13F-HR 1 q1danefalbstoneco13fhr21139.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: March 31, 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 05/15/2012 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: 43 ------------------------ Form 13F Information Table Value Total: $21,845,000 ------------------------ 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 March 31, 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 ~~Incom~~IncCome Fd Com 003009107 ~~476~~473 64940 64940 0 0 64940 0 0 AllianceBernstein Income Fd Com 01881E100 ~~241~~255 17000 17000 0 0 17000 0 0 Aurico Gold Inc Com 05155C105 226 25500 25500 0 0 25500 0 0 Barrick Gold Cp Com 067901108 ~~809~~773 ~~17889~~17789 ~~17889~~17789 0 0 ~~17889~~17789 0 0 Berkshire Hathaway Inc Cl A 084670108 ~~230~~244 2 2 0 0 2 0 0 BHP Ltd Sponsored ADR 088606108 ~~619~~620 ~~8762~~8562 ~~8762~~8562 0 0 ~~8762~~8562 0 0 Blackrock ~~Corp.~~Corporate High Yld FD V Com 09255L106 ~~299~~321 25610 25610 0 0 25610 0 0 Blackrock MA Health & Educ TE Sh Ben Int 575672100 ~~146~~144 10000 10000 0 0 10000 0 0 Blackrock Senior High Income Ptf Com 09255T109 ~~199~~213 51753 51753 0 0 51753 0 0 Bristol Myers Squibb Com 110122108 ~~443~~425 12580 12580 0 0 12580 0 0 Brookfield Asset Mgt CL A LTD VT SH 112585104 ~~607~~631 ~~22100~~20000 ~~22100~~20000 0 0 ~~22100~~20000 0 0 Calamos Conv. & High Inc Fd Com Shs 12811P198 ~~467~~523 ~~40449~~40949 ~~40449~~40949 0 0 ~~40449~~40949 0 0 Cigna Corp Com 125509109 ~~210~~246 4990 4990 0 0 4990 0 0 Cisco Systems Com 17275R102 ~~739~~865 40900 40900 0 0 40900 0 0 DWS Global High Inc Com 23338W104 ~~192~~204 25300 25300 0 0 25300 0 0 Eagle Bulk Shipping Inc Com Y2187A101 1619 ~~17000~~10000 ~~17000~~10000 0 0 ~~17000~~10000 0 0 Eaton Vance MA Mu Ic Sh Ben Int 27886E104 ~~147~~150 10114 10114 0 0 10114 0 0 EDAP TMS S A Sponsored ADR 268311107 ~~161~~194 ~~95000~~102000 ~~95000~~102000 0 0 ~~95000~~102000 0 0 Enerplus Resources Fund Unit Tr G New 29274D604 ~~1135~~1049 ~~44810~~46810 ~~44810~~46810 0 0 ~~44810~~46810 0 0 Ericsson LM TelCo. ADR Cl B Sek10 294821608 ~~455~~463 44920 44920 0 0 44920 0 0 Exxon Mobil Corp Com 30231G102 ~~484~~495 5710 5710 0 0 5710 0 0 Ford Motor Co Com 345370100 ~~117~~135 10832 10832 0 0 10832 0 0 ~~Gabelli~~GAMCO ~~Glb~~Global ~~Gld~~Gold ~~Nat Res & In~~ Com ShShs Ben Int ~~36244N109~~36465A109 ~~272~~706 ~~19300~~43706 ~~19300~~43706 0 0 ~~19300~~43706 0 0 International Business Machine Com 459200101 ~~202~~230 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~~1021 20600 20600 0 0 20600 0 0 MS/DW Incm Com 61745P874 ~~439~~450 25300 25300 0 0 25300 0 0 Network Engines, Inc. Com 64121A107 ~~403~~606 ~~419089~~424089 ~~419089~~424089 0 0 ~~419089~~424089 0 0 Newmont Mining Com 651639106 ~~1005~~845 ~~16755~~16488 ~~16755~~16488 0 0 ~~16755~~16488 0 0 Nordic American Tanker Shipp Com G65773106 ~~323~~551 ~~26900~~34700 ~~26900~~34700 0 0 ~~26900~~34700 0 0 Occidental Petro Crp Com 674599105 ~~684~~695 7300 7300 0 0 7300 0 0 Pimco Income Strategy Fund Com 72201H108 ~~404~~441 38800 38800 0 0 38800 0 0 Pioneer High income Trust Com 72369A106 ~~661~~636 38186 38186 0 0 38186 0 0 ProShares ~~PSHS~~Ult ~~Ultsh~~Shr ~~20yrs~~S&P ~~74347R297~~500 ~~535~~74347X856 ~~29600~~515 ~~29600~~56800 56800 0 0 ~~29600~~56800 0 0 ProShares ~~Ult~~PSHS ~~Shr~~Ultsh ~~S&P~~20yrs ~~500~~74347R297 ~~74347X856~~636 ~~700~~31100 ~~53300~~31100 ~~53300~~ 0 0 ~~53300~~31100 0 0 Putnam Mgmt Muni Tr Com 746823103 9396 12467 12467 0 0 12467 0 0 RF Microdevices Inc. Com 749941100 ~~313~~289 58000 58000 0 0 58000 0 0 SPDR Gold Trust Gold Shr 78463V107 ~~1267~~1092 ~~8335~~6735 ~~8335~~6735 0 0 ~~8335~~6735 0 0 Tellabs, Inc. Com 879664100 66 16300 16300 0 0 16300 0 0 Thermo Fisher Scientific Com 883556102 ~~908~~1139 20200 20200 0 0 20200 0 0 Toreador Resources Cp Com 891050106 ~~1459~~1323 283300 283300 0 0 283300 0 0 Triangle Pete Corp Com 883556102 ~~561~~648 93900 93900 0 0 93900 0 0 Verizon Comm Com 92343V104 ~~243~~232 6058 6058 0 0 6058 0 0 WisdomTree Trust Chinese Yuan ETF 97717W182 ~~516~~520 20500 20500 0 0 20500 0 0 Xcel Energy Com 98389B100 ~~695~~666 25150 25150 0 0 25150 0 0

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