-----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, Pkjauu+Y4vzaEO8qxQQsPPKs7PXE0N2hCDjplp7AXUUfRLuupJdOjeN+gV4DuWxJ pV52lKW3EPhY1E/tVRALmw== 0000919574-02-000255.txt : 20031216 0000919574-02-000255.hdr.sgml : 20031216 20020208143220 ACCESSION NUMBER: 0000919574-02-000255 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20011231 FILED AS OF DATE: 20020208 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: 02531438 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 to52276001ad3.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: December 31, 2001 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: 1675 Broadway New York, New York 10019 Form 13F File Number: 28-3063 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 form. 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 2/7/02 _______________________ _____________________ _________ [Signature] [City, State] [Date] Report Type (Check only one.): [ X] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) [ ] 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manger(s).) [ ] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) List of Other Managers Reporting for this Manager: NONE 2 Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 163 Form 13F Information Table Value Total: $840,515 [thousands] List of Other Included Managers: None 3 Form 13F INFORMATION TABLE
COLUMN 1 COLUMN2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 TITLE VALUE SH/ PUT INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER OF CLASS CUSIP (X1000) SHARES PRN CALL DISCRETION MGRS SOLE SHARED NONE - -------------- -------- ----- ------- ------ -------- ---------- ----- ---------------------- ASA Limited COM 002050102 900 45000 SH SOLE 4500 AT&T Corp. COM 001957109 2722 150050 SH SOLE 150050 Adobe Systems Inc. COM 00724F101 4459 143600 SH SOLE 143600 Advanced Micro Devices, Inc. COM 007903107 390 24600 SH SOLE 24600 Agnico Eagle Mines Ltd COM 008474108 3316 336000 SH SOLE 336000 Alcoa Inc. COM 013817101 11266 316900 SH SOLE 316900 Alexander & Baldwin Inc. COM 014482103 7623 285500 SH SOLE 285500 Allstate Corp COM 020002101 12075 358300 SH SOLE 358300 Amdocs Ltd. COM G02602103 238 7000 SH SOLE 7000 American Express Co. COM 025816109 1620 45400 SH SOLE 45400 American Home Products COM 026609107 8216 133900 SH SOLE 133900 American Management Systems, Inc. COM 027352103 202 11200 SH SOLE 11200 American Power Conversion Corp. COM 029066107 14286 988000 SH SOLE 988000 American Tower Corp. COM 2253608 161 17000 SH SOLE 17000 Amgen Inc. COM 031162100 423 7500 SH SOLE 7500 Anadarko Petroleum Corp. COM 032511107 3573 62841 SH SOLE 62841 Analysts International Corp. COM 032681108 6076 1471300 SH SOLE 1471300 Anixter Int'l Inc. COM 035290105 12901 444700 SH SOLE 444700 Apache Corp. COM 037411105 249 5000 SH SOLE 5000 Apex Silver Mines Ltd. COM G04074103 1655 165500 SH SOLE 165500 Applied Materials Inc. COM 038222105 205 5100 SH SOLE 5100 Ascential Software Corp. COM 04362P108 9294 2294900 SH SOLE 2294900 Ashanti Goldfields Co Ltd COM 043743202 2061 485000 SH SOLE 485000 Autodesk Inc. COM 052769106 23130 620600 SH SOLE 620600 BJ's Wholesale Club Inc COM 05548J106 488 11070 SH SOLE 11070 BP PLC COM 055622104 384 8267 SH SOLE 8267 Baldor Electric Co COM 057741100 12155 581598 SH SOLE 581598 Bank of New York COM 064057102 416 10207 SH SOLE 10207 BankAmerica Corp. COM 060505104 7082 112504 SH SOLE 112504 Bio Technology Genl Corp. COM 090578105 165 20000 SH SOLE 20000 Boeing Company COM 097023105 17117 441400 SH SOLE 441400 Brooks Automation, Inc. COM 11434A100 354 8700 SH SOLE 8700 4 Bush Industries Inc Cl A COM 123164105 8822 812300 SH SOLE 812300 Cadence Design Systems Inc. COM 127387108 391 17818 SH SOLE 17818 Canyon Resources Corp. COM 138869102 414 402299 SH SOLE 402299 Captaris Inc. COM 14071N104 8126 2202100 SH SOLE 2202100 