-----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, SQiS+FB+MTpMjdVWp04Eci7TEIgIojsndYCTqFsK9kk5cObecgDwRPhBNmhgZWj3 mUxna5rhquUpClxZ9yBsSg== 0001169232-08-002966.txt : 20080811 0001169232-08-002966.hdr.sgml : 20080811 20080811112152 ACCESSION NUMBER: 0001169232-08-002966 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20080630 FILED AS OF DATE: 20080811 DATE AS OF CHANGE: 20080811 EFFECTIVENESS DATE: 20080811 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: 081004784 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 d74713_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: June 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 August 11, 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 30-Jun-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 - ----------------------- -------- --------- -------- ------- --- ---- ------- -------- -------- -------- ------- Dermacare Ser A (Restricted) PFD 51 366569 SH Sole 366569 Dermacare Ser B (Restricted) PFD 40 233148 SH Sole 233148 Entergy Miss.7.25% C@25 11/22/ PFD 29364n868 214 8500 SH Sole 8500 Pub Storage Ser E 6.75% C@25 PFD 74460D398 778 38400 SH Sole 38400 Pub Storage Ser-W 6.50% C@25 1 PFD 74460d570 329 17000 SH Sole 17000 Pub Storage Ser-X 6.45% C@25 1 PFD 74460d554 435 22400 SH Sole 22400 Pub Storage Ser-Z 6.25% C@25 PFD 74460d521 821 43800 SH Sole 43800 Public Storage Ser-F 6.45% C@2 PFD 74460D380 337 17500 SH Sole 17500 Schering-Plough 6% 8/13/10 Ser PFD 806605705 326 1700 SH Sole 1700 Wells Fargo Cap VII Trups 5.85 PFD 94979b204 229 11000 SH Sole 11000 1 800 Flowers Com Inc. COM 68243Q106 15254 2364960 SH Sole 1946410 418550 3Com Corp. COM 885535104 160 75500 SH Sole 75500 3M Company COM 88579Y101 26507 380901 SH Sole 376501 4400 ABM Industries Inc COM 000957100 17464 784911 SH Sole 655161 129750 AFLAC Inc. COM 001055102 3142 50025 SH Sole 50025 AT & T Inc. COM 00206R102 3143 93286 SH Sole 78725 896 13665 Abbott Laboratories COM 002824100 7279 137419 SH Sole 133158 4261 Accuray Inc. COM 004397105 117 16000 SH Sole 16000 Activision, Inc. COM 004930202 6977 204781 SH Sole 204781 Adobe Systems Inc. COM 00724F101 937 23800 SH Sole 23800 Agilent Technologies, Inc. COM 00846U101 836 23515 SH Sole 11520 11995 Air Products & Chemicals COM 009158106 4855 49105 SH Sole 49105 Alaska Communications Systems COM 01167P101 38268 3205050 SH Sole 3205050 Albany International Corp COM 012348108 8045 277400 SH Sole 277400 Alcoa Inc. COM 013817101 32566 914264 SH Sole 912224 2040 Alexander & Baldwin Inc. COM 014482103 228 5000 SH Sole 5000 Alkermes Inc. 