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, 1999
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
15 Broad Street Boston MA 02109
- --------------------------------------------------------------------------------
Business Address (Street) (City) (State) (Zip)
13F File Number: 28-_____________
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
02/14/00
Report Type:
[X] 13F HOLDINGS REPORT.
[ ] 13F NOTICE.
[ ] 13F COMBINATION REPORT.
<PAGE>
Form 13F SUMMARY PAGE
REPORT SUMMARY:
Number of Other Included Managers: None
-----
Form 13F Information Table Entry Total: 58
----
Form 13F Information Table Value Total: 45,710,000
------------
Other Managers on Whose Behalf this Report is Filed:
None
Managers Reporting on Behalf of Reporting Manager:
None
<PAGE>
FORM 13F
INFORMATION TABLE
PAGE 1
<TABLE>
<CAPTION>
- ------------------------------------------------------------------------------------------------------------------------------------
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)
- ------------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Abbott Labs Com 002824100 319 8800 8800 0 8800 0
Act Networks Inc Com 000975102 273 29400 29400 0 29400 0
ADE Corp MA Com 00089C107 546 33102 33102 0 33102 0
AK Steel Hlgs Pfd CV $ 3.625 042170407 1223 22825 22825 0 22825 0
Aust & NZ BnkGrp Sponsored ADR 052528304 1173 32775 32575 200 32575 200
Banc One Corp Com 059438101 364 11400 11400 0 11400 0
Barrick Gold Cp Com 067901108 892 50100 50100 0 50100 0
Bat Mt Gold CDT-CV SB DB6%05 071593AA5 685 700000 700000 0 700000 0
Battle Mtn Gold Pfd Conv $3.25 071593305 444 17300 17100 200 17100 200
Bell Atlantic Com 077853109 264 4296 4296 0 4296 0
BP Amoco Sponsored ADR 055622104 1192 20110 20110 0 20110 0
Bristol Myers Squibb Com 110122108 937 14600 14000 600 14000 600
Broken Hill Prop Sponsored ADR 112169602 379 14280 13840 440 13840 440
Coeur d'Alene SD Conv 6.375%04 192108AE8 015 30000 30000 0 30000 0
Coeur d'Alene Sub Dev CV 6%02 192108AB4 190 190000 190000 0 190000 0
Coeur d'Alene MARCS 192108207 117 32300 32300 0 32300 0
Duke Energy Com 264399106 441 17066 17066 0 17066 0
Duke Energy Com 264399106 834 16650 16650 0 16650 0
Edperbrascan Cp Class A 280905803 587 43550 42850 700 42850 700
Exxon Mobil Com 30231G102 2474 30712 30712 0 30712 0
Federated Department Stores Com 31410H101 884 17500 17500 0 17500 0
First Aust Pr Inc Fd Com 318653102 674 131655 131655 0 131655 0
Ford Motor Co Com 345370100 1554 29150 29150 0 29150 0
General Electric Com 369604103 2128 13753 12753 1000 12353 1400
Grp Telvsa SA De Cv Sp ADR REP ORD 40049J206 2467 36150 36150 0 36150 0
GTE Corp Com 362320103 1040 14750 14750 0 14750 0
H&Q Life Sciences Fd Sh Ben Int 404053100 863 43195 42895 300 42895 300
Hecla Mng Co Pfd Cv Ser B 422704205 599 25100 25100 0 25100 0
Hewlett Packard Com 428236102 1129 9900 9600 300 9600 300
Homestake Mining Com 437614100 187 23975 23975 0 23975 0
Input/Output Com 457652105 582 115050 115050 0 115050 0
Kemper High Income Sh Ben Int 48841G106 368 47900 47900 0 47900 0
Lucent Techn Com 549463197 1287 17212 17212 0 17212 0
MA Health & Educ TE Sh Ben Int 575672100 264 22000 22000 0 22000 0
Meditrust Corp Sh Ben Int 58501T108 112 20455 20455 0 20455 0
Meditronic Com 585055106 309 8490 8490 0 8490 0
Mentor Graphics Corp Com 587200106 626 47500 47500 0 47500 0
Merck&Co Inc Com 589331107 396 5914 5914 0 5914 0
Montana Power Com 612085100 382 10600 10000 600 10000 600
MS/DW Incm Com 61745P874 1108 76100 76100 0 76100 0
New Century Energies Com 64352U103 1379 45400 44600 800 44600 800
Newmont Mining Com 651639106 365 14898 14898 0 14898 0
Novell Inc Com 670006105 1365 34200 34200 0 34200 0
Occidental Petro Crp Com 674599105 1059 49000 49000 0 49000 0
Olin Corp Com 680665205 693 35000 35000 0 35000 0
Pharmacia & Upjohn Com 716941109 940 20900 20800 100 20800 100
Printronix Inc Com 742578107 611 26900 26900 0 26900 0
Schering Plough Corp Com 806605101 241 5700 5700 0 5700 0
Scudder Global Com 81115E101 130 27900 27900 0 27900 0
Senior High Income Portfolio Com 81721E107 843 131000 131000 0 131000 0
Telcom NewZealand Sponsored ADR 879278208 898 23350 23350 0 23350 0
Telecom Italia Spon ADR Ord 87927W106 210 1500 1500 0 1500 0
Telefo de Mex'L Sp ADR REP ORD 879403780 919 8170 8170 0 8170 0
Thermo Electron Corp Com 883556102 998 66550 66550 0 66550 0
Timken Co Com 887389104 835 40100 40100 0 40900 800
Toreador Royalty Cp Com 891041105 3274 747700 748500 800 748500 800
Walmart Com 931142103 291 3813 4213 400 4213 400
Washington Mutual Inc Com 939322103 351 13600 13600 0 13600 0
</TABLE>