ChevronTexaco Corp. COM 166764100 21518 240132 SH SOLE 240132 Chief Consolidated Mining Co. COM 168628105 150 50000 SH SOLE 50000 Circle Corp. COM 172559106 190 34480 SH SOLE 34480 CitiGroup Inc. COM 172967101 2945 58333 SH SOLE 58333 Compania de Minas Buenaventurs S. A. COM 204448104 2280 110000 SH SOLE 110000 Computer Horizons Corp. COM 205908106 7214 2247500 SH SOLE 2247500 Core Laboratories COM 2182531 5471 390200 SH SOLE 390200 Corn Products International, Inc. COM 219023108 13941 395500 SH SOLE 395500 Curtiss Wright CL B COM 231561408 400 8595 SH SOLE 8595 Daisytek Intl COM 234053106 4563 346500 SH SOLE 346500 Dana Corp Wts P/Stk COM 235811106 1388 100000 SH SOLE 100000 Del Monte Foods Co. COM 24522P103 4017 472000 SH SOLE 472000 Deluxe Corp. COM 248019101 2191 52700 SH SOLE 52700 Dendrite International Inc COM 248239105 1501 107000 SH SOLE 107000 Dial Corp. COM 25247D101 13691 798300 SH SOLE 798300 Diebold, Inc. COM 253651103 2085 51550 SH SOLE 51550 Eastman Kodak COM 277461109 8858 300990 SH SOLE 300990 Elan Corp. PLC COM 284131208 1535 34059 SH SOLE 34059 Electronic Data Systems Cor New COM 285661104 298 4350 SH SOLE 4350 Ethan Allen Interiors, Inc. COM 297602104 1899 45650 SH SOLE 45650 Evans & Sutherland Computer Corp COM 299096107 1260 190000 SH SOLE 190000 Exxon Mobil Corp. COM 30231G102 320 8148 SH SOLE 8148 FPL Group Inc COM 302571104 6201 109950 SH SOLE 109950 Fedders Corp COM 313135105 1863 612724 SH SOLE 612724 Federal Signal Corp. COM 313855108 13772 618400 SH SOLE 618400 Freeport McMoRan Copper & Gold Inc Cl B COM 35671D857 2276 170000 SH SOLE 170000 General Electric Co. COM 369604103 990 24690 SH SOLE 24690 Gentiva Health Services, Inc. COM 37247A102 900 41023 SH SOLE 41023 Genzyme Corp. COM 372917104 467 7800 SH SOLE 7800 Getty Images, Inc. COM 374276103 442 19220 SH SOLE 19220 Global Industries Ltd COM 379336100 9689 1088700 SH SOLE 1088700 Gold Fields Ltd COM 38059T106 484 100000 SH SOLE 100000 Goldcorp Inc. COM 380956409 3842 315700 SH SOLE 315700 H & R Block Inc COM 093671105 11796 263900 SH SOLE 263900 HCR Manor Care, Inc. COM 564055101 237 10000 SH SOLE 10000 5 Health Management Associates, Inc. COM 421933102 2931 159300 SH SOLE 159300 Healthsouth Corp COM 421924101 1334 90000 SH SOLE 90000 Honeywell International Inc. COM 438516106 14279 422200 SH SOLE 422200 Humana Inc COM 444859102 20479 1737000 SH SOLE 1737000 Hyperion Solutions Corp. COM 44914M104 6391 321800 SH SOLE 321800 IHOP Corp. COM 449623107 12649 431700 SH SOLE 431700 IPC Holdings, Ltd. COM 2448181 4103 138600 SH SOLE 138600 IShares - Russell 2000 COM 464287655 6533 67800 SH SOLE 67800 Idexx Laboratories Corp. COM 45168D104 1711 60000 SH SOLE 60000 Illinois Tool Wks COM 452308109 760 11225 SH SOLE 11225 Inco Ltd COM 453258402 21614 1275900 SH SOLE 1275900 Inhale Therapeutics Systems, Inc. COM 457191104 189 10200 SH SOLE 10200 Input/Output Inc COM 457652105 11347 1382100 SH SOLE 1382100 Int'l Business Machines COM 459200101 12864 106350 SH SOLE 106350 InterDent, Inc. COM 45865R208 93 46666 SH SOLE 46666 InterVoice-Brite Inc. COM 461142101 15775 1232400 SH SOLE 1232400 Interpublic Group of Cos. Inc. COM 460690100 2588 87600 SH SOLE 87600 Intl Multifoods Corp. COM 460043102 9837 411600 SH SOLE 411600 Ionics, Inc. COM 462218108 13541 450900 SH SOLE 450900 Ivanhoe Energy Inc COM 465790103 3931 1747200 SH SOLE 1747200 J & J Snack Food Corp. COM 466032109 4171 170600 SH SOLE 170600 J.M. Smucker Co. COM 832696306 333 9400 SH SOLE 9400 Johnson & Johnson COM 478160104 986 16676 SH SOLE 16676 Kinross Gold Corp. COM 496902107 95 125000 SH SOLE 125000 Lafarge Corp. COM 505862102 2130 56700 SH SOLE 56700 Lance Inc. COM 514606102 1345 94100 SH SOLE 94100 Lexington Corp Properties Trust COM 529043101 2847 183700 SH SOLE 183700 Liberty Media Corp - A COM 530718105 143 10200 SH SOLE 10200 Longs Drug Stores