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COM 032346108 381 15000 SH Sole 15000 Anadarko Petroleum Corp. COM 032511107 1365 18235 SH Sole 17735 500 Analogic Corporation COM 032657207 29717 471169 SH Sole 388819 82350 Anheuser Busch Companies Inc. COM 035229103 53331 858515 SH Sole 858365 150 Annaly Mtg Mgmt Inc. COM 035710409 1252 80700 SH Sole 80700 Apache Corp. COM 037411105 5920 42593 SH Sole 41483 1110 Apex Silver Mines Ltd. COM G04074103 12396 2524600 SH Sole 2464600 60000 Apple Inc. COM 037833100 14302 85413 SH Sole 84163 1250 Applied Biosystems Group - App COM 038020103 418 12500 SH Sole 4800 7700 Applied Materials Inc. COM 038222105 49067 2570290 SH Sole 2545390 24900 Archer-Daniels-Midland Co COM 039483102 5615 166363 SH Sole 166363 Arrow Electronics, Inc. COM 042735100 2333 75955 SH Sole 75955 Aspen Tech Inc. COM 045327103 26738 2010394 SH Sole 1659994 350400 Astec Industries Inc. COM 046224101 17507 544714 SH Sole 451864 92850 Autodesk Inc. 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Class COM 084670207 9994 2491 SH Sole 2491 Blackrock Global Opportunities COM 092501105 209 8364.74 SH Sole 8364.74 Boeing Co. COM 097023105 24945 379563 SH Sole 379563 Boston Scientific Corp. COM 101137107 166 13500 SH Sole 13500 Bristol Myers Squibb Co. COM 110122108 30598 1490384 SH Sole 1483254 7130 Brush Engineered Materials Inc COM 117421107 14944 611950 SH Sole 504950 107000 Bunge Ltd COM G16962105 1228 11405 SH Sole 11405 Burlington Northern Santa Fe C COM 12189T104 305 3052 SH Sole 3052 CARBO Ceramics, Inc. COM 140781105 319 5475 SH Sole 5475 CB Richard Ellis Group Inc. COM 12497t101 532 27685 SH Sole 27685 CIT Group Inc COM 125581108 4311 633000 SH Sole 633000 CVS/Caremark Corp. COM 126650100 11942 301790 SH Sole 301490 300 Cabot Microelectronics Corp. COM 12709P103 7584 228764 SH Sole 192589 36175 Cabot Oil & Gas Cp A COM 127097103 305 4500 SH Sole 4500 Cadence Design Systems Inc. COM 127387108 682 67500 SH Sole 67500 Callon Petroleum Co. 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COM 740189105 1276 13240 SH Sole 13240 Procter & Gamble Co. COM 742718109 11246 184929 SH Sole 177279 7650 Prudential Financial, Inc. COM 744320102 2282 38197 SH Sole 38197 Public Service Enterprise Grou COM 744573106 335 7300 SH Sole 7300 Pure Cycle Corp. COM 746228303 4611 720500 SH Sole 720500 Qualcomm Inc. COM 747525103 3409 76830 SH Sole 74830 2000 Quest Diagnostics Inc. COM 74834L100 7086 146200 SH Sole 143400 2800 Questar Corp. COM 748356102 9214 129704 SH Sole 109904 19800 Quicksilver Resources Inc. COM 74837R104 487 12600 SH Sole 12600 Range Resources Corp COM 75281A109 328 5000 SH Sole 5000 Raytheon Co. COM 755111507 427 7581 SH Sole 7581 Realnetworks COM 75605l104 18804 2849125 SH Sole 2347675 501450 Rockwell Automation COM 773903109 6297 143990 SH Sole 143990 Rockwell Collins, Inc. COM 774341101 700 14600 SH Sole 14600 Roper Industries Inc. COM 776696106 7524 114212 SH Sole 114212 Rosetta Resources 144A COM 777779208 214 7500 SH Sole 4000 3500 Rowan Companies Inc. COM 779382100 1407 30100 SH Sole 30100 Royal Gold, Inc. COM 780287108 17523 558765 SH Sole 558765 Royal Gold, Inc. COM 780287108 138 4400 SH ther 2 4400 SAFECO Corporation COM 786429100 938 13964 SH Sole 2344 11620 SPDR Gold Trust COM 78463V107 7476 81795 SH Sole 80395 1400 Safeway Inc. COM 786514208 7130 249750 SH Sole 249750 Salesforce.com Inc. COM 