SECURITIES AND EXCHANGE COMMISSION
FORM 13F-E
NAME OF REPORTING MANAGER: DANE, FALB, STONE & CO., INC.
Report for the Calendar Year or Quarter Ended: 09/30/99
Institutional Investment Manager: Dane, Falb, Stone & Co., Inc.
I REPRESENT THAT I AM AUTHORIZED TO SUBMIT THIS FORM AND THAT ALL INFORMATION IN
THIS FORM AND THE ATTACHMENTS TO IT ARE TRUE, CORRECT AND COMPLETE, AND I
UNDERSTAND THAT ALL REQUIRED ITEMS, STATEMENTS AND SCHEDULES ARE INTEGRAL PARTS
OF THIS FORM AND THAT THE SUBMISSION OF ANY AMENDMENT REPRESENTS THAT ALL
UNAMENDED ITEMS, STATEMENTS AND SCHEDULES REMAIN TRUE, CORRECT AND COMPLETE AS
PREVIOUSLY SUBMITTED.
I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES EXCHANGE ACT OF 1934.
Name, Title and Telephone Number of Person Submitting Report:
Edward N. Dane, Principal
(617)742-0666
Signature, Place and Date of Signing:
/s/ Edward N. Dane
Boston, Massachusetts
11/12/99
Other Managers on Whose Behalf this Report is Filed:
None
Managers Reporting on Behalf of Reporting Manager:
None
REPORT SUMMARY:
Number of Other Included Managers: None
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Form 13F Information Table Entry Total: 55
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Form 13F Information Table Value Total: 46,089,000.00
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<PAGE>
SECURITIES AND EXCHANGE COMMISSION
FORM 13F-E
NAME OF REPORTING MANAGER: DANE, FALB, STONE & CO., INC.
<TABLE> <S> <C>
NAME OF ISSUER TITLE OF CUSIP VALUE SHARES OR INVEST DISCRECTION VOTING AUTHORITY
-------------- CLASS ----- x1000 PRINCIPAL ------------------ ----------------
-------- ----- AMOUNT
--------- SOLE SHARED NONE SOLE SHARED NONE
---- ------ ---- ---- ------ ----
Abbott Labs Com 002824100 323 8800 8800 0 8800 0
Act Networks Inc Com 000975102 393 44700 44700 0 44700 0
ADE Corp MA Com 00089C107 463 33102 33102 0 33102 0
Armco Inc. Pfd CVA $ 3.625 042170407 1283 24925 24925 0 24925 0
Aust & NZ BnkGrp Sponsored ADR 052528304 1214 35975 35775 200 35775 200
Banc One Corp Com 059438101 396 11400 11400 0 11400 0
Barrick Gold Cp Com 067901108 488 22450 22450 0 22450 0
Bat Mt Gold CDT-CV SB DB6%05 071593AA5 906 925000 925000 0 925000 0
Battle Mtn Gold Pfd Conv $3.25 071593305 651 18600 18400 200 18400 200
Bell Atlantic Com 077853109 302 4496 4496 0 4496 0
BP Amoco Sponsored ADR 055622104 1114 10055 10055 0 10055 0
Bristol Myers Squibb Com 110122108 999 14800 14200 600 14200 600
British Steel Plc ADR Final Install 111015301 534 20766 20766 0 20766 0
Broken Hill Prop Sponsored ADR 112169602 378 16300 15860 440 15860 440
Coeur d'Alene MARCS 19218207 506 87100 87100 0 87100 0
Duke Energy Com 264399106 1105 20050 20050 0 20050 0
Edperbrascan Cp Class A 280905803 652 45800 45100 700 45100 700
Exxon Corp Com 302290101 1511 19900 19900 0 19900 0
Federated Department Stores Com 31410H101 926 21200 21200 0 21200 0
First Aust Pr Inc Fd Com 318653102 953 155615 155615 0 155615 0
Ford Motor Co Com 345370100 1634 32650 32650 0 32650 0
General Electric Com 369604103 1647 13893 12893 1000 12893 1000
Grp Telvsa SA De Cv Sp ADR REP ORD 40049J206 1627 40750 40750 0 40750 0
GTE Corp Com 362320103 1187 15450 15450 0 15450 0
H&Q Life Sciences Fd Sh Ben Int 404053100 675 47791 47491 300 47491 300
Hecla Mng Co Pfd Cv Ser B 422704205 1350 39800 39800 0 39800 0
Hewlett Packard Com 428236102 937 10200 9900 300 9900 300
Homestake Mining Com 437614100 365 39825 39825 0 39825 0
Input/Output Com 457652105 922 134150 134150 0 134150 0
Lucent Techn Com 549463197 1290 19890 19890 0 19890 0
MA Health & Educ TE Sh Ben Int 575672100 232 18000 18000 0 18000 0
Meditrust Corp Sh Ben Int 58501T108 396 46699 46699 0 46699 0
Meditronic Com 585055106 301 8490 8490 0 8490 0
Merck&Co Inc Com 589331107 383 5914 5914 0 5914 0
Mentor Graphics Corp Com 587200106 399 46700 46700 0 46700 0
Mobil Corp Com 607059102 832 8266 8266 0 8266 0
Montana Power Com 612085100 572 18200 18200 0 18200 0
MS/DW Incm Com 61745P874 1363 84200 83600 600 83600 600
New Century Energies Com 64352U103 1778 53200 52400 800 52400 800
Newmont Mining Com 651639106 390 15081 15081 0 15081 0
Novell Inc Com 670006105 862 41700 41700 0 41700 0
Occidental Petro Crp Com 674599105 1369 59200 59200 0 59200 0
Olin Corp Com 680665205 598 43900 43900 0 43900 0
Pharmacia & Upjohn Com 716941109 1121 22600 22500 100 22500 100
Printronix Inc Com 742578107 652 34800 34800 0 34800 0
Schering Plough Corp Com 806605101 248 5700 5700 0 5700 0
Scudder Global Com 81115E101 279 57400 57400 0 57400 0
Senior High Income Portfolio Com 81721E107 623 85300 85300 0 85300 0
Telcom NewZealand Sponsored ADR 879278208 1005 31350 31350 0 31350 0
Telefo de Mex'L Sp ADR REP ORD 879403780 677 9514 9514 0 9514 0
Thermo Electron Corp Com 883556102 1051 78250 78250 0 78250 0
Timken Co Com 887389104 790 49000 49000 0 49000 0
Toreador Royalty Cp Com 891041105 2630 751500 750700 800 750700 800
Walmart Com 931142103 217 4575 4575 0 4575 0
Washington Mutual Inc Com 939322103 590 20200 20200 0 20200 0
</TABLE>
