|
|
Exchange: |
Nasdaq Small Cap |
Security
Type: |
Mutual Fund |
Shares
Out: |
7,054,000 |
Market
Cap: |
16.44(M) |
Last
Volume: |
71,829 |
Avg
Vol: |
36,355 |
52
Week Range: |
$2.25 - $4.06 |
|
Level
I Sector: |
Financials |
Level
II Sector: |
Financial Services |
Level
III Sector: |
Closed - End Fund - Foreign |
|
Member Indexes:
|
Rankings:
|
Insider 3 Months : - |
Insider 6 Months : - |
Insider 3/6 Months : - |
|
Guru Rank Number : - |
Guru Rank Value : - |
Guru Occurances : - |
|
|
|
|
|
|
|
Company Profile The Herzfeld Caribbean Basin Fund is a closed-end management investment company. The Fund's investment objective is to obtain long-term capital appreciation by investing primarily in equity and equity-linked securities of public and private companies, including United States-based companies: whose securities are traded on a stock exchange in a Caribbean Basin Country; or that have at least 50% of the value of their assets in a Caribbean Basin Country; or that derive at least 50% of their total revenue from operations in a Caribbean Basin Country. Under normal conditions, the Fund invests at least 80% of its total assets in equity and equity-linked securities of Caribbean Basin Countries.
|
|
D/I:
|
|
|
D
is for direct shares.
I is
for indirect shares.
D/I
refers to the Direct or Indirect
shares traded vs. held. |
|
|
Forms:
|
|
|
A
Form 4 is a form filed
by an insider to indicate a change
in ownership.
A Form
3 is a form filed by
an insider to indicate an
initial ownership of a security. |
|
|
3m +/-:
|
|
|
This
represents the company's 3 month
price change. The initial price
is based on the closing price
of the stock on the day the transaction
took place. Purchases & sales
are viewed as long & short
positions respectively.
|
|
|
Actions:
|
|
|
B |
Buy |
S |
Sell |
OE |
Option
Exercised |
A |
Acquired |
D |
Disposed |
AB |
Automatic
Buy |
AS |
Automatic
Sell |
IO |
Initial
Ownership |
|
|
|
Download:
|
|
|
Download only Transactions
Forms. (Default)
Download
only Summary Infomation.
Download
both Transactions and Summary Data
|
|
|
|
|
|
|
Summary (Direct Transactions Only) |
3 Months |
6 Months |
12 Months |
24 Months |
Total Shares Bought |
0 |
0 |
0 |
1,000 |
Total Buy Value |
$0 |
$0 |
$0 |
$3,850 |
Total People Bought |
0 |
0 |
0 |
1 |
Total Buy Transactions |
0 |
0 |
0 |
1 |
Total Shares Sold |
0 |
0 |
0 |
105,963 |
Total Sell Value |
$0 |
$0 |
$0 |
$527,939 |
Total People Sold |
0 |
0 |
0 |
3 |
Total Sell Transactions |
0 |
0 |
0 |
3 |
End Date |
2024-03-10 |
2023-12-08 |
2023-06-09 |
2022-06-09 |
|
Filer's Name |
Relation Title |
Off-Dir-10% |
Tran. Date |
Form |
Action |
Price |
