| |
| |
| Exchange: |
Nasdaq Small Cap |
| Security
Type: |
Mutual Fund |
| Shares
Out: |
7,054,000 |
| Market
Cap: |
17.74(M) |
| Last
Volume: |
121,436 |
Avg
Vol: |
36,148 |
| 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 : - |
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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.
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D/I:
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|
D
is for direct shares.
I is
for indirect shares.
D/I
refers to the Direct or Indirect
shares traded vs. held. |
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Forms:
|
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|
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. |
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3m +/-:
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|
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.
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Actions:
|
|
|
| B |
Buy |
| S |
Sell |
| OE |
Option
Exercised |
| A |
Acquired |
| D |
Disposed |
| AB |
Automatic
Buy |
| AS |
Automatic
Sell |
| IO |
Initial
Ownership |
|
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|
Download:
|
|
|
Download only Transactions
Forms. (Default)
Download
only Summary Infomation.
Download
both Transactions and Summary Data
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| |
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 |
2024-03-03 |
2023-12-01 |
2023-06-02 |
2022-06-02 |
|
| 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 |
Portfolio Manager |
• – – |
2014-12-12 |
4 |
OE |
$6.77 |
$693,905 |
D/D |
102,497 |
163,258 |
|
- |
|
| Gondor Cecilia L |
Director |
– • – |
2014-12-04 |
4 |
OE |
$6.77 |
$6,113 |
D/D |
903 |
3,612 |
|
- |
|
| Lieff Ann S |
Director |
– • – |
2014-12-04 |
4 |
OE |
$6.77 |
$22,761 |
D/D |
3,362 |
13,446 |
|
- |
|
| Herzfeld Thomas J |
PRESIDENT |
• • – |
2014-12-04 |
4 |
OE |
$6.77 |
$406,126 |
D/D |
59,989 |
250,717 |
|
- |
|
| Tatum Kay W |
Director |
– • – |
2014-12-04 |
4 |
OE |
$6.77 |
$1,368 |
D/D |
202 |
806 |
|
- |
|
| Gelety John A |
Director |
– • – |
2014-12-04 |
4 |
OE |
$6.77 |
$2,938 |
D/D |
434 |
1,734 |
|
- |
|
| Herzfeld Erik Marvin |
Portfolio Manager |
• – – |
2014-12-04 |
4 |
OE |
$6.77 |
$102,843 |
D/D |
15,191 |
60,761 |
|
- |
|
| Gondor Cecilia L |
Director |
– • – |
2014-09-11 |
3 |
IO |
$0.00 |
$0 |
D/D |
0 |
2,709 |
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- |
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208 Records found
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Page 9 of 9 |
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Transaction Code Key: |
Ownership Code Key |
| |
B |
- Buy |
AB |
- Automatic Buy |
D |
- Direct Ownership |
| |
S |
- Sell |
AS |
- Automatic Sell |
I |
- Indirect Ownership |
| |
OE |
- Options Exercised |
A |
- Acquired |
| |
IO |
- Initital Ownership |
D |
- Disposed |
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0.02 (0.6%) 
