-----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, NDC6yCFolJK58fjDYBpaQcQMfz68XOF56FosB/iIUzgtGo33b37KHmndVERUNLpv EYYxlvRw3cedEvx520kvWA== 0001058217-11-000004.txt : 20110214 0001058217-11-000004.hdr.sgml : 20110214 20110214120656 ACCESSION NUMBER: 0001058217-11-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101231 FILED AS OF DATE: 20110214 DATE AS OF CHANGE: 20110214 EFFECTIVENESS DATE: 20110214 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: 11603876 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 q4danefalbstoneco13fhr21126.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: December 31, 2010 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 Street Suite 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: Edward N. Dane Principal 617-742-0666 - -------------------------------------------------------------------------------- Name (Title) (Phone) Signature, Place and Date of Signing: /s/ Edward N. Dane - ------------------------------ Boston, Massachusetts 02/11/2011 Report Type: [X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. FORM 13F SUMMARY PAGE REPORT SUMMARY: Number of Other Included Managers: None ------ Form 13F Information Table Entry Total: 52 ------------------------ Form 13F Information Table Value Total: $ 43,904,454 ------------------------ OTHER MANAGERS ON WHOSE BEHALF THIS REPORT IS FILED: None --------- MANAGERS REPORTING ON BEHALF OF REPORTING MANAGER: None ---------- DANE, FALB, STONE & Co., Inc. FORM 13F INFORMATION TABLE December 31, 2010
- ------------------------------------------------------------------------------------------------------------------------------------ ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7 ITEM 8 FAIR INVESTMENT DISCRETION VOTING AUTHORITY TITLE MARKET SHARES OF SHARED NAME OF ISSUER OF CUSIP VALUE PRINCIPAL SOLE SHARED OTHER MANA- SOLE SHARED NONE CLASS NUMBER (x$1000) AMOUNT (A) (B) (C) GERS (A) (B) (C) - ------------------------------------------------------------------------------------------------------------------------------------ Abbott Labs Com 002824100 268 5600 5600 0 0 5600 0 0 Aberdeen Asia Pac Incom Fd Com 003009107 511 75630 75630 0 0 75630 0 0 Aberdeen Latin Amer Eqty Fd Com 00306K106 1955 50492 50492 0 0 50492 0 0 AllianceBernstein Income Fd Com 01881E100 408 28500 28500 0 0 28500 0 0 Ares Cap Corp Com 01903Q108 195 11853 11853 0 0 11853 0 0 Aust & NZ BnkGrp Sponsored ADR 052528304 373 15500 15500 0 0 15500 0 0 Barrick Gold Cp Com 067901108 1769 33268 33268 0 0 33268 0 0 Berkshire Hathaway Inc Cl A 084670108 241 2 2 0 0 2 0 0 BHP Ltd Sponsored ADR 088606108 1186 12762 12762 0 0 12762 0 0 Blackrock Corporate High Yld FD V Com 09255L106 329 28511 28511 0 0 28511 0 0 Blackrock MA Health & Educ TE Sh Ben Int 575672100 292 22000 22000 0 0 22000 0 0 Blackrock Senior High Income Ptf Com 09255T109 243 62410 62410 0 0 62410 0 0 Bristol Myers Squibb Com 110122108 606 22880 22880 0 0 22880 0 0 Brookfield Asset Mgt CL A LTD VT SH 112585104 1566 47050 47050 0 0 47050 0 0 Calamos Conv. & High Inc Fd Com Shs 12811P198 726 57358 57358 0 0 57358 0 0 Cisco Systems Com 17275R102 1254 62000 62000 0 0 62000 0 0 DuPont EI DeNemours Com 263534109 230 4610 4610 0 0 4610 0 0 DWS Global High Inc Com 23338W104 197 25300 25300 0 0 25300 0 0 Eagle Bulk Shipping Inc Com Y2187A101 185 37200 37200 0 0 37200 0 0 Eaton Vance MA Mu Ic Sh Ben Int 27886E104 345 25575 25575 0 0 25575 0 0 EDAP TMS S A Sponsored ADR 268311107 124 22000 22000 0 0 22000 0 0 Enerplus Resources Fund Unit Tr G New 29274D604 2101 68110 68110 0 0 68110 0 0 Ericsson LM TelCo. ADR Cl B Sek10 294821608 905 78520 78520 0 0 78520 0 0 Exxon Mobil Corp Com 30231G102 469 6410 6410 0 0 6410 0 0 Ford Motor Co Com 345370100 249 14851 14851 0 0 14851 0 0 General Electric Com 369604103 248 13575 13575 0 0 13575 0 0 Ishares MSCI EAFE Index Fund Com 464287465 357 6130 6130 0 0 6130 0 0 iShares MSCI Japan Index Fd Com 464286848 801 73400 73400 0 0 73400 0 0 Lexicon Pharmaceuticals Com 528872104 162 112200 112200 0 0 112200 0 0 Market Vectors ETR Tr Gold Gold Miner ETR 57060U100 1875 30500 30500 0 0 30500 0 0 Merck & Co New Com 58933Y105 244 6776 6776 0 0 6776 0 0 MS/DW Incm Com 61745P874 505 30000 30000 0 0 30000 0 0 Network Engines, Inc. Com 64121A107 914 601089 601089 0 0 601089 0 0 Newmont Mining Com 651639106 1955 31828 31828 0 0 31828 0 0 Nordic American Tanker Shipp Com G65773106 1296 49800 49800 0 0 49800 0 0 Nuveen Mass Prem Inc Com 67061E108 334 25000 25000 0 0 25000 0 0 Occidental Petro Crp Com 674599105 2757 28100 28100 0 0 28100 0 0 Pimci Incoem Strategy Fund Com 72201H108 178 15500 15500 0 0 15500 0 0 Pioneer High income Trust Com 72369A106 705 45486 45486 0 0 45486 0 0 Pioneer Muni High Com 723762100 243 18092 18092 0 0 18092 0 0 Putnam Mgmt Muni Tr Com 746823103 225 32567 32567 0 0 32567 0 0 RF Microdevices Inc. Com 749941100 776 105600 105600 0 0 105600 0 0 SPDR Gold Trust Gold Shr 78463V107 1928 13900 13900 0 0 13900 0 0 SPDR Trust Unit Ser 1 78462F103 384 3055 3055 0 0 3055 0 0 Telefonos de Mexico SAB Sp ADR REP ORD 879403780 216 13400 13400 0 0 13400 0 0 Tellabs, Inc. Com 879664100 344 50700 50700 0 0 50700 0 0 Thermo Fisher Scientific Com 883556102 1965 35500 35500 0 0 35500 0 0 Toreador Resources Cp Com 891050106 6736 434050 434050 0 0 434050 0 0 Triangle Pete Corp Com 883556102 137 21000 21000 0 0 21000 0 0 Verizon Comm Com 92343V104 463 12942 12942 0 0 12942 0 0 WisdomTree Trust Chinese Yuan ETF 97717W182 771 30400 30400 0 0 30400 0 0 Xcel Energy Com 98389B100 659 27965 27965 0 0 27965 0 0
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