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Herzfeld Caribbean (CUBA)  
$2.46 0.01 (0.33%) as of 4:30 Thu 5/16


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Exchange: Nasdaq Small Cap
Security Type: Mutual Fund
Shares Out: 7,054,000
Market Cap: 17.37(M)
Last Volume: 49,825 Avg Vol: 35,912
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    :  -

 

            6 Months   1 Year   2 Year  
 
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.

 
 
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 2024-02-15 2023-11-14 2023-05-16 2022-05-16

   
Records found: 259
  Page 4 of 11  
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   •       –      –    2022-03-31 4 A $4.89 $54,917 D/D 11,232 218,672     -
   Herzfeld Thomas J Director   –       •      –    2022-03-31 4 A $4.89 $119,123 D/D 24,364 558,249     -
   Herzfeld Thomas J Director   –       •      –    2021-12-31 4/A A $5.28 $115,620 D/D 21,891 533,811     -
   Herzfeld Thomas J Director   –       •      –    2021-12-31 4 A $5.28 $99,046 D/D 18,753 530,673     -
   Gelety John A Director   –       •      –    2021-12-31 4 A $5.28 $597 D/D 113 2,382     -
   Herzfeld Erik Marvin President   •       –      –    2021-12-31 4 A $5.28 $52,293 D/D 9,901 207,440     -
   Tatum Kay W Director   –       •      –    2021-12-31 4 A $5.28 $280 D/D 53 1,116     -
   Gondor Cecilia L Director   –       •      –    2021-12-31 4 A $5.28 $1,590 D/D 301 9,394     -
   Paylor Ryan M Portfolio Manager   –       –      –    2021-12-31 4 A $5.28 $930 D/D 176 3,697     -
   Lieff Ann S Director   –       •      –    2021-12-31 4 A $5.28 $2,150 D/D 407 12,681     -
   Herzfeld Thomas J Director   –       •      –    2021-11-12 4 S $6.98 $351,884 D/D (50,406) 511,919 17%     
   Paylor Ryan M Portfolio Manager   –       –      –    2021-11-12 4 S $6.98 $3,791 D/D (543) 3,520 17%     
   Herzfeld Erik Marvin President   •       –      –    2021-11-12 4 S $6.98 $212,725 D/D (30,472) 197,539 17%     
   Herzfeld Thomas J Director   –       •      –    2021-10-04 4 A $5.68 $443 D/D 78 562,325     -
   Gondor Cecilia L Director   –       •      –    2021-10-01 4 A $5.68 $1,522 D/D 268 9,093     -
   Herzfeld Erik Marvin President   •       –      –    2021-10-01 4 A $5.68 $57,669 D/D 10,157 228,011     -
   Herzfeld Thomas J Director   –       •      –    2021-10-01 4 A $5.68 $20,832 D/D 3,669 562,247     -
   Herzfeld Thomas J Director   –       •      –    2021-09-30 4 A $5.68 $89,028 D/D 15,680 558,578     -
   Paylor Ryan M Portfolio Manager   –       –      –    2021-09-30 4 A $5.68 $1,028 D/D 181 4,063     -
   Paylor Ryan M Portfolio Manager   –       –      –    2021-07-08 4 B $6.14 $12,096 D/D 1,970 3,882 2.44 0%     
   Herzfeld Thomas J Director   –       •      –    2021-03-10 4 S $6.80 $311,037 D/D (45,769) 534,316 -4%     
   Paylor Ryan M Portfolio Manager   –       –      –    2021-03-10 4 S $6.80 $1,808 D/D (266) 1,866 -4%     
   Herzfeld Erik Marvin President   •       –      –    2021-03-10 4 S $6.80 $25,586 D/D (3,765) 217,854 -4%     
   Goldstein Phillip 10% Owner   –       –       •   2020-04-17 4 S $3.55 $5,641 D/D (1,589) 203,931 -8%     
   Goldstein Phillip 10% Owner   –       –       •   2020-04-09 4 S $3.65 $18,889 D/D (5,177) 205,520 -2%     
  259 Records found
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  Page 4 of 11
  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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