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Previous: FEDERAL AGRICULTURAL MORTGAGE CORP, DEFS14A, 1999-04-26 |
Next: FRANKLIN FINANCIAL CORP /TN/, DEF 14A, 1999-04-26 |
SECURITIES AND EXCHANGE COMMISSION
FORM 13F-E
NAME OF REPORTING MANAGER: DANE, FALB, STONE & CO., INC.
Report for the Calendar Year or Quarter Ended: 03/31/99
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:
Peter L Falb, Member
(617)742-0666
Signature, Place and Date of Signing:
/s/ Peter L. Falb
Boston, Massachusetts
4/20/99
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
-----
Form 13F Information Table Entry Total: 53
----
Form 13F Information Table Value Total: 45,857,389
------------
<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 002824 10 0 431 9200 9200 9200
BARRICK GOLD CORP. COM 067901 10 8 305 17850 17850 17850
ADE CORP. MASS COM 00089C 10 7 314 33102 33102 33102
AMER HOME PRODUCTS COM 026609 10 7 211 3235 3235 3235
ALLSTATE CORP COM 020002 10 1 215 5800 5800 5800
ACT NETWORKS INC. COM 000975 10 2 1086 56400 56400 56400
AUSTRALIA & NEW SPONSORED ADR 052528 30 4 1326 36775 36775 36775
ZEALAND BKG GRP 7 200 200 200
ARMCO INC PFD CONV$3.25 042170 40 7 1141 25925 25925 25925
ASCEND COMMUN COM 043491 10 9 1293 15450 15450 15450
17 200 200 200
BELL ATLANTIC CORP COM 077853 10 9 232 4496 4496 4496
21 406 406 406
BROKEN HILL PROP SPONSORED ADR 112169 60 2 278 16140 16140 16140
8 440 440 440
BATTLE MTN GOLD PFD CONV$3.25 071593 30 5 789 23650 23650 23650
7 200 200 200
BANK ONE CORP COM 059438 10 1 650 11804 11804 11804
BRISTOL MYERS SQUIPP COM 110122 10 8 913 14200 14200 14200
39 600 600 600
BP AMACO SPONSORED ADR 055622 10 4 1016 10056 10056 10056
BRITISH STL PIC ADR FINAL INSTALL 111015 30 1 435 21566 21566 21566
COEUR D' ALENE MINES CORP. MARCS 192108 20 7 645 103200 103200 103200
DUKE ENERGY CORP. COM 264399 10 6 1112 20350 20350 20350
EDPERBRSAEAN CP LIMITED VOTING. CLASS A 280905 80 3 562 47350 47350 47350
8 700 700 700
EXXON CORP COM 302290 10 1 1447 20500 20500 20500
FIRST AUST PR INC FD COM 318653 10 2 964 157405 157405 157405
FORD MOTOR CO DEL COM 345370 10 0 1976 34850 34850 34850
GENERAL ELECTRIC COM 369604 10 3 1459 13193 13193 13193
111 1000 1000 1000
GRUPO TELEVISA SA DE CV Sp ADR REP ORD 40049J 20 6 1683 53650 53650 53650
GTE CORP COM 362320 10 3 977 16150 16150 16150
12 200 200 200
H&Q LIFE SCIENCES INVS Sh Ben Int 404053 10 0 550 50027 50027 50027
3 300 300 300
HECLA MNG CO. PFD CV SER B 422704 20 5 1672 47100 47100 47100
HEWLETT PACKARD CO. COM 428236 10 2 1431 21100 21100 21100
20 300 300 300
HOMESTAKE MNG CO. COM 437614 10 0 355 41125 41125 41125
INPUT/OUTPUT INC. COM 457652 10 5 678 107450 107450 107450
INTERNATIONAL BUSINESS MACHINES COM 459200 10 1 222 1250 1250 1250
KELLY OIL & GAS SRSCCV 8.5%00 487736 AA 8 158 225000 225000 225000
LUCENT TECHNOLOGIES COM 549463 19 7 558 5178 5178 5178
22 200 200 200
MASS HEALTH & EDUCATION TxEx ShBenInt 575672 10 0 261 18000 18000 18000
MEDITRUST CORP ShBenInt 58501T 10 8 606 48719 48719 48719
MEDITRONIC INC. COM 585055 10 6 317 4400 4400 4400
MERCK & CO. INC. COM 589331 10 7 481 6000 6000 6000
MOBIL CORP. COM 607059 10 2 727 8266 8266 8266
MONTANA POWER CO. COM 612085 10 0 1935 26300 26300 26300
51 700 700 700
MS/DW INCM INCOME SERC COM 61745P 87 4 1510 81600 81600 81600
NEW CENTURY ENERGIES COM 64352U 10 3 1550 45500 45500 45500
51 1500 1500 1500
NEWMONT MINING COM 651639 10 6 309 17681 17681 17681
NOVELL INC. COM 670006 10 5 1138 45200 45200 45200
OCCIDENTAL PETE CRP DEL COM 674599 10 5 1098 61000 61000 61000
PHARMACIN & UPJOHN INC COM 716941 10 9 1485 23800 23800 23800
6 100 100 100
PRINTONIX COM 742578 10 7 344 30900 30900 30900
SCHERING PLOUGH CP COM 806605 10 1 287 5200 5200 5200
SCUDDER GLOBAL HIGH INC FD COM 81115E 10 1 312 60800 60800 60800
TELECOM CORP NEW ZEALAND Sponsored ADR 879278 20 8 1262 32350 32350 32350
TELEPHONO DE MEXICO Sp adr REP ORD 879403 78 0 1116 17039 17039 17039
THERMO ELECTRON CP COM 883556 10 2 1079 79575 79575 79575
TIMKEN CO. COM 887389 10 4 523 32200 32200 32200
TOREADOR ROYALTY CORP. COM 891041 10 5 1801 600200 600200 600200
2 800 800 800
WALMART STORES INC. COM 931142 10 3 236 2561 2561 2561
18 200 200 200
------ ------- -------- ----- ------
REPORT SUMMARY 53 DATA RECORDS 45857 2,525,863 2,517,817 8,046 2,525,863
0 OTHER MANAGERS ON WHOSE BEHALF REPORT IS FILED
</TABLE>
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