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Herzfeld Caribbean Basin Fund (CUBA)

The Herzfeld Caribbean Basin Fund, Inc. operates as a non-diversified and closed-end management investment company. It invests in equity and equity-linked securities of public and private companies. The company was founded on March 10, 1992 and is headquartered in Miami Beach, FL.

Company profile

Ticker
CUBA
Exchange
NASDAQ
Website
www.herzfeld.com
CEO
Erik Herzfeld
Employees
Incorporated
Maryland
Location
Florida
Fiscal year end
Jun 30
Sector
Miscellaneous > Investment Trusts/Mutual Funds
SEC CIK
0000880406
IRS number
650396889

CUBA stock data

News

From Benzinga Pro
Stocks That Hit 52-Week Lows On Wednesday
15 Jun 22
Wednesday's session saw 269 companies set new 52-week lows.
Stocks That Hit 52-Week Lows On Monday
13 Jun 22
During Monday's trading, 1214 companies set new 52-week lows.
Stocks That Hit 52-Week Lows On Wednesday
25 May 22
On Wednesday, 215 companies set new 52-week lows.
Stocks That Hit 52-Week Lows On Tuesday
24 May 22
Stocks That Hit 52-Week Lows On Monday
23 May 22

Press releases

From Benzinga Pro
The Herzfeld Caribbean Basin Fund, Inc. Quarterly Distribution in Stock and Cash
5 Aug 22
MIAMI BEACH, Fla., Aug. 05, 2022 (GLOBE NEWSWIRE) -- The Herzfeld Caribbean Basin Fund, Inc. (NASDAQ:CUBA) (the "Fund") today announced that the Fund has made changes to its managed distribution policy (the "Policy")
The Herzfeld Caribbean Basin Fund, Inc. Pays Quarterly Distribution
30 Jun 22
MIAMI BEACH, Fla., June 30, 2022 (GLOBE NEWSWIRE) -- The Herzfeld Caribbean Basin Fund, Inc. (NASDAQ:CUBA) (the "Fund") today announced that the Fund has made the following distribution pursuant to the Fund's managed
The Herzfeld Caribbean Basin Fund, Inc. Extends its Managed Distribution Policy and Self-Tender Policy
19 May 22
MIAMI BEACH, Fla., May 19, 2022 (GLOBE NEWSWIRE) -- The Herzfeld Caribbean Basin Fund, Inc. (NASDAQ:CUBA) (the "Fund") today announced that the Board of Directors of the Fund has authorized the extension of the Fund's
The Herzfeld Caribbean Basin Fund, Inc. Quarterly Distribution in Stock and Cash
13 May 22

Funds

Data from SEC filings
Series Ticker %Monthly Return ? $Assets #Holdings As of
Herzfeld Caribbean Basin Fund, Inc. – -6.81 -0.35 2.21 37.59M 42 Mar 2022

Calendar

7 Mar 22
11 Aug 22
30 Jun 23

Recent insider trades

CUBA insider ownership history Insider history
Date Owner Security Transaction Code Indirect 10b5-1 $Price #Shares $Value #Remaining
30 Jun 22 Ryan M Paylor Common stock Other Acquire J No No 4.1379 249 1.03K 4,146
30 Jun 22 Kay W Tatum Common stock Other Acquire J No No 4.1379 75 310.34 1,251
30 Jun 22 Gondor Cecilia L Common stock Other Acquire J No No 4.1379 381 1.58K 11,093
30 Jun 22 Herzfeld Erik Mervin Common stock Other Acquire J No No 4.1379 9,240 38.23K 227,912
30 Jun 22 Ann S Lieff Common stock Other Acquire J No No 4.1379 514 2.13K 13,625
Data from 3, 4 and 5 filings. Values as filed, not updated for current price.

