13F-HR 1 q3danefalbstoneco13fhr21146.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, 2012 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 11/15/2012 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: 42 ------------------------ Form 13F Information Table Value Total: $20,080,391 ------------------------ 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, 2012

------------------------------------------------------------------------------------------------------------------------------------ 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 IncCom Fd Com 003009107 ~~496~~505 64940 64940 0 0 64940 0 0 AllianceBernstein Income Fd Com 01879R106 ~~247~~262 16500 16500 0 0 16500 0 0 Aurico Gold Inc Com 05155C105 ~~204~~178 25500 25500 0 0 25500 0 0 Barrick Gold Cp Com 067901108 ~~650~~722 17289 17289 0 0 17289 0 0 Berkshire Hathaway Inc Cl A 084670108 ~~250~~265 2 2 0 0 2 0 0 BHP Ltd Sponsored ADR 088606108 ~~559~~567 ~~8562~~8262 ~~8562~~8262 0 0 ~~8562~~8262 0 0 Blackrock Corporate High Yld FD V Com 09255N102 ~~326~~340 25610 25610 0 0 25610 0 0 Blackrock Senior High Income Ptf Com 09255T109 ~~208~~223 50753 50753 0 0 50753 0 0 Bristol Myers Squibb Com 110122108 ~~452~~425 12580 12580 0 0 12580 0 0 Brookfield Asset Mgt CL A LTD VT SH 112585104 ~~626~~469 ~~18900~~13600 ~~18900~~13600 0 0 ~~18900~~13600 0 0 Calamos Conv. & High Inc Fd Com Shs 12811P198 ~~515~~518 40949 40949 0 0 40949 0 0 Cigna Corp Com 125509109 ~~220~~781 ~~4990 4990 0 0 4990 0 0 Cisco Systems Com 17275R102 702~~ 40900 40900 0 0 40900 0 0 DWS Global High Inc Com 23338W104 ~~209~~223 25300 25300 0 0 25300 0 0 Eaton Vance MA Mu Ic Sh Ben Int 27826E104 ~~153~~160 10114 10114 0 0 10114 0 0 EDAP TMS S A Sponsored ADR 268311107 ~~308~~272 159000 159000 0 0 159000 0 0 Enerplus Resources Fund Com 292766102 ~~631~~806 ~~49010~~48510 ~~49010~~48510 0 0 ~~49010~~48510 0 0 Ericsson LM TelCo. ADR Cl B Sek10 294821608 ~~410~~359 ~~44920~~39320 ~~44920~~39320 0 0 ~~44920~~39320 0 0 Exxon Mobil Corp Com 30231G102 ~~462~~466 ~~5400~~5100 ~~5400~~5100 0 0 ~~5400~~5100 0 0 Ford Motor Co Com 345370860 ~~104~~107 10832 10832 0 0 10832 0 0 GAMCO Global Gold Com Shs Ben Int 36465A109 ~~757~~813 ~~56416~~56428 ~~56416~~56428 0 0 ~~56416~~56428 0 0 International Business Machine ~~Com~~ 459200101 ~~215~~228 1100 1100 0 0 1100 0 0 MA Health & Educ TE Sh Ben Int 575672100 ~~150~~161 10000 10000 0 0 10000 0 0 Market Vectors ETR Tr Gold Gold Miner ETR 57060U100 ~~922~~1106 20600 20600 0 0 20600 0 0 MS/DW Incm Com 61745P874 ~~461~~484 25300 25300 0 0 25300 0 0 ~~Network Engines, Inc. Com 64121A107 598 424089 424089 0 0 424089 0 0~~ Newmont Mining Com 651639106 ~~800~~918 ~~16488~~16388 ~~16488~~16388 0 0 ~~16488~~16388 0 0 Nordic American Tanker Shipp Com G65773106 ~~471~~350 34700 34700 0 0 34700 0 0 Occidental Petro Crp Com 674599105 ~~566~~551 ~~6600~~6400 ~~6600~~6400 0 0 ~~6600~~6400 0 0 Pimco Income Strategy Fund Com 72201H108 ~~463~~509 38800 38800 0 0 38800 0 0 Pimco Mun Income Fd III Com 72201A103 ~~138~~147 11019 11019 0 0 11019 0 0 Pioneer High income Trust Com 72369H106 ~~653~~713 38186 38186 0 0 38186 0 0 ProShares ~~PSHS~~Ult ~~Ultsh~~Shr ~~20yrs~~S&P ~~74347R297~~500 ~~493~~74347X864 ~~31100~~700 ~~31100~~18240 18240 0 0 ~~31100~~18240 0 0 ProShares ~~Ult~~PSHS ~~Shr~~Ultsh ~~S&P~~20yrs ~~500~~74347R297 ~~74347X864~~485 ~~536~~31100 ~~11360~~31100 ~~11360~~ 0 0 ~~11360~~31100 0 0 Putnam Mgmt Muni Tr Com 746823103 99105 12467 12467 0 0 12467 0 0 RF Microdevices Inc. Com 749941100 25229 ~~5800~~58000 ~~5800~~58000 0 0 ~~5800~~58000 0 0 SPDR Gold Trust Gold Shr 78463V107 ~~1045~~1140 ~~6735~~6635 ~~6735~~6635 0 0 ~~6735~~6635 0 0 Tellabs, Inc. Com 879664100 3840 11300 11300 0 0 11300 0 0 Thermo Fisher Scientific Com 883556102 ~~836~~935 ~~16100~~15900 ~~16100~~15900 0 0 ~~16100~~15900 0 0 Triangle Pete Corp Com 89600B201 ~~524~~672 93900 93900 0 0 93900 0 0 Verizon Comm Com 92343V104 ~~266~~273 5992 5992 0 0 5992 0 0 WisdomTree Trust Chinese Yuan ETF 97717W182 ~~517~~520 20500 20500 0 0 20500 0 0 Xcel Energy Com 98389B100 ~~715~~697 25150 25150 0 0 25150 0 0 Zaza Energy Corp Com 98919T100 ~~1268~~834 ~~281800~~280800 ~~281800~~280800 0 0 ~~281800~~280800 0 0

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