79466l302 2418 35440 SH Sole 34440 1000 Salisbury Bancorp Inc COM 795226109 440 14538 SH Sole 14538 Salix Pharmaceuticals, Ltd. COM 795435106 19625 2791610 SH Sole 2340510 451100 San Juan Basin Royalty Trust - COM 798241105 1076 23250 SH Sole 23250 Sangamo BioSciences, Inc. COM 800677106 1406 141300 SH Sole 141300 Scana Corp. COM 80589m102 337 9100 SH Sole 8300 800 Schering-Plough Corp. COM 806605101 585 29700 SH Sole 23700 6000 Schlumberger Ltd. COM 806857108 95305 887138 SH Sole 875438 11700 Scientific Games Corp - A COM 80874P109 7583 256000 SH Sole 256000 Secure Computing Corp COM 813705100 10600 2560421 SH Sole 2129771 430650 Sensient Technologies Corp. COM 81725t100 879 31200 SH Sole 31200 Sepracor Inc COM 817315104 2022 101500 SH Sole 101500 Sigma-Aldrich Corp. COM 826552101 1467 27245 SH Sole 16505 10740 Silicon Image Inc. COM 82705t102 22141 3053911 SH Sole 2522561 531350 Simon Property Group Inc. COM spg 701 7800 SH Sole 7800 Smithfield Foods Inc. COM 832248108 612 30800 SH Sole 30800 Sonoco Products Co. COM 835495102 22593 730000 SH Sole 730000 Sothebys Holdings Inc-Cl A COM 835898107 6210 235500 SH Sole 235500 Southern Co. COM 842587107 4581 131175 SH Sole 130841 334 Southwestern Energy COM 845467109 291 6110 SH Sole 6110 Spectra Energy Corp COM 847560109 1629 56697 SH Sole 55847 850 Spectranectics Corp. COM 84760c107 217 22000 SH Sole 22000 Sprint Nextel Corp. COM 852061100 96 10150 SH Sole 10150 St. Joe Co. COM 790148100 294 8568 SH Sole 3118 5450 St. Jude Medical Inc. COM 790849103 6888 168495 SH Sole 168495 Standard & Poor's Depository R COM 78462f103 892 6966 SH Sole 5966 1000 Staples Inc. COM 855030102 213 8975 SH Sole 6800 2175 Starbucks Corp. COM 855244109 1119 71100 SH Sole 71100 Starwood Hotels & Resorts Worl COM 85590A401 4044 100920 SH Sole 100920 State Street Corp. COM 857477103 615 9615 SH Sole 8815 800 Steelcase Inc. COM 858155203 27287 2720583 SH Sole 2561633 158950 Stereotaxis Inc. COM 85916J102 546 101900 SH Sole 101900 Stericycle Inc. COM 858912108 641 12390 SH Sole 11990 400 Stryker Corp. COM 863667101 7036 111895 SH Sole 111895 Suburban Propane Parntners, L. COM 864482104 220 5750 SH Sole 5750 SunTrust Banks, Inc. COM 867914103 2539 70100 SH Sole 70100 Suncor Energy, Inc. COM 867229106 1197 20600 SH Sole 15000 2000 3600 Symyx COM 87155S108 12185 1745761 SH Sole 1581611 164150 Synovus Financial Corp. COM 87161C105 611 69986 SH Sole 45800 24186 Sysco Corp. COM 871829107 8716 316840 SH Sole 309665 7175 Talisman Energy Inc. COM 87425E103 987 44600 SH Sole 23000 21600 Target Corp. COM 87612E106 3256 70034 SH Sole 68784 1250 Tellabs Inc. COM 879664100 225 48425 SH Sole 48425 Tetra Tech Inc. COM 88162g103 6108 270034 SH Sole 258134 11900 Tetra Technologies COM 88162F105 34743 1465317 SH Sole 1215117 250200 Texas Instruments Inc. COM 882508104 2460 87365 SH Sole 87365 Textron Inc. COM 883203101 326 6811 SH Sole 6011 800 The Bank of New York Mellon Co COM 064058100 1798 47535 SH Sole 46912.36 622.64 The