0001058217-12-000004.txt : 20120214 0001058217-12-000004.hdr.sgml : 20120214 20120214153255 ACCESSION NUMBER: 0001058217-12-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111231 FILED AS OF DATE: 20120214 DATE AS OF CHANGE: 20120214 EFFECTIVENESS DATE: 20120214 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: 12608844 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 q4danefalbstoneco13fhr21136.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, 2011 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 02/14/2012 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: 44 ------------------------ Form 13F Information Table Value Total: $ 21,037,226 ------------------------ 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, 2011
------------------------------------------------------------------------------------------------------------------------------------ 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) ------------------------------------------------------------------------------------------------------------------------------------ Aberdeen Asia Pac Incom Fd Com 003009107 476 64940 64940 0 0 64940 0 0 AllianceBernstein Income Fd Com 01881E100 241 17000 17000 0 0 17000 0 0 Barrick Gold Cp Com 067901108 809 17889 17889 0 0 17889 0 0 Berkshire Hathaway Inc Cl A 084670108 230 2 2 0 0 2 0 0 BHP Ltd Sponsored ADR 088606108 619 8762 8762 0 0 8762 0 0 Blackrock Corp. High Yld FD V Com 09255L106 299 25610 25610 0 0 25610 0 0 Blackrock MA Health & Educ TE Sh Ben Int 575672100 146 10000 10000 0 0 10000 0 0 Blackrock Senior High Income Ptf Com 09255T109 199 51753 51753 0 0 51753 0 0 Bristol Myers Squibb Com 110122108 443 12580 12580 0 0 12580 0 0 Brookfield Asset Mgt CL A LTD VT SH 112585104 607 22100 22100 0 0 22100 0 0 Calamos Conv. & High Inc Fd Com Shs 12811P198 467 40449 40449 0 0 40449 0 0 Cigna Corp Com 125509109 210 4990 4990 0 0 4990 0 0 Cisco Systems Com 17275R102 739 40900 40900 0 0 40900 0 0 DWS Global High Inc Com 23338W104 192 25300 25300 0 0 25300 0 0 Eagle Bulk Shipping Inc Com Y2187A101 16 17000 17000 0 0 17000 0 0 Eaton Vance MA Mu Ic Sh Ben Int 27886E104 147 10114 10114 0 0 10114 0 0 EDAP TMS S A Sponsored ADR 268311107 161 95000 95000 0 0 95000 0 0 Enerplus Resources Fund Unit Tr G New 29274D604 1135 44810 44810 0 0 44810 0 0 Ericsson LM TelCo. ADR Cl B Sek10 294821608 455 44920 44920 0 0 44920 0 0 Exxon Mobil Corp Com 30231G102 484 5710 5710 0 0 5710 0 0 Ford Motor Co Com 345370100 117 10832 10832 0 0 10832 0 0 Gabelli Glb Gld Nat Res & In Com Sh Ben Int 36244N109 272 19300 19300 0 0 19300 0 0 International Business Machine Com 459200101 202 1100 1100 0 0 1100 0 0 Lexicon Pharmaceuticals Com 528872104 37 28700 28700 0 0 28700 0 0 Market Vectors ETR Tr Gold Gold Miner ETR 57060U100 1060 20600 20600 0 0 20600 0 0 MS/DW Incm Com 61745P874 439 25300 25300 0 0 25300 0 0 Network Engines, Inc. Com 64121A107 403 419089 419089 0 0 419089 0 0 Newmont Mining Com 651639106 1005 16755 16755 0 0 16755 0 0 Nordic American Tanker Shipp Com G65773106 323 26900 26900 0 0 26900 0 0 Occidental Petro Crp Com 674599105 684 7300 7300 0 0 7300 0 0 Pimco Income Strategy Fund Com 72201H108 404 38800 38800 0 0 38800 0 0 Pioneer High income Trust Com 72369A106 661 38186 38186 0 0 38186 0 0 ProShares PSHS Ultsh 20yrs 74347R297 535 29600 29600 0 0 29600 0 0 ProShares Ult Shr S&P 500 74347X856 700 53300 53300 0 0 53300 0 0 Putnam Mgmt Muni Tr Com 746823103 93 12467 12467 0 0 12467 0 0 RF Microdevices Inc. Com 749941100 313 58000 58000 0 0 58000 0 0 SPDR Gold Trust Gold Shr 78463V107 1267 8335 8335 0 0 8335 0 0 Tellabs, Inc. Com 879664100 66 16300 16300 0 0 16300 0 0 Thermo Fisher Scientific Com 883556102 908 20200 20200 0 0 20200 0 0 Toreador Resources Cp Com 891050106 1459 283300 283300 0 0 283300 0 0 Triangle Pete Corp Com 883556102 561 93900 93900 0 0 93900 0 0 Verizon Comm Com 92343V104 243 6058 6058 0 0 6058 0 0 WisdomTree Trust Chinese Yuan ETF 97717W182 516 20500 20500 0 0 20500 0 0 Xcel Energy Com 98389B100 695 25150 25150 0 0 25150 0 0