM 79466l302 923 22845 SH Sole 21845 1000 Salisbury Bancorp Inc COM 795226109 398 14538 SH Sole 14538 Salix Pharmaceuticals, Ltd. COM 795435106 19894 2817866 SH Sole 2405266 412600 San Juan Basin Royalty Trust - COM 798241105 820 23250 SH Sole 23250 Sangamo BioSciences, Inc. COM 800677106 887 141300 SH Sole 141300 Scana Corp. COM 80589m102 283 7800 SH Sole 7800 Schering-Plough Corp. COM 806605101 477 29700 SH Sole 23700 6000 Schlumberger Ltd. COM 806857108 57868 832635 SH Sole 821435 11200 Scientific Games Corp - A COM 80874P109 4595 256000 SH Sole 256000 Scotts Co. CL A COM 810186106 1998 89900 SH Sole 89900 Secure Computing Corp COM 813705100 15871 2849407 SH Sole 2651457 197950 Sensient Technologies Corp. COM 81725t100 802 31200 SH Sole 31200 Sepracor Inc COM 817315104 2008 127500 SH Sole 127500 Sigma-Aldrich Corp. COM 826552101 1158 24445 SH Sole 14305 10140 Silicon Image Inc. COM 82705t102 14264 3047867 SH Sole 2561517 486350 Simon Property Group Inc. COM spg 553 6800 SH Sole 6800 Smithfield Foods Inc. COM 832248108 861 57700 SH Sole 57700 Sonoco Products Co. COM 835495102 18108 680500 SH Sole 680500 Sothebys Holdings Inc-Cl A COM 835898107 3521 240500 SH Sole 240500 Southern Co. COM 842587107 4657 128941 SH Sole 124941 4000 Spectra Energy Corp COM 847560109 1150 56587 SH Sole 55737 850 Spectranectics Corp. COM 84760c107 99 22000 SH Sole 22000 St. Joe Co. COM 790148100 308 8568 SH Sole 3118 5450 St. Jude Medical Inc. COM 790849103 6678 169495 SH Sole 169495 Standard & Poor's Depository R COM 78462f103 4081 38966 SH Sole 37966 1000 Starbucks Corp. COM 855244109 920 70900 SH Sole 70900 Starwood Hotels & Resorts Worl COM 85590A401 2408 100830 SH Sole 100830 State Street Corp. COM 857477103 404 9615 SH Sole 8815 800 Steelcase Inc. COM 858155203 27759 2981686 SH Sole 2836236 145450 Stereotaxis Inc. COM 85916J102 612 102550 SH Sole 102550 Stericycle Inc. COM 858912108 725 13320 SH Sole 13120 200 Stryker Corp. COM 863667101 6326 110640 SH Sole 108690 1950 SunTrust Banks, Inc. COM 867914103 4084 82100 SH Sole 81400 700 Suncor Energy, Inc. COM 867229106 621 21500 SH Sole 17400 500 3600 Symyx COM 87155S108 14274 1744950 SH Sole 1594800 150150 Synovus Financial Corp. COM 87161C105 641 62462 SH Sole 45500 16962 Sysco Corp. COM 871829107 8918 303240 SH Sole 288665 14575 Talisman Energy Inc. COM 87425E103 463 42100 SH Sole 20500 21600 Target Corp. COM 87612E106 2947 69580 SH Sole 68330 1250 Tellabs Inc. COM 879664100 90 25925 SH Sole 25925 Tetra Tech Inc. COM 88162g103 5062 268534 SH Sole 256634 11900 Tetra Technologies COM 88162F105 15317 1462925 SH Sole 1233725 229200 Texas Instruments Inc. COM 882508104 1667 80765 SH Sole 67595 13170 The Bank of New York Mellon Co COM 064058100 3159 117417.64 SH Sole 116295 1122.64 The Manitowoc Company, Inc. COM 563571108 1503 117145 SH Sole 117145 Thermo Fisher Scientific Inc. COM 883556102 3916 80505 SH Sole 80505 Thomas & Betts Corp. COM 884315102 523 19000 SH Sole 19000 Thoratec Laboratories Corp. COM 885175307 19037 764244 SH Sole 679444 84800 Tibco Software Inc. COM 88632Q103 10416 1585364 SH Sole 1278964 306400 Tidewater Inc. COM 886423102 656 13900 SH Sole 13900 Total System Services Inc. COM 891906109 293 19898 SH Sole 15000 4898 Tractor Supply Company COM 892356106 7790 206138 SH Sole 172438 33700 Transocean Inc. COM G90073100 1114 12606 SH Sole 12449 157 Trimble Navigation Ltd. COM 896239100 3078 148555 SH Sole 145555 3000 Tuesday Morning Corp. COM 899035505 