Manitowoc Company, Inc. COM 563571108 4190 128805 SH Sole 128805 Thermo Fisher Scientific Inc. COM 883556102 3971 71255 SH Sole 71255 Thomas & Betts Corp. COM 884315102 719 19000 SH Sole 19000 Thoratec Laboratories Corp. COM 885175307 52649 3027526 SH Sole 2727476 300050 Tibco Software Inc. COM 88632Q103 8427 1101508 SH Sole 842908 258600 Tidewater Inc. COM 886423102 904 13900 SH Sole 13900 Total System Services Inc. COM 891906109 501 22540 SH Sole 15000 7540 Tractor Supply Company COM 892356106 5956 205101 SH Sole 168401 36700 Transocean Inc. COM G90073100 2001 13128 SH Sole 12971 157 Trimble Navigation Ltd. COM 896239100 6633 185805 SH Sole 185805 Tuesday Morning Corp. COM 899035505 6013 1463073 SH Sole 1302023 161050 Turbochef Technologies Inc. COM 900006206 346 72300 SH Sole 72300 Tyco International Ltd. (New) COM g9143x208 2981 74450 SH Sole 74150 300 US Bancorp COM 902973304 1916 68706 SH Sole 68706 UST Inc. COM 902911106 224 4100 SH Sole 4100 Ultra Petroleum Corp. COM 903914109 437 4450 SH Sole 4450 Ultrashort Real Estate Proshar COM 74347R552 310 2950 SH Sole 2950 Ultratech, Inc. COM 904034105 23896 1539719 SH Sole 1317869 221850 Union Pacific Corp. COM 907818108 2150 28478 SH Sole 28478 United Health Group Inc. COM 91324P102 483 18400 SH Sole 17800 600 United Parcel Service, Inc. COM 911312106 14539 236530 SH Sole 233330 3200 United Technologies COM 913017109 4815 78035 SH Sole 78035 VCA Antech Inc. COM 918194101 293 10550 SH Sole 10550 Veeco Instruments Inc. COM 922417100 164 10200 SH Sole 10200 Ventas Inc. COM 92276F100 280 6575 SH Sole 4575 2000 Verizon Communications COM 92343V104 35527 1003590 SH Sole 1001240 950 1400 Vital Images Inc. COM 92846N104 597 48000 SH Sole 48000 Vulcan Materials Company COM 929160109 532 8900 SH Sole 6700 2200 W R Berkley Corp. COM 084423102 2862 118450 SH Sole 118450 W&T Offshore Inc. COM 92922P106 2393 40900 SH Sole 40900 W. R. Grace & Co. COM 38388F108 17028 724900 SH Sole 724900 Wachovia Corp. COM 929903102 423 27225 SH Sole 27225 Wal-Mart Stores Inc. COM 931142103 5071 90239 SH Sole 83739 1100 5400 Walgreen Co. COM 931422109 1280 39380 SH Sole 21880 17500 Waste Management, Inc. COM 94106L109 270 7150 SH Sole 7150 Watsco Inc. Cl A COM 942622200 1254 30000 SH Sole 30000 Weatherford International, Inc COM G95089101 7468 150590 SH Sole 150590 Weingarten Realty Investment COM 948741103 5086 167743 SH Sole 167743 Wells Fargo & Co. COM 949746101 2490 104836 SH Sole 97536 7300 Westell Technologies Inc. COM 957541105 40 30000 SH Sole 30000 Western Union Co. COM 959802109 26059 1054150 SH Sole 1054150 Weyerhaeuser Co. COM 962166104 18473 361220 SH Sole 360890 330 Whole Foods Market Inc. COM 966837106 261 11000 SH Sole 11000 Wiley John & Sons Inc COM 968223206 2558 56800 SH Sole 56800 Williams Cos Inc COM 969457100 3345 82990 SH Sole 82990 Wright Medical Group Inc. COM 98235T107 26598 936215 SH Sole 811365 124850 Wyeth COM 983024100 1269 26460 SH Sole 25486 974 XTO Energy Inc. COM 98385X106 