-----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, KetwiD3+lwEfoBezpe2QpfAsat/nlPpakn4/wDjW27kJcGMm8P5297IN3KwPLoic sp++hNeeT/7nABRewcEcvA== 0001058217-09-000028.txt : 20091116 0001058217-09-000028.hdr.sgml : 20091116 20091116165927 ACCESSION NUMBER: 0001058217-09-000028 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090930 FILED AS OF DATE: 20091116 DATE AS OF CHANGE: 20091116 EFFECTIVENESS DATE: 20091116 FILER: COMPANY DATA: COMPANY CONFORMED NAME: DANE FALB STONE & CO INC CENTRAL INDEX KEY: 0000846604 IRS NUMBER: 042622331 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-03731 FILM NUMBER: 091187835 BUSINESS ADDRESS: STREET 1: 33 BROAD ST CITY: BOSTON STATE: MA ZIP: 02109 BUSINESS PHONE: 6177420666 MAIL ADDRESS: STREET 1: DANE FALB STONE & CO INC STREET 2: 33 BROAD ST CITY: BOSTON STATE: MA ZIP: 02109 13F-HR 1 danefalbstone13fhr21009.txt 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, 2009 If amended report check here: |_| Amendment Number: ____ This Amendment (Check only one): |_| is a restatement |_| adds new holding entries. Dane, Falb, Stone & Co., Inc. - -------------------------------------------------------------------------------- Name of Institutional Investment Manager 50 Congress Str, STE 642 Boston MA 02109 - -------------------------------------------------------------------------------- Business Address (Street) (City) (State) (Zip) 13F File Number: 28-02423 ------------- 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, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Edward N. Dane Principal 617-742-0666 - -------------------------------------------------------------------------------- Name (Title) (Phone) /s/ Edward N. Dane - ------------------------------------------ (Manual Signature of Person Duly Authorized to Submit This Report) Boston, Massachusetts 11/13/2008 - ------------------------------------------ (Place and Date of Signing) Report Type: [X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. DANE, FALB, STONE & Co., Inc. FORM 13F SUMMARY PAGE AS OF DATE: 09/30/09 Report Summary: Number of Other Included Managers: 0 ---------------------------------------------- Form 13F Information Table Entry Total: 53 ----------------------------------------- Form 13F Information Table Value Total: $ 36,796,110.73 ----------------------------------------- List of Other Included Managers: Name and 13F file numbers of ALL Institutional Investment Managers with respect to which this schedule is filed (other than the one filing this report): (List in alphabetical order). [If there are no entries in this list, state "NONE" and omit the column headings and list entries.] 13F File Numbers will be assigned to Institutional Investment Managers after they file their first report. 13F File No.: Name: 13F File No.: Name: ------------- --------------------- ------------- --------------------- FORM 13F INFORMATION TABLE
- ------------------------------------------------------------------------------------------------------------------------------------ ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7 ITEM 8 - ------ -------------- ------ ------ ------------------- ---------- -------- -------------------- VALUE SHARES/ SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ------------------------------------------------------------------------------------------------------------------------------------ Abbott Labs Com 002824100 307 6200 6200 0 0 6200 0 0 Aberdeen Asia Pac Incom Fd Com 