Mkt Value |
D/I |
Shares |
Holdings |
Rank
|
|
|
3m +/- |
|
|
Form |
Herzfeld Erik Marvin |
President |
|
2023-12-13 |
4 |
OE |
$2.31 |
$275,879 |
D/D |
119,428 |
339,508 |
|
- |
|
Herzfeld Thomas J |
Director |
|
2023-12-13 |
4 |
OE |
$2.31 |
$1,387,920 |
D/D |
600,831 |
1,202,270 |
|
- |
|
Gondor Cecilia L |
Director |
|
2023-12-13 |
4 |
OE |
$2.31 |
$28,623 |
D/D |
12,391 |
24,782 |
|
- |
|
Tatum Kay W |
Director |
|
2023-12-13 |
4 |
OE |
$2.31 |
$3,430 |
D/D |
1,485 |
2,970 |
|
- |
|
Lieff Ann S |
Director |
|
2023-12-13 |
4 |
OE |
$2.31 |
$35,163 |
D/D |
15,222 |
30,444 |
|
- |
|
Herzfeld Thomas J |
Director |
|
2023-06-30 |
4/A |
A |
$3.90 |
$84,539 |
D/D |
21,661 |
600,830 |
|
- |
|
Paylor Ryan M |
Portfolio Manager |
|
2023-06-30 |
4 |
A |
$3.90 |
$441 |
D/D |
113 |
4,033 |
|
- |
|
Herzfeld Thomas J |
Director |
|
2023-06-30 |
4 |
A |
$3.90 |
$86,915 |
D/D |
22,270 |
601,439 |
|
- |
|
Gondor Cecilia L |
Director |
|
2023-06-30 |
4 |
A |
$3.90 |
$1,358 |
D/D |
348 |
12,391 |
|
- |
|
Tatum Kay W |
Director |
|
2023-06-30 |
4 |
A |
$3.90 |
$246 |
D/D |
63 |
1,485 |
|
- |
|
Herzfeld Erik Marvin |
President |
|
2023-06-30 |
4 |
A |
$3.90 |
$25,805 |
D/D |
6,612 |
220,080 |
|
- |
|
Lieff Ann S |
Director |
|
2023-06-30 |
4 |
A |
$3.90 |
$1,670 |
D/D |
428 |
15,222 |
|
- |
|
Gelety John A |
Director |
|
2023-06-30 |
4 |
A |
$3.90 |
$527 |
D/D |
135 |
3,171 |
|
- |
|
Herzfeld Thomas J |
Director |
|
2022-12-30 |
4 |
A |
$3.96 |
$79,419 |
D/D |
20,077 |
556,564 |
|
- |
|
Paylor Ryan M |
Portfolio Manager |
|
2022-12-30 |
4 |
A |
$3.96 |
$403 |
D/D |
102 |
3,803 |
|
- |
|
Lieff Ann S |
Director |
|
2022-12-30 |
4 |
A |
$3.96 |
$1,523 |
D/D |
385 |
14,353 |
|
- |
|
Gelety John A |
Director |
|
2022-12-30 |
4 |
A |
$3.96 |
$479 |
D/D |
121 |
2,900 |
|
- |
|
Herzfeld Erik Marvin |
President |
|
2022-12-30 |
4 |
A |
$3.96 |
$23,517 |
D/D |
5,945 |
206,680 |
|
- |
|
Gondor Cecilia L |
Director |
|
2022-12-30 |
4 |
A |
$3.96 |
$1,234 |
D/D |
312 |
11,684 |
|
- |
|
Tatum Kay W |
Director |
|
2022-12-30 |
4 |
A |
$3.96 |
$225 |
D/D |
57 |
1,359 |
|
- |
|
Paylor Ryan M |
Portfolio Manager |
|
2022-11-14 |
4 |
S |
$4.98 |
$3,064 |
D/D |
(615) |
3,701 |
|
16% |
|
Herzfeld Erik Marvin |
President |
|
2022-11-14 |
4 |
S |
$4.98 |
$166,234 |
D/D |
(33,365) |
200,735 |
|
16% |
|
Herzfeld Thomas J |
Director |
|
2022-11-14 |
4 |
S |
$4.98 |
$358,641 |
D/D |
(71,983) |
536,489 |
|
16% |
|
Herzfeld Thomas J |
Director |
|
2022-09-30 |
4 |
A |
$4.25 |
$86,020 |
D/D |
20,259 |
608,470 |
|
- |
|
Gelety John A |
Director |
|
2022-09-30 |
4 |
A |
$4.25 |
$463 |
D/D |
109 |
2,779 |
|
- |
|
208 Records found
|
|
Page 2 of 9 |
|
|