Corp. COM 543162101 10205 436500 SH SOLE 436500 Longview Fibre Co. COM 543213102 3909 331000 SH SOLE 331000 Lucent Technologies Inc COM 549463107 849 134800 SH SOLE 134800 Lydall Inc. COM 550819106 700 70000 SH SOLE 70000 Manhattan Scientifics, Inc. COM 563122100 6 15000 SH SOLE 15000 Mattel Inc. COM 577081102 10905 634000 SH SOLE 634000 McDonalds Corp. COM 580135101 1337 50524 SH SOLE 50524 Mckesson Corp. New COM 58155Q103 11422 305400 SH SOLE 305400 Meridian Gold Inc. COM 589975101 3564 345000 SH SOLE 345000 Murphy Oil Corp. COM 626717102 25162 299400 SH SOLE 299400 Nabors Industries Inc COM 629568106 10948 318900 SH SOLE 318900 Nasdaq - 100 Shares COM 631100104 9969 256200 SH SOLE 256200 Newmont Mining Corp. COM 651639106 16049 839796 SH SOLE 839796 Northrop Grumman Corp. COM 666807102 17732 175900 SH SOLE 175900 Oceaneering Int'l COM 675232102 16758 757600 SH SOLE 757600 Office Depot Inc COM 676220106 226 12200 SH SOLE 12200 Olin Corp COM 680665205 13653 845900 SH SOLE 845900 6 Omnicare, Inc. COM 681904108 1866 75000 SH SOLE 75000 Oracle Corp. COM 68389X105 164 11900 SH SOLE 11900 Osmonics Inc. COM 688350107 10121 721900 SH SOLE 721900 Owens & Minor Inc Holding Co. COM 690732102 13314 719700 SH SOLE 719700 Palm Inc. COM 696642107 427 110000 SH SOLE 110000 Perrigo Co. COM 714290103 5782 489200 SH SOLE 489200 Phillips Petroleum Co. COM 718507106 1248 20710 SH SOLE 20710 Photoworks, Inc. COM 71940B109 57 405200 SH SOLE 405200 Placer Dome Inc. COM 725906101 9862 903900 SH SOLE 903900 Proxim Inc COM 744284100 2222 224000 SH SOLE 224000 Pub Storage PFD 74460D794 576 22100 SH SOLE 22100 Questar Corp. COM 748356102 2261 90250 SH SOLE 90250 Quintiles Transnational Corp. COM 748767100 2602 162100 SH SOLE 162100 Rayovac Corp. COM 755081106 4400 250000 SH SOLE 250000 Renal Care Group, Inc. COM 759930100 1605 50000 SH SOLE 50000 Royal Gold, Inc. COM 780287108 130 25000 SH SOLE 25000 Ryan's Family Steak Houses COM 783519101 959 44300 SH SOLE 44300 Schlumberger Ltd. COM 806857108 632 11500 SH SOLE 11500 Schulman,A Inc. COM 808194104 13445 985000 SH SOLE 985000 Solectron Corp. COM 834182107 126 11200 SH SOLE 11200 Speechworks International COM 84764M101 203 18000 SH SOLE 18000 Stillwater Mining Co COM 86074Q102 826 44650 SH SOLE 44650 Symantec Corp COM 871503108 2759 41590 SH SOLE 41590 Symbol Technologies Inc. COM 871508107 8944 563250 SH SOLE 563250 Systems & Computer Technology Corp COM 871873105 21519 2081100 SH SOLE 2081100 TVX Gold Inc. COM 87308K101 215 500000 SH SOLE 500000 Technology Solutions Co. COM 87872T108 973 438500 SH SOLE 438500 Temple-Inland Inc. COM 879868107 9503 167505 SH SOLE 167505 Tenet Healthcare Corp COM 88033G100 1679 28600 SH SOLE 28600 Tesco Corp. COM 88157K101 6039 725000 SH SOLE 725000 Teva Pharmaceutical Ind. Ltd spd ADR COM 881624209 247 4000 SH SOLE 4000 Texas Instruments Inc. COM 882508104 247 8825 SH SOLE 8825 Transocean Sedco Forex Inc. COM G90078109 561 16592 SH SOLE 16592 Trigon Healthcare Inc. COM 89618L100 2385 34340 SH SOLE 34340 United Stationers, Inc. COM 913004107 4802 142700 SH SOLE 142700 Unitrin, Inc. COM 913275103 5240 132600 SH SOLE 132600 Unova Inc. COM 91529B106 6182 1065900 SH SOLE 1065900 Varco International Inc. COM 922122106 10427 696051 SH SOLE 696051 Verizon Communications COM 92343V104 399 8411 SH SOLE 8411 WMS Industries Inc. COM 929297109 1742 87100 SH SOLE 87100 Walt Disney Production COM 254687106 323 15600 SH SOLE 15600 Waste Management, Inc. COM 94106L109 2246 70400 SH SOLE 70400 WebMD Corp. COM 422209106 503 71200 SH SOLE 71200 7 Wellpoint Health Networks, Inc. COM 94973H108 2078 17780 SH SOLE 17780 Westell Technologies Inc. COM 957541105 6317 2392700 SH SOLE 2392700 Wind River Systems, Inc. COM 973149107 360 20100 SH SOLE 20100 Zale Corp COM 988858106 9976 238200 SH SOLE 238200
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