13F-HR 1 q4danefalbstoneco13fhr21148.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, 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 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: 38 ------------------------ Form 13F Information Table Value Total: $13,327,288 ------------------------ 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, 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 505 64940 64940 0 0 64940 0 0 AllianceBernstein Income Fd Com 01879R106 262 16500 16500 0 0 16500 0 0~~ Aurico Gold Inc Com 05155C105 ~~178~~161 ~~25500~~19700 ~~25500~~19700 0 0 ~~25500~~19700 0 0 Barrick Gold Cp Com 067901108 ~~722~~430 ~~17289~~12283 ~~17289~~12283 0 0 ~~17289~~12283 0 0 Berkshire Hathaway Inc Cl A 084670108 ~~265~~268 2 2 0 0 2 0 0 BHP Ltd Sponsored ADR 088606108 ~~567~~244 ~~8262~~3108 ~~8262~~3108 0 0 ~~8262~~3108 0 0 ~~Blackrock Corporate High Yld FD V Com 09255N102 340 25610 25610 0 0 25610 0 0 Blackrock Senior High Income Ptf Com 09255T109 223 50753 50753 0 0 50753 0 0~~ Bristol Myers Squibb Com 110122108 ~~425~~237 ~~12580~~7280 ~~12580~~7280 0 0 ~~12580~~7280 0 0 Brookfield Asset Mgt CL A LTD VT SH 112585104 ~~469~~279 ~~13600~~7600 ~~13600~~7600 0 0 ~~13600~~7600 0 0 ~~Calamos~~Cigna ~~Conv.~~Corp ~~& High Inc Fd~~ Com ~~Shs~~125509109 ~~12811P198~~214 ~~518~~4000 ~~40949~~4000 ~~40949~~ 0 0 ~~40949~~4000 0 0 ~~Cigna~~Cisco ~~Corp~~Systems Com ~~125509109~~17275R102 ~~781~~444 ~~40900~~22600 ~~40900~~22600 0 0 ~~40900~~22600 0 0 DWS Global High Inc Com 23338W104 ~~223~~186 ~~25300~~21100 ~~25300~~21100 0 0 ~~25300~~21100 0 0 ~~Eaton Vance MA Mu Ic Sh Ben Int 27826E104 160 10114 10114 0 0 10114 0 0~~ EDAP TMS S A Sponsored ADR 268311107 ~~272~~233 ~~159000~~114000 ~~159000~~114000 0 0 ~~159000~~114000 0 0 Enerplus Resources Fund Com 292766102 ~~806~~323 ~~48510~~24960 ~~48510~~24960 0 0 ~~48510~~24960 0 0 Ericsson LM TelCo. ADR Cl B Sek10 294821608 ~~359~~302 ~~39320~~29920 ~~39320~~29920 0 0 ~~39320~~29920 0 0 Exxon Mobil Corp Com 30231G102 ~~466~~407 ~~5100~~4700 ~~5100~~4700 0 0 ~~5100~~4700 0 0 ~~Ford Motor Co Com 345370860 107 10832 10832 0 0 10832 0 0~~ GAMCO Global Gold Com Shs Ben Int 36465A109 ~~813~~498 ~~56428~~38938 ~~56428~~38938 0 0 ~~56428~~38938 0 0 International Business Machine 459200101 ~~228~~211 1100 1100 0 0 1100 0 0 ~~MA Health & Educ TE Sh Ben Int 575672100 161 10000 10000 0 0 10000 0 0~~ Market Vectors ETR Tr Gold Gold Miner ETR 57060U100 ~~1106~~649 ~~20600~~14000 ~~20600~~14000 0 0 ~~20600~~14000 0 0 ~~MS/DW Incm Com 61745P874 484 25300 25300 0 0 25300 0 0~~ Newmont Mining Com 651639106 ~~918~~542 ~~16388~~11678 ~~16388~~11678 0 