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
Website
CEO
Erik Herzfeld
Employees
Incorporated
Location
Fiscal year end
SEC CIK
IRS number
650396889
CUBA stock data
Latest filings (excl ownership)
SC TO-I/A
Issuer tender offer statement (amended)
25 Mar 24
SC TO-I/A
Issuer tender offer statement (amended)
20 Mar 24
N-CSRS/A
Certified semi-annual shareholder report (management investment company) (amended)
14 Mar 24
N-CSRS
Certified semi-annual shareholder report (management investment company)
7 Mar 24
SC TO-I
Issuer tender offer statement
20 Feb 24
SC TO-C
Information about tender offer
9 Feb 24
SC TO-C
Information about tender offer
22 Nov 23
424B3
Prospectus supplement
22 Nov 23
424B1
Prospectus with pricing info
7 Nov 23
EFFECT
Notice of effectiveness
30 Oct 23
Latest ownership filings
SC 13D/A
HERZFELD THOMAS J
27 Mar 24
4/A
THOMAS J HERZFELD
26 Mar 24
4/A
Ryan M Paylor
26 Mar 24
4/A
John A Gelety
26 Mar 24
4/A
Erik Mervin Herzfeld
26 Mar 24
4
Erik Mervin Herzfeld
21 Mar 24
4
John A Gelety
21 Mar 24
4
THOMAS J HERZFELD
21 Mar 24
4
Ryan M Paylor
21 Mar 24
NPORT-P
Herzfeld Caribbean Basin Fund, Inc. (Dec 2023 report)
29 Feb 24
Funds
Series | Ticker | %Monthly Return ? | $Assets | #Holdings | As of | ||
---|---|---|---|---|---|---|---|
Herzfeld Caribbean Basin Fund, Inc. | – | 4.23 | -5.79 | -6.56 | 32.73 mm | 45 | Sep 2023 |
Institutional ownership, Q2 2023
14.4% owned by funds/institutions
13F holders | Current |
---|---|
Total holders | 18 |
Opened positions | 3 |
Closed positions | 2 |
Increased positions | 8 |
Reduced positions | 5 |
13F shares | Current |
---|---|
Total value | 3.98 bn |
Total shares | 1.03 mm |
Total puts | 0.00 |
Total calls | 0.00 |
Total put/call ratio | – |
Largest owners | Shares | Value |
---|---|---|
Thomas J. Herzfeld Advisors | 472.06 k | $1.86 bn |
Matisse Capital | 184.40 k | $728.39 mm |
CSS | 156.02 k | $616.29 mm |
Clough Capital Partners L P | 60.29 k | $238.14 mm |
LNC Lincoln National | 38.31 k | $151.32 mm |
Wolverine Asset Management | 28.90 k | $114.17 mm |
Cambridge Investment Research Advisors | 21.73 k | $86.00 k |
Twin Focus Capital Partners | 12.88 k | $50.88 mm |
Blue Bell Private Wealth Management | 12.80 k | $50.55 mm |
National Asset Management | 11.12 k | $44.03 mm |
Recent insider trades
Date | Owner | Security | Transaction | Code | Indirect | 10b5-1 | $Price | #Shares | $Value | #Remaining |
---|---|---|---|---|---|---|---|---|---|---|
19 Mar 24 | Ryan M Paylor | Common stock | Sale back to company | Dispose D | No | No | 3.3833 | 2,934 | 9.93 k | 18,657 |
19 Mar 24 | Herzfeld Thomas J | Common stock | Sale back to company | Dispose D | No | No | 3.3833 | 229,068 | 775.01 k | 1,456,498 |
19 Mar 24 | John A Gelety | Common stock | Sale back to company | Dispose D | No | No | 3.3833 | 906 | 3.07 k | 5,760 |
19 Mar 24 | Herzfeld Erik Mervin | Common stock | Sale back to company | Dispose D | No | No | 3.3833 | 64,010 | 216.57 k | 407,002 |
19 Mar 24 | John A Gelety | Common stock | Sale back to company | Dispose D | No | No | 3.3833 | 908 | 3.07 k | 5,759 |
Press releases
The Herzfeld Caribbean Basin Fund, Inc. ANNOUNCES PRELIMINARY TENDER OFFER RESULTS
20 Mar 24
The Herzfeld Caribbean Basin Fund, Inc. Commences Tender Offer for up to 10% of Outstanding Common Shares
20 Feb 24
The Herzfeld Caribbean Basin Fund, Inc. Announces Quarterly Distribution in Stock and Cash
12 Feb 24
The Herzfeld Caribbean Basin Fund, Inc. To Conduct a Tender Offer for up to 10% of Outstanding Common Shares
9 Feb 24
The Herzfeld Caribbean Basin Fund, Inc. Pays Quarterly Distribution
31 Jan 24