5337 1458068 SH Sole 1310518 147550 Turbochef Technologies Inc. COM 900006206 204 40300 SH Sole 40300 Tyco International Ltd. (New) COM g9143x208 1919 62350 SH Sole 62050 300 US Bancorp COM 902973304 2553 73361 SH Sole 73361 UST Inc. COM 902911106 260 4100 SH Sole 4100 Ultra Petroleum Corp. COM 903914109 282 5860 SH Sole 5860 UltraShort Lehman 20+ Yr Treas COM 74347R297 6585 115125 SH Sole 115125 Ultrashort Real Estate Proshar COM 74347R552 337 3230 SH Sole 3230 Ultratech, Inc. COM 904034105 16494 1537174 SH Sole 1333824 203350 Union Pacific Corp. COM 907818108 1884 30762 SH Sole 30762 United Health Group Inc. COM 91324P102 363 16300 SH Sole 15800 500 United Parcel Service, Inc. COM 911312106 13475 224590 SH Sole 221390 3200 United Technologies COM 913017109 4011 76180 SH Sole 76180 VCA Antech Inc. COM 918194101 270 9850 SH Sole 9850 ValueClick, Inc. COM 92046N102 6114 712571 SH Sole 597921 114650 Ventas Inc. COM 92276F100 270 6425 SH Sole 4425 2000 Verizon Communications COM 92343V104 28803 961376 SH Sole 958826 950 1600 Visa Inc. COM 92826C839 1355 24475 SH Sole 24475 Vital Images Inc. COM 92846N104 673 48000 SH Sole 48000 Vulcan Materials Company COM 929160109 545 8900 SH Sole 6700 2200 W&T Offshore Inc. COM 92922P106 370 17100 SH Sole 17100 W. R. Grace & Co. COM 38388F108 7293 672800 SH Sole 672800 Wal-Mart Stores Inc. COM 931142103 5456 94239 SH Sole 87739 1100 5400 Walgreen Co. COM 931422109 1154 41893 SH Sole 24393 17500 Watsco Inc. Cl A COM 942622200 1311 30000 SH Sole 30000 Weatherford International, Inc COM G95089101 3035 167055 SH Sole 167055 Weingarten Realty Investment COM 948741103 4722 167143 SH Sole 164331 2812 Wells Fargo & Co. COM 949746101 3518 104576 SH Sole 97276 7300 Westell Technologies Inc. COM 957541105 17 28000 SH Sole 28000 Western Union Co. COM 959802109 20027 995375 SH Sole 995375 Western/Claymore Inflation-Lin COM 95766Q106 251 24465 SH Sole 24465 Weyerhaeuser Co. COM 962166104 19308 352205 SH Sole 350375 1830 Whole Foods Market Inc. COM 966837106 224 12500 SH Sole 12500 Wiley John & Sons Inc COM 968223206 1999 53300 SH Sole 51700 1600 Williams Cos Inc COM 969457100 1443 81590 SH Sole 81590 Wright Medical Group Inc. COM 98235T107 24633 933774 SH Sole 817924 115850 Wyeth COM 983024100 973 26460 SH Sole 25486 974 Wynn Resorts Ltd. COM 983134107 1402 20685 SH Sole 20685 XTO Energy Inc. COM 98385X106 1755 45972 SH Sole 45972 Yahoo! Inc. COM 984332106 391 25550 SH Sole 25550 Yum! Brands Inc. COM 988498101 382 13495 SH Sole 13095 400 Zimmer Holdings, Inc. COM 98956P102 297 5228 SH Sole 3828 1400 Zoltek Co's Inc. COM 98975w104 12175 938700 SH Sole 938700 eBay Inc. COM 278642103 352 19700 SH Sole 19700 iShares - Russell 2000 COM 464287655 9859 165090 SH Sole 164590 500 iShares Lehman US TIPS Fund COM 464287176 593 5824 SH Sole 5824 iShares MSCI Eafe Index COM 464287465 303 6035 SH Sole 6035 streetTRACKS SPDR Biotec ETF COM 78464a870 1172 21500 SH Sole 21500 Columbia Intl Stock Fund Z MF 19765L736 122 11437.018 SH Sole 11437.02 Fcp Tocqueville Small Caps Ame MF 548 275 SH Sole 275 Fcp Tocqueville Value Amerique MF 10880 231039.0005 SH Sole 231039 Franklin New York Tax-Free Inc MF 354130106 135 12359.437 SH Sole 6884.997 5474.44 Fundamental Investors, Inc. MF 360802102 3227 110367.544 SH Sole 110367.5 Integrity Managed Porf Nh Muni MF 45821C600 110 10882.886 SH Sole 10882.89 Oppenheimer Limited Term Ny Mu MF 771740107 97 31514.489 SH Sole 31514.49 Tocqueville Fund Cl A MF 