Institutional ownership, Q1 2022

CUBA institutional ownership history Ownership history
13.2% owned by funds/institutions
13F holders Current Prev Q Change
Total holders 15 20 -25.0%
Opened positions 3 5 -40.0%
Closed positions 8 2 +300.0%
Increased positions 5 10 -50.0%
Reduced positions 7 5 +40.0%
13F shares Current Prev Q Change
Total value 4.28M 5.4M -20.6%
Total shares 806.89K 974.72K -17.2%
Total puts 0 0
Total calls 0 0
Total put/call ratio – – –
Largest owners Shares Value Change
Thomas J. Herzfeld Advisors 505.15K $2.68M -2.4%
CSS 93.47K $496K +1.9%
City Of London Investment Management 80.84K $427K -13.0%
Clough Capital Partners L P 34.21K $182K +69.3%
LNC Lincoln National 28.64K $152K -8.8%
Blue Bell Private Wealth Management 18.96K $101K -4.3%
Cambridge Investment Research Advisors 16.8K $89K +8.0%
Twin Focus Capital Partners 15.37K $82K -29.3%
RY Royal Bank Of Canada 4K $22K -0.3%
MS Morgan Stanley 3.88K $21K -20.6%
Largest transactions Shares Bought/sold Change
Matisse Capital 0 -69.45K EXIT
Shaker Financial Services 0 -30.3K EXIT
Wolverine Asset Management 0 -27.21K EXIT
Clough Capital Partners L P 34.21K +14K +69.3%
Thomas J. Herzfeld Advisors 505.15K -12.45K -2.4%
City Of London Investment Management 80.84K -12.1K -13.0%
Logan Stone Capital 0 -11.93K EXIT
WFC Wells Fargo & Co. 0 -10.03K EXIT
Twin Focus Capital Partners 15.37K -6.36K -29.3%
Clearstead Advisors 3.8K +3.8K NEW
Data from 13F filings, for the last complete 13F reporting period. For most recent data, click the ownership history button. Values as filed, not updated for current price. Long positions only.
Financial reports
View all
N-CSRS
Certified semi-annual shareholder report (management investment company)
7 Mar 22
N-CSR/A
Certified annual shareholder report (management investment company) (amended)
8 Sep 21
N-CSR/A
Certified annual shareholder report (management investment company) (amended)
7 Sep 21
N-CEN
Annual report (registered investment company)
3 Sep 21
N-CSR
Certified annual shareholder report (management investment company)
2 Sep 21
N-CSRS
Certified semi-annual shareholder report (management investment company)
26 Feb 21
N-CEN
Annual report (registered investment company)
10 Sep 20
N-CSR
Certified annual shareholder report (management investment company)
4 Sep 20
N-CSRS
Certified semi-annual shareholder report (management investment company)
3 Mar 20
N-CSR
Certified annual shareholder report (management investment company)
9 Sep 19
Current reports
8-K
Other Events
30 Jun 15
8-K
Other Events
25 Nov 14
8-K
Revised Expiration Date for its Non-Transferable Rights Offering
20 Sep 07
8-K
Other Events
16 Sep 07
8-K
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard
7 Aug 07
8-K
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard
29 Jul 07
8-K/A
Financial Statements and Exhibits
21 Nov 06
8-K
Other Events
15 Nov 06
Registration and prospectus
View all
SC TO-I/A
Issuer tender offer statement (amended)
12 Nov 21
SC TO-I
Issuer tender offer statement
12 Oct 21
SC TO-C
Information about tender offer
4 Oct 21
SC TO-C
Information about tender offer
20 Aug 21
RW
Registration withdrawal request
14 Apr 21
SC TO-I/A
Issuer tender offer statement (amended)
8 Mar 21
SC TO-C
Information about tender offer
5 Mar 21
SC TO-I
Issuer tender offer statement
12 Feb 21
SC TO-C
Information about tender offer
29 Jan 21
SC TO-C
Information about tender offer
17 Dec 20
Proxies
View all
N-PX
Annual report of proxy voting record
10 Aug 22
DEF 14A
Definitive proxy
1 Oct 21
N-PX
Annual report of proxy voting record
27 Aug 21
DEF 14A
Definitive proxy
31 Aug 20
N-PX
Annual report of proxy voting record
14 Aug 20
DEF 14A
Definitive proxy
30 Sep 19
N-PX
Annual report of proxy voting record
28 Aug 19
DEF 14A
Definitive proxy
28 Aug 18
N-PX
Annual report of proxy voting record
22 Aug 18
DEF 14A
Definitive proxy
28 Aug 17
Other
View all
EFFECT
Notice of effectiveness
2 Jul 21
CORRESP
Correspondence with SEC
28 Jun 21
UPLOAD
Letter from SEC
27 Apr 21
UPLOAD
Letter from SEC
21 Jun 18
EFFECT
Notice of effectiveness
12 Jun 18
CORRESP
Correspondence with SEC
7 Jun 18
CORRESP
Correspondence with SEC
7 Jun 18
CORRESP
Correspondence with SEC
7 Jun 18
CORRESP
Correspondence with SEC
24 Nov 15
EFFECT
Notice of effectiveness
1 Nov 15
Ownership
View all
4
HERZFELD CARIBBEAN BASIN FUND / John A Gelety ownership change
5 Jul 22
4
HERZFELD CARIBBEAN BASIN FUND / THOMAS J HERZFELD ownership change
5 Jul 22
4
HERZFELD CARIBBEAN BASIN FUND / ANN S LIEFF ownership change
5 Jul 22
4
HERZFELD CARIBBEAN BASIN FUND / Erik Mervin Herzfeld ownership change
5 Jul 22
4
HERZFELD CARIBBEAN BASIN FUND / CECILIA L GONDOR ownership change
5 Jul 22
4
HERZFELD CARIBBEAN BASIN FUND / KAY W TATUM ownership change
5 Jul 22
4
HERZFELD CARIBBEAN BASIN FUND / Ryan M Paylor ownership change
5 Jul 22
4
HERZFELD CARIBBEAN BASIN FUND / CECILIA L GONDOR ownership change
22 Jun 22
NPORT-P
Herzfeld Caribbean Basin Fund, Inc. (Mar 2022 report)
27 May 22
4
HERZFELD CARIBBEAN BASIN FUND / Ryan M Paylor ownership change
4 Apr 22

Reddit threads

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