13F-HR 1 q3danefalbstoneco13fhr21132.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, 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 11/15/2011 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: 48 ------------------------ Form 13F Information Table Value Total: $ 27,320,316 ------------------------ 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 September 30, 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) ------------------------------------------------------------------------------------------------------------------------------------ ~~Abbott Labs Com 002824100 242 4600 4600 0 0 4600 0 0~~ Aberdeen Asia Pac Incom Fd Com 003009107 ~~505~~475 68940 68940 0 0 68940 0 0 ~~Aberdeen Latin Amer Eqty Fd Com 00306K106 1922 49585 49585 0 0 49585 0 0~~ AllianceBernstein Income Fd Com 01881E100 ~~436~~371 28500 28500 0 0 28500 0 0 ~~Ares Cap Corp Com 01903Q108 170 10602 10602 0 0 10602 0 0 Ascent Solar Techn Com 043635101 17 18000 18000 0 0 18000 0 0~~ Aust & NZ BnkGrp Sponsored ADR 052528304 ~~261~~186 ~~11000~~10000 ~~11000~~10000 0 0 ~~11000~~10000 0 0 Barrick Gold Cp Com 067901108 ~~1463~~1138 ~~32309~~24389 ~~32309~~24389 0 0 ~~32309~~24389 0 0 Berkshire Hathaway Inc Cl A 084670108 ~~232~~214 2 2 0 0 2 0 0 BHP Ltd Sponsored ADR 088606108 ~~1094~~768 11562 11562 0 0 11562 0 0 Blackrock Corporate High Yld FD V Com 09255L106 ~~344~~305 28211 28211 0 0 28211 0 0 Blackrock MA Health & Educ TE Sh Ben Int 575672100 ~~266~~279 20000 20000 0 0 20000 0 0 Blackrock Senior High Income Ptf Com 09255T109 ~~254~~221 ~~60504~~60544 ~~60504~~60544 0 0 ~~60504~~60544 0 0 Bristol Myers Squibb Com 110122108 ~~645~~589 ~~22280~~18780 ~~22280~~18780 0 0 ~~22280~~18780 0 0 Brookfield Asset Mgt CL A LTD VT SH 112585104 ~~1115~~623 ~~33600~~22600 ~~33600~~22600 0 0 ~~33600~~22600 0 0 Calamos Conv. & High Inc Fd Com Shs 12811P198 ~~706~~586 ~~53940~~52784 ~~53940~~52784 0 0 ~~53940~~52784 0 0 Cigna Corp Com 125509109 ~~257~~209 4990 4990 0 0 4990 0 0 Cisco Systems Com 17275R102 ~~966~~874 ~~61900~~56400 ~~61900~~56400 0 0 ~~61900~~56400 0 0 ~~DuPont EI DeNemours Com 263534109 216 4000 4000 0 0 4000 0 0~~ DWS Global High Inc Com 23338W104 ~~201~~182 25300 25300 0 0 25300 0 0 Eagle Bulk Shipping Inc Com Y2187A101 9760 ~~39300~~38300 ~~39300~~38300 0 0 ~~39300~~38300 0 0 Eaton Vance MA Mu Ic Sh Ben Int 27886E104 ~~354~~338 ~~26183~~22948 ~~26183~~22948 0 0 ~~26183~~22948 0 0 EDAP TMS S A Sponsored ADR 268311107 ~~449~~222 ~~137000~~127000 ~~137000~~127000 0 0 ~~137000~~127000 0 0 Enerplus Resources Fund Unit Tr G New 29274D604 ~~2039~~1460 ~~64510~~59510 ~~64510~~59510 0 0 ~~64510~~59510 0 0 Ericsson LM TelCo. ADR Cl B Sek10 294821608 ~~1046~~544 ~~72720~~56920 ~~72720~~56920 0 0 ~~72720~~56920 0 0 Exxon Mobil Corp Com 30231G102 ~~481~~429 5910 5910 0 0 5910 0 0 Ford Motor Co Com 345370100 ~~205~~117 ~~14851~~12055 ~~14851~~12055 0 0 ~~14851~~12055 0 0 ~~General Electric Com 369604103 210 11160 11160 0 0 11160 0 0 Ishares MSCI EAFE Index Fund Com 464287465 369 6130 6130 0 0 6130 0 0~~ iShares MSCI Japan Index Fd Com 464286848 ~~734~~567 ~~70400~~59900 ~~70400~~59900 0 0 ~~70400~~59900 0 0 Lexicon Pharmaceuticals Com 528872104 ~~219~~103 ~~124600~~111600 ~~124600~~111600 0 0 ~~124600~~111600 0 0 Market Vectors ETR Tr Gold Gold Miner ETR 57060U100 ~~1578~~1474 ~~28900~~26700 ~~28900~~26700 0 0 ~~28900~~26700 0 0 ~~Merck & Co New Com 58933Y105 239 6776 6776 0 0 6776 0 0~~ MS/DW Incm Com 61745P874 ~~508~~490 ~~29500~~28500 ~~29500~~28500 0 0 ~~29500~~28500 0 0 Network Engines, Inc. Com 64121A107 ~~639~~611 ~~581089~~531089 ~~581089~~531089 0 0 ~~581089~~531089 0 0 Newmont Mining Com 651639106 ~~1638~~1376 ~~30351~~21864 ~~30351~~21864 0 0 ~~30351~~21864 0 0 Nordic American Tanker Shipp Com G65773106 ~~1071~~580 ~~47100~~41100 ~~47100~~41100 0 0 ~~47100~~41100 0 0 Nuveen Mass Prem Inc Com 67061E108 ~~336~~280 ~~25000~~20000 ~~25000~~20000 0 0 ~~25000~~20000 0 0 Occidental Petro Crp Com 674599105 ~~1633~~736 ~~15700~~10300 ~~15700~~10300 0 0 ~~15700~~10300 0 0 Pimco Income Strategy Fund Com 72201H108 ~~382~~296 29500 29500 0 0 29500 0 0 Pioneer High income Trust Com 72369A106 ~~689~~654 ~~40986~~39986 ~~40986~~39986 0 0 ~~40986~~39986 0 0 Pioneer Muni High Com 723762100 ~~264~~208 ~~18754~~14334 ~~18754~~14334 0 0 ~~18754~~14334 0 0 Proshares ~~PSHS~~Ult ~~Ultsh~~Shr ~~20yrs74347R297~~S&P500 ~~1066~~74347X856 ~~30900~~1491 ~~30900~~72800 72800 0 0 ~~30900~~72800 0 0 Proshares ~~Ult~~PSHS ~~Shr~~Ultsh ~~S&P500~~20yrs ~~74347X856~~74347R297 ~~713~~791 ~~45900~~40700 ~~45900~~40700 0 0 ~~45900~~40700 0 0 Putnam Mgmt Muni Tr Com 746823103 ~~210~~212 28467 28467 0 0 28467 0 0 RF Microdevices Inc. Com 749941100 ~~634~~543 ~~103600~~85600 ~~103600~~85600 0 0 ~~103600~~85600 0 0 SPDR Gold Trust Gold Shr 78463V107 ~~2161~~1707 ~~14800~~10800 ~~14800~~10800 0 0 ~~14800~~10800 0 0 SPDR Trust Unit Ser 1 78462F103 ~~403~~241 ~~3055~~2126 ~~3055~~2126 0 0 ~~3055~~2126 0 0 Telefonos de Mexico SAB Sp ADR REP ORD 879403780 ~~168~~152 10200 10200 0 0 10200 0 0 Tellabs, Inc. Com 879664100 ~~234~~175 ~~50700~~40700 ~~50700~~40700 0 0 ~~50700~~40700 0 0 Thermo Fisher Scientific Com 883556102 ~~2106~~1225 ~~32700~~24200 ~~32700~~24200 0 0 ~~32700~~24200 0 0 Toreador Resources Cp Com 891050106 ~~1657~~1227 ~~446600~~399600 ~~446600~~399600 0 0 ~~446600~~399600 0 0 Triangle Pete Corp Com 883556102 ~~457~~324 ~~70700~~90200 ~~70700~~90200 0 0 ~~70700~~90200 0 0 Verizon Comm Com 92343V104 ~~397~~356 ~~10672~~9672 ~~10672~~9672 0 0 ~~10672~~9672 0 0 WisdomTree Trust Chinese Yuan ~~ETF97717W182~~ETF ~~755~~97717W182 ~~29700~~675 ~~29700~~26700 26700 0 0 ~~29700~~26700 0 0 Xcel Energy Com 98389B100 ~~660~~640 ~~27165~~25925 ~~27165~~25925 0 0 ~~27165~~25925 0 0

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