003009107 471 76100 76100 0 0 76100 0 0 AllianceBernstein Income Fd Com 01881E100 366 29000 29000 0 0 29000 0 0 Allied Capital Corp Com 01903Q108 130 42220 42220 0 0 42220 0 0 Aust & NZ BnkGrp Sponsored ADR 052528304 413 19250 19250 0 0 19250 0 0 Barrick Gold Cp Com 067901108 1357 35796 35796 0 0 35796 0 0 BHP Ltd Sponsored ADR 088606108 1025 15529 15529 0 0 15529 0 0 Blackrock Corp High Yld FD V Com 09255L106 292 29411 29411 0 0 29411 0 0 Blackrock MA Hlth & Educ TE Sh Ben Int 575672100 248 20000 20000 0 0 20000 0 0 Blackrock Senior High Inc Ptf Com 09255T109 322 94065 94065 0 0 94065 0 0 BP PLC Sponsored ADR 055622104 232 4350 4350 0 0 4350 0 0 Bristol Myers Squibb Com 110122108 537 23830 23830 0 0 23830 0 0 Brookfield Asset Mgt CL A LTD VT SH112585104 1574 69300 69300 0 0 69300 0 0 Burlington Northern Santa Fe Com 12189T104 212 2652 2652 0 0 2652 0 0 Cisco Systems Com 17275R102 1525 64800 64800 0 0 64800 0 0 Duke Realty Invest Com 624411505 135 11200 11200 0 0 11200 0 0 DWS Global High Inc Com 23338W104 195 26800 26800 0 0 26800 0 0 DWS High Income Tr Com 23337C109 98 11900 11900 0 0 11900 0 0 Eagle Bulk Shipping Inc Com Y2187A101 202 39300 39300 0 0 39300 0 0 Eaton Vance MA Mu Ic Sh Ben Int 27886E104 216 15094 15094 0 0 15094 0 0 Enerplus Resources Fund Unit Tr G New 29274D604 1605 70110 70110 0 0 70110 0 0 Ericsson LM TelCo. ADR Cl B Sek10294821608 854 85260 85260 0 0 85260 0 0 Exxon Mobil Corp Com 30231G102 460 6710 6710 0 0 6710 0 0 Ford Motor Co Com 345370100 111 15375 15375 0 0 15375 0 0 FreightCar America Com 357023100 552 22700 22700 0 0 22700 0 0 General Electric Com 369604103 260 15858 15858 0 0 15858 0 0 Ishares MSCI EAFE Index Fund Com 464287465 335 6130 6130 0 0 6130 0 0 iShares MSCI Japan Index Fd Com 464286848 773 77900 77900 0 0 77900 0 0 JP Morgan Com 46625H100 219 5000 5000 0 0 5000 0 0 Latin Amer Equity Fund Com 51827Q106 1598 45330 45330 0 0 45330 0 0 Lexicon Pharmaceuticals Com 528872104 292 136950 136950 0 0 136950 0 0 Market Vectors ETR Tr Gold Gold Miner ETR57060U100 1414 31250 31250 0 0 31250 0 0 MS/DW Incm Com 61745P874 623 38000 38000 0 0 38000 0 0 Network Engines, Inc. Com 64121A107 678 611089 611089 0 0 611089 0 0 New Amer High Income Fd Com 641876107 127 14787 14787 0 0 14787 0 0 Newmont Mining Com 651639106 1495 33962 33962 0 0 33962 0 0 Nordic American Tanker Shipp Com G65773106 1535 51900 51900 0 0 51900 0 0 Nuveen Mass Prem Inc Com 67061E108 283 20000 20000 0 0 20000 0 0 Occidental Petro Crp Com 674599105 2360 30100 30100 0 0 30100 0 0 Pioneer High income Trust Com 72369A106 609 45126 45126 0 0 45126 0 0 Pioneer Muni High Com 723762100 134 10000 10000 0 0 10000 0 0 Procter & Gamble Co Com 742718109 209 3600 3600 0 0 3600 0 0 Putnam Mgmt Muni Tr Com 746823103 202 29567 29567 0 0 29567 0 0 RF Microdevices Inc. Com 749941100 617 113600 113600 0 0 113600 0 0 SPDR Gold Trust Gold Shr 78463V107 1433 14500 14500 0 0 14500 0 0 SPDR Trust Unit Ser 1 78462F103 323 3055 3055 0 0 3055 0 0 Telefonos de Mexico SAB Sp ADR REP ORD879403780 234 13400 13400 0 0 13400 0 0 Tellabs, Inc. Com 879664100 370 53400 53400 0 0 53400 0 0 Telmex Internacional SAB DE Spons ADR Sr L879690105 202 14500 14500 0 0 14500 0 0 Thermo Fisher Scientific Com 883556102 1574 36050 36050 0 0 36050 0 0 Toreador Resources Cp Com 891050106 4443 444750 444750 0 0 444750 0 0 Verizon Comm Com 92343V104 427 14108 14108 0 0 14108 0 0 Xcel Energy Com 98389B100 593 30835 30835 0 0 30835 0 0
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