0 ~~16388~~11678 0 0 Nordic American Tanker Shipp Com G65773106 ~~350~~193 ~~34700~~22100 ~~34700~~22100 0 0 ~~34700~~22100 0 0 Occidental Petro Crp Com 674599105 ~~551~~460 ~~6400~~6000 ~~6400~~6000 0 0 ~~6400~~6000 0 0 Pimco Income Strategy Fund Com 72201H108 ~~509~~494 38800 38800 0 0 38800 0 0 ~~Pimco~~ProShares ~~Mun~~Ult ~~Income~~Shr FdS&P ~~III~~500 ~~Com~~74347X864 ~~72201A103~~491 ~~147~~13000 ~~11019~~13000 ~~11019~~0 0 13000 0 ~~11019~~0 ProShares PSHS Ultsh 20yrs 74347R297 344 5425 5425 0 0 ~~Pioneer~~5425 ~~High~~0 ~~income~~0 ~~Trust~~RF Microdevices Inc. Com ~~72369H106~~749941100 ~~713~~211 ~~38186~~47000 ~~38186~~47000 0 0 ~~38186~~47000 0 0 ~~ProShares~~SPDR ~~Ult~~Gold ~~Shr~~Trust ~~S&P~~Gold ~~500~~Shr ~~74347X864~~78463V107 ~~700~~648 ~~18240~~4000 ~~18240~~4000 0 0 ~~18240~~4000 0 0 ~~ProShares~~Tellabs, ~~PSHS~~Inc. ~~Ultsh~~Com ~~20yrs~~879664100 ~~74347R297~~23 ~~485~~10300 ~~31100~~10300 ~~31100~~0 0 10300 0 ~~31100~~0 Thermo Fisher Scientific Com 883556102 657 10300 10300 0 0 ~~Putnam~~10300 ~~Mgmt~~0 ~~Muni~~0 TrTriangle Pete Corp Com ~~746823103~~89600B201 ~~105~~453 ~~12467~~75600 ~~12467~~75600 0 0 ~~12467~~75600 0 0 RFZaza ~~Microdevices~~Energy ~~Inc.~~Corp Com ~~749941100~~98919T100 ~~229~~435 ~~58000~~211300 ~~58000~~211300 0 0 ~~58000~~211300 0 0 ~~SPDR~~Verizon ~~Gold~~Comm Com 92343V104 259 5992 5992 0 0 5992 0 0 WisdomTree Trust ~~Gold~~Chinese ~~Shr~~Yuan ~~78463V107~~ETF ~~1140~~97717W182 ~~6635~~304 ~~6635~~11900 11900 0 0 ~~6635~~11900 0 0 ~~Tellabs,~~Xcel ~~Inc.~~Energy Com ~~879664100~~98389B100 40556 ~~11300~~20810 ~~11300~~20810 0 0 ~~11300~~20810 0 0 ~~Thermo~~Aberdeen ~~Fisher~~Asia ~~Scientific~~Pac Incom Fd Com ~~883556102~~003009107 ~~935~~405 ~~15900~~52300 ~~15900~~52300 0 0 ~~15900~~52300 0 0 ~~Triangle~~AllianceBernstein ~~Pete~~Income ~~Corp~~Fd Com ~~89600B201~~01879R106 ~~672~~258 ~~93900~~16500 ~~93900~~16500 0 0 ~~93900~~16500 0 0 ~~Verizon~~Blackrock ~~Comm~~Corporate High Yld FD V Com ~~92343V104~~09255N102 ~~273~~225 ~~5992~~17907 ~~5992~~17907 0 0 ~~5992~~17907 0 0 ~~WisdomTree~~Blackrock ~~Trust~~Senior ~~Chinese~~High ~~Yuan~~Income ~~ETF~~Ptf ~~97717W182~~Com ~~520~~09255T109 ~~20500~~192 ~~20500~~45753 45753 0 0 ~~20500~~45753 0 0 ~~Xcel~~Calamos ~~Energy~~Conv. & High Inc Fd Com ~~98389B100~~Shs ~~697~~12811P198 ~~25150~~410 ~~25150~~33763 33763 0 0 ~~25150~~33763 0 0 ~~Zaza~~MS/DW ~~Energy~~Incm ~~Corp~~Com 61745P874 323 17500 17500 0 0 17500 0 0 Pioneer High income Trust Com ~~98919T100~~72369H106 ~~834~~519 ~~280800~~32586 ~~280800~~32586 0 0 ~~280800~~32586 0 0

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