3295 48093 SH Sole 48093 Yahoo! Inc. COM 984332106 590 28550 SH Sole 28550 Yum! Brands Inc. COM 988498101 542 15435 SH Sole 14685 350 400 Zimmer Holdings, Inc. COM 98956P102 356 5228 SH Sole 3828 1400 Zions Bancorporation COM 989701107 3327 105650 SH Sole 105650 Zoltek Co's Inc. COM 98975w104 21403 882600 SH Sole 882600 eBay Inc. COM 278642103 538 19700 SH Sole 19700 iShares - Russell 2000 COM 464287655 7076 102480 SH Sole 101980 500 iShares Lehman US TIPS Fund COM 464287176 729 6758 SH Sole 6758 iShares MSCI Eafe Index COM 464287465 620 9035 SH Sole 9035 iShares Silver Trust COM 46428q109 23478 136000 SH Sole 136000 streetTRACKS SPDR Biotec ETF COM 78464a870 1025 17800 SH Sole 17800 Columbia Acorn Intl Fund Z MF 197199813 213 5454.893 SH Sole 5454.893 Columbia Intl Stock Fund Z MF 19765L736 179 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 141 12257.543 SH Sole 6783.103 5474.44 Fundamental Investors, Inc. MF 360802102 4287 110367.544 SH Sole 110367.5 INTEGRITY MANAGED PORF NH MUNI MF 45821C600 111 10800.707 SH Sole 10800.71 Oppenheimer Limited Term NY Mu MF 771740107 101 31165.033 SH Sole 31165.03 Parnassus Fund MF 701765109 231 6781.423 SH Sole 6781.423 Tocqueville Fund Cl A MF 888894102 88857 3923059.712 SH Sole 3899090 23970.08 Tocqueville Small Cap Val Fd C MF 888894409 16553 1314743.522 SH Sole 1311138 3605.464 Vanguard Index Fds Small-Cap E MF 922908751 2237 35779 SH Sole 35779 Vanguard NJ L/T Tax-Exempt Adm MF 92204F305 388 34100.233 SH Sole 34100.23 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 8 33333 SH Sole 33333 Emcore Corp. (XXX) RES 29084610R 3412 545000 SH Sole 545000 Genetic ID Inc. CONV PFD SER B RES 176 14650 SH Sole 8400 6250 Horsehead Holding Corp. RES 440694206 122 10000 SH Sole 7000 3000 Legacy Reserves Rule 144A RES 524707205 248 10000 SH Sole 10000 ATW Venture Corp WTS US$1.35* 049875107 0 1175000 SH Sole 1175000 Argentex Mining WTS @1.60$USD 04012e107 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 95375 SH Sole 95375 Platte River Gld US Inc WTS $4 352729z 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 2 341000 SH Sole 341000 ECF Value Fund II LP 360 250000 SH Sole 250000 Energy Transfer Partners, L.P. 29273R109 283 6500 SH Sole 6500 Kinder Morgan Energy LP 494550106 3037 54500 SH Sole 54500 Marketus Partners LP 1984 1250000 SH Sole 1250000 Overlook Partners LP 413 250000 SH Sole 250000 Argentex Mining Corp. (pvt) 04012e107 1477 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 (Common Members 2409 1376614 SH Sole 1376614 GeoBiotics, LLC 625 357142 SH Sole 357142 GeoSynFuels 2367 91036.7 SH Sole 91036.7 Gold Resource Corp. (PVT) 38068T10R 15025 2946000 SH Sole 2946000 Govi High Power Exploration In 7200 3600000 SH Sole 3600000 Platte River Gold Inc (pvt) 352729z 3609 1203100 SH Sole 1203100 The Water Company, LLC 625 15624 SH Sole 15624 Zymequest Series E 112 80000 SH Sole 80000 REPORT SUMMARY 507 DATA RECORDS 3794601
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