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| CIK | 880406 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Herzfeld Credit Income Fund, Inc.
SEC Filings (Chronological Order)
Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.
| August 25, 2025 |
Herzfeld Credit Income Fund, Inc. SC TO-C Exhibit 99.1 Herzfeld Credit Income Fund, Inc. To Conduct a Tender Offer for up to 5% of Outstanding Common Shares MIAMI BEACH, Fla., August 25, 2025 — Thomas J. Herzfeld Advisors, Inc., an SEC-registered investment advisor, today announced its intention to commence a Tender Offer by Herzfeld Credit Income Fund, Inc. (Nasdaq: HERZ) (the “Fund”) beginning i |
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| August 25, 2025 |
As filed with the Securities and Exchange Commission on August 25, 2025 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| July 16, 2025 |
THE herzfeld carribean basin fund, inc. TERMS AND CONDITIONS OF the DIVIDEND REINVESTMENT PLAN THE herzfeld carribean basin fund, inc. TERMS AND CONDITIONS OF the DIVIDEND REINVESTMENT PLAN Registered holders (“Stockholders”) of shares of common stock, $0.001 par value (“Common Stock”) of Herzfeld Caribbean Basin Fund, Inc. (the “Fund”) will automatically be enrolled (“Participants”) in the Fund’s Dividend Reinvestment Plan (the “Plan”) and are advised as follows: 1. Equiniti & Trust Compan |
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| July 16, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 16, 2025 HERZFELD CREDIT INCOME FUND, INC. (Exact name of registrant as specified in its charter Maryland 811-06445 65-0396889 (State or other jurisdiction of incorporation) (Com |
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| July 16, 2025 |
Herzfeld Credit Income Fund, Inc. Announces Board Approval of Change in Dividend Reinvestment Policy Herzfeld Credit Income Fund, Inc. Announces Board Approval of Change in Dividend Reinvestment Policy MIAMI BEACH, FLA., July 16, 2025 – Herzfeld Credit Income Fund, Inc. (NASDAQ: HERZ) (the “Fund”) today announced that the Fund’s Board of Directors (“Board”) approved amendments to the Fund’s Dividend Reinvestment Plan (the “Plan”), on May 8, 2025. The changes to the Plan will become effective thir |
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| June 18, 2025 |
The Herzfeld Caribbean Basin Fund, Inc. Announces Results of Special Meeting of Stockholders; Approval of Conversion of Fund to CLO Equity Strategy MIAMI BEACH, FLA., June 18 2025 –The Herzfeld Caribbean Basin Fund, Inc. (NASDAQ: CUBA) (the “Fund”) today announced that the Fund’s Stockholders have approved the Fund’s conversion from its current investment strategy to focus on a “CLO Equity Strateg |
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| June 18, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 18, 2025 THE HERZFELD CARIBBEAN BASIN FUND, INC. (Exact name of registrant as specified in its charter Maryland 811-06445 65-0396889 (State or other jurisdiction of incorporation |
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| June 3, 2025 |
United states Securities and exchange commission Washington, D.C. 20549 Schedule 14a (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No.) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] |
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| June 3, 2025 |
Troutman Pepper Locke LLP 305 Church at N. Hills Street, Suite 1200 Raleigh, NC 27609 troutman.com James L. Severs [email protected] June 3, 2025 Division of Investment Management U.S. Securities and Exchange Commission 100 F Street, NE Washington, D.C. 20549 Attn: Alberto H. Zapata, Senior Counsel Tony Burak, Staff Accountant Re: The Herzfeld Caribbean Basin Fund, Inc. (the “Fund”) Prelim |
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| May 7, 2025 |
United states Securities and exchange commission Washington, D.C. 20549 Schedule 14a (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No.) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [X] Preliminary Proxy Statement [ ] |
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| May 7, 2025 |
The Herzfeld Caribbean Basin Fund, Inc. Announces Special Meeting of Stockholders to be Held on June 17, 2025 MIAMI BEACH, FLA., May 7, 2025 –The Herzfeld Caribbean Basin Fund, Inc. (NASDAQ: CUBA) (the “Fund”) today announced that the Fund has filed preliminary proxy materials (“Proxy Materials”) with the U.S. Securities and Exchange Commission in connection with a special meeting of stockholders |
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| May 7, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 7, 2025 THE HERZFELD CARIBBEAN BASIN FUND, INC. (Exact name of registrant as specified in its charter Maryland 811-06445 65-0396889 (State or other jurisdiction of incorporation) |
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| March 4, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) |
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| March 3, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) |
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| February 7, 2025 |
EX-7.A 2 fp0092146-1ex7a.htm Exhibit 1: Agreement to Make Joint Filings Agreement made as of the 3rd day of February 2025, by and among Bulldog Investors, LLP, Phillip Goldstein and Andrew Dakos. WHEREAS, Rule 13d-1(k)(1) under the Securities Exchange Act of 1934 provides that whenever two or more persons are required to file a statement containing the information required by Schedule 13G with res |
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| December 27, 2024 |
Troutman Pepper Hamilton Sanders LLP 3000 Two Logan Square, Eighteenth and Arch Streets Philadelphia, PA 19103 troutman. |
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| November 21, 2024 |
The Herzfeld Caribbean Basin Fund, Inc. ANNOUNCES FINAL TENDER OFFER RESULTS EX-99.(A)(5)(IV) 2 ex-a5iv.htm PRESS RELEASE DATED NOVEMBER 21, 2024 The Herzfeld Caribbean Basin Fund, Inc. SC TO-IA Exhibit (a)(5)(iv) The Herzfeld Caribbean Basin Fund, Inc. ANNOUNCES FINAL TENDER OