UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F
FORM 13f Cover Page
Report for the Calendar Year or Quarter Ended: September 30, 2000
If amended report check here: |X| Amendment Number: 1
---
This Amendment (Check only one): |X| 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: 28-02423
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
11/17/00
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: 66
----
Form 13F Information Table Value Total: $ 47,773,882.00
-----------------
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 418 8800 8800 0 8800 0
ADE Corp MA Com 00089C107 678 33102 33102 0 33102 0
AK Steel Hlgs Pfd CV $ 3.625 042170407 955 21225 21225 0 21225 0
Alliance World Dollar Gov Com 01879R106 105 11622 11622 0 11622 0
Atmos Energy Corp Com 049560105 455 22100 21800 300 21800 300
Aust & NZ BnkGrp Sponsored ADR 052528304 1158 32175 31975 200 31975 200
Banc One Corp Com 059438101 409 10600 10600 0 10600 0
Barrick Gold Cp Com 067901108 821 54100 54100 0 54100 0
Bat Mt Gold CDT-CV SB DB6%05 071593AA5 686 700000 700000 0 700000 0
Battle Mtn Gold Pfd Conv $3.25 071593305 573 18400 18200 200 18200 200
BP Amoco Sponsored ADR 055622104 1190 22436 22436 0 22436 0
Brascan Corp CL A LTD VT SH 10549P606 566 43550 42850 700 42850 700
Bristol Myers Squibb Com 110122108 856 15000 14400 600 14400 600
Broken Hill Prop Sponsored ADR 112169602 295 14280 13840 440 13840 440
Cigna Corp Com 17179X106 217 2100 2100 0 2100 0
Clarent Corp Com 180461105 340 8656 8656 0 8656 0
Coeur d'Alene Com 192108108 058 42435 42435 0 42435 0
Corus Group Sponsored ADR 22087M101 108 14000 14000 0 14000 0
Duke Energy Com 264399106 1367 15950 15950 0 15950 0
El Paso Energy Com 283905107 206 3332 3332 0 3332 0
Exxon Mobil Corp Com 30231G102 2452 27516 27516 0 27516 0
Federal Mogul Corp Com 313549107 194 36200 36200 0 36200 0
Federated Department Stores Com 31410H101 695 26500 26500 0 26500 0
First Aust Pr Inc Fd Com 318653102 548 129015 129015 0 129015 0
Ford Motor Co Com 345370100 1118 44069 44069 0 44069 0
General Electric Com 369604103 2184 37820 34820 3000 34820 3000
Grp Telvsa SA De Cv Sp ADR REP ORD 40049J206 1096 19000 19000 0 19000 0
H&Q Life Sciences Fd Sh Ben Int 404053100 652 20829 20529 300 20529 300
Halliburton Com 406216101 224 4600 4200 400 4200 400
Hecla Mng Co Pfd Cv Ser B 422704205 243 24300 24300 0 24300 0
Hewlett Packard Com 428236102 815 8400 8100 300 8100 300
Homestake Mining Com 437614100 099 19475 19475 0 19475 0
Input/Output Com 457652105 1255 132150 132150 0 132150 0
Kemper High Income Sh Ben Int 48841G106 409 49300 49300 0 49300 0
Lubrizol Corporation Com 549271104 776 39300 39300 0 39300 0
Lucent Techn Com 549463197 457 15004 15004 0 15004 0
MacroChem Corp Com 555903103 041 10800 10800 0 10800 0
MA Health & Educ TE Sh Ben Int 575672100 277 22000 22000 0 22000 0
Meditronic Com 585055106 428 8245 8245 0 8245 0
Mentor Graphics Corp Com 587200106 1079 45800 45800 0 45800 0
Merck&Co Inc Com 589331107 462 6214 6214 0 6214 0
Montana Power Com 612085100 253 7600 7000 600 7000 600
MS/DW Incm Com 61745P874 1187 73900 73900 0 73900 0
Newmont Mining Com 651639106 220 12898 12898 0 12898 0
Nortel Networks Com 656568102 512 8588 8588 0 8588 0
Novell Inc Com 670006105 363 36600 36600 0 36600 0
Nuveen Calif Mun Value Fd Com 67062C107 100 10802 10802 0 10802 0
Occidental Petro Crp Com 674599105 990 45300 45300 0 45300 0
Olin Corp Com 680665205 533 33100 33100 0 33100 0
Pharmacia Corp Com 71713U102 1432 23681 23681 0 23681 0
Printronix Inc Com 742578107 169 17800 17800 0 17800 0
Schering Plough Corp Com 806605101 283 6100 6100 0 6100 0
Scudder Global Com 81115E101 156 30200 30200 0 30200 0
Senior High Income Portfolio Com 81721E107 810 127100 127100 0 127100 0
ST Paul Cos Com 792860958 216 4400 4400 0 4400 0
Standard Register Co. Com 853887107 582 37400 37400 0 37400 0
Telcom NewZealand Sponsored ADR 879278208 521 26050 26050 0 26050 0
Telefo de Mex'L Sp ADR REP ORD 879403780 701 13182 13182 0 13182 0
Thermo Electron Corp Com 883556102 1608 61850 61850 0 61850 0
Timken Co Com 887389104 526 38500 38500 0 38500 0
Toreador Research Com 891050106 3753 600600 599800 800 599800 800
Trinity Industries, Inc. Com 896522109 754 32200 32200 0 32200 0
TXU Corporation Com 873168108 1024 25850 25850 0 25850 0
Verizon Comm Com 92343V104 1054 21803 21803 0 21803 0
Washington Mutual Inc Com 939322103 1154 28900 28900 0 28900 0
Xcel Energy Com 98389B100 1878 68325 67085 1240 67085 1240
</TABLE>
