13F-HR 1 danefalbstoneco13fhr21150.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, 2013 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 05/15/2013 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: 39 ------------------------ Form 13F Information Table Value Total: $13,991,212 ------------------------ 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, 2013

------------------------------------------------------------------------------------------------------------------------------------ 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) ------------------------------------------------------------------------------------------------------------------------------------ Allstate Com 020002101 226 4600 4600 0 0 4600 0 0 Aurico Gold Inc Com 05155C105 ~~161~~124 19700 19700 0 0 19700 0 0 Barrick Gold Cp Com 067901108 ~~430~~361 12283 12283 0 0 12283 0 0 Berkshire Hathaway Inc Cl A 084670108 ~~268~~313 2 2 0 0 2 0 0 BHP Ltd Sponsored ADR 088606108 ~~244~~213 3108 3108 0 0 3108 0 0 Bristol Myers Squibb Com 110122108 ~~237~~300 7280 7280 0 0 7280 0 0 Brookfield Asset Mgt CL A LTD VT SH 112585104 ~~279~~259 ~~7600~~7100 ~~7600~~7100 0 0 ~~7600~~7100 0 0 Cigna Corp Com 125509109 ~~214~~249 4000 4000 0 0 4000 0 0 Cisco Systems Com 17275R102 ~~444~~472 22600 22600 0 0 22600 0 0 DWS Global High Inc Com 23338W104 ~~186~~181 ~~21100~~20100 ~~21100~~20100 0 0 ~~21100~~20100 0 0 EDAP TMS S A Sponsored ADR 268311107 ~~233~~475 114000 114000 0 0 114000 0 0 Enerplus Resources Fund Com 292766102 ~~323~~446 ~~24960~~30560 ~~24960~~30560 0 0 ~~24960~~30560 0 0 Ericsson LM TelCo. ADR Cl B Sek10 294821608 ~~302~~377 29920 29920 0 0 29920 0 0 Exxon Mobil Corp Com 30231G102 ~~407~~424 4700 4700 0 0 4700 0 0 ~~GAMCO Global Gold Com Shs Ben Int 36465A109 498 38938 38938 0 0 38938 0 0~~ International Business Machine Com 459200101 ~~211~~235 1100 1100 0 0 1100 0 0 Market Vectors ETR Tr Gold Gold Miner ETR 57060U100 ~~649~~543 14000 14000 0 0 14000 0 0 Newmont Mining Com 651639106 ~~542~~489 11678 11678 0 0 11678 0 0 Nordic American Tanker Shipp Com G65773106 ~~193~~273 ~~22100~~23600 ~~22100~~23600 0 0 ~~22100~~23600 0 0 Occidental Petro Crp Com 674599105 ~~460~~470 6000 6000 0 0 6000 0 0 ~~Pimco~~ProShares ~~Income~~PSHS ~~Strategy~~Ultsh ~~Fund~~20yrs ~~Com~~74347R297 ~~72201H108~~356 ~~494~~5425 ~~38800~~5425 ~~38800~~ 0 0 ~~38800~~5425 0 0 ProShares Ult Shr S&P 500 74347X864 ~~491~~358 13000 13000 0 0 13000 0 0 ~~ProShares PSHS Ultsh 20yrs 74347R297 344 5425 5425 0 0 5425 0 0~~ RF Microdevices Inc. Com 749941100 ~~211~~250 47000 47000 0 0 47000 0 0 SPDR Gold Trust Gold Shr 78463V107 ~~648~~618 4000 4000 0 0 4000 0 0 Tellabs, Inc. Com 879664100 2322 10300 10300 0 0 10300 0 0 Thermo Fisher Scientific Com 883556102 ~~657~~788 10300 10300 0 0 10300 0 0 Triangle Pete Corp Com 89600B201 ~~453~~499 75600 75600 0 0 75600 0 0 ~~Zaza Energy Corp Com 98919T100 435 211300 211300 0 0 211300 0 0~~ Verizon Comm Com 92343V104 ~~259~~295 5992 5992 0 0 5992 0 0 WisdomTree Trust Chinese Yuan ETF 97717W182 ~~304~~315 11900 11900 0 0 11900 0 0 Xcel Energy Com 98389B100 ~~556~~618 20810 20810 0 0 20810 0 0 Zaza Energy Corp Com 98919T100 385 211300 211300 0 0 211300 0 0 Aberdeen Asia Pac Incom Fd Com 003009107 ~~405~~407 52300 52300 0 0 52300 0 0 AllianceBernstein Income Fd Com 01879R106 ~~258~~269 16500 16500 0 0 16500 0 0 Blackrock Corporate High Yld FD V Com 09255N102 ~~225~~237 17907 17907 0 0 17907 0 0 Blackrock Senior High Income Ptf Com 09255T109 ~~192~~204 45753 45753 0 0 45753 0 0 Calamos Conv. & High Inc Fd Com Shs 12811P198 ~~410~~433 33763 33763 0 0 33763 0 0 GAMCO Global Gold Com Shs Ben Int 36465A109 490 38953 38953 0 0 38953 0 0 MS/DW Incm Com 61745P874 ~~323~~307 ~~17500~~17000 ~~17500~~17000 0 0 ~~17500~~17000 0 0 Pimco Income Strategy Fund Com 72201H108 516 38800 38800 0 0 38800 0 0 Pioneer High income Trust Com 72369H106 ~~519~~544 ~~32586~~32086 ~~32586~~32086 0 0 ~~32586~~32086 0 0

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