888894102 66122 3679563.459 SH Sole 3655593 23970.08 Tocqueville Small Cap Fund MF 888894409 13611 1253269.996 SH Sole 1249665 3605.464 Vanguard Index Fds Small-Cap E MF 922908751 1867 35779 SH Sole 35779 Vanguard Nj L/T Tax-Exempt Adm MF 92204F305 379 34508.028 SH Sole 34508.03 Bank of America Corp. Pfd 8.2% PFD 060505765 493 21700 SH Sole 21700 Citigroup Inc. PFD1/1000 SR F PFD 172967556 479 29300 SH Sole 29300 Dermacare Ser A (Restricted) PFD 51 366569 SH Sole 366569 Dermacare Ser B (Restricted) PFD 40 233148 SH Sole 233148 J P Morgan Chase & Co pfd 8.62 PFD 46625H621 212 8600 SH Sole 8600 Pub Storage Ser E 6.75% C@25 PFD 74460D398 615 39000 SH Sole 39000 Pub Storage Ser-W 6.50% C@25 1 PFD 74460d570 272 17000 SH Sole 17000 Pub Storage Ser-X 6.45% C@25 1 PFD 74460d554 337 22400 SH Sole 22400 Pub Storage Ser-Z 6.25% C@25 PFD 74460d521 701 44200 SH Sole 44200 Public Storage Ser-F 6.45% C@2 PFD 74460D380 267 17500 SH Sole 17500 Public Storage Series-M 6.625% PFD 74460D232 916 56950 SH Sole 56950 Schering-Plough 6% 8/13/10 Ser PFD 806605705 251 1700 SH Sole 1700 US Bancorp Pfd. 7.875% PFD 902973882 463 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 Compress Technologies Inc. RES 20466t10R 7 500000 SH Sole 500000 Drinks America Holdings RES 26205U10R 9 33333 SH Sole 33333 Emcore Corp. (XXX) RES 29084610R 2300 510000 SH Sole 510000 Genetic ID Inc. CONV PFD SER B RES 176 14650 SH Sole 8400 6250 Horsehead Holding Corp. RES 440694206 47 10000 SH Sole 7000 3000 Legacy Reserves Rule 144A RES 524707205 122 10000 SH Sole 10000 ATW Venture Corp WTS US$1.35* ATWVF:01. 0 1175000 SH Sole 1175000 Argentex Mining WTS @1.60$USD AGXM:1.60 0 710000 SH Sole 710000 BIO-key Intl WTS $1.00 exp 4/1 0 333334 SH Sole 333334 Electrum Ltd. WTS @$6.80 EXP 1 2713 2241807 SH Sole 2241807 Emcore Corp. WTS $15.06 02/19/ 0 89250 SH Sole 89250 Platte River Gld US Inc WTS $4 0 601550 SH Sole 601550 Platte River Gold $2.00 exp 03 0 1592500 SH Sole 1592500 Indo Gold Limited WTS A$2 Exp 0 100000 SH Sole 100000 OceanaGold Corp 1/1/2009 $4.62 BLZ2HRZ 1 341000 SH Sole 341000 ECF Value Fund II LP 748 500000 SH Sole 500000 Energy Transfer Partners, L.P. 29273R109 216 6500 SH Sole 6500 Kinder Morgan Energy LP 494550106 2622 58400 SH Sole 55400 3000 Marketus Partners LP 2088 1250000 SH Sole 1250000 Overlook Partners LP 441 250000 SH Sole 250000 Argentex Mining Corp. (pvt) 04012e107 853 1420000 SH Sole 1420000 BIO-key International Inc. (Se 0 65926 SH Sole 65926 Electrum Ltd. (pvt) 12308 2241807 SH Sole 2241807 Exploration Syndicate, Inc.(pv 1500 1500000 SH Sole 1500000 GeoBiotics LLC Private Placeme 584 417142 SH Sole 417142 GeoBiotics LLC Private Placeme 1000 571400 SH Sole 571400 GeoBiotics LLC Private Placeme 437 250000 SH Sole 250000 GeoBiotics LLC Private Placeme 106 60640 SH Sole 60640 GeoBiotics LLC Private Placeme 136 77432 SH Sole 77432 GeoBiotics, LLC 625 357142 SH Sole 357142 GeoSynFuels 2367 91036.7 SH Sole 91036.7 Gold Resource Corp. (PVT) 8043 2946000 SH Sole 2946000 Gold Resource Corp. (PVT) 30 11000 SH Other 2 11000 Govi High Power Exploration In 7200 3600000 SH Sole 3600000 Platte River Gold Inc (pvt) 2725 3363750 SH Sole 3363750 Platte River Gold Inc (pvt) 3609 1203100 SH Sole 1203100 Platte River Gold Inc (pvt) 3621 3014375 SH Sole 3014375 The Water Company, LLC 625 15624 SH Sole 15624 Zymequest Series E 112 80000 SH Sole 80000 REPORT SUMMARY 500 DATA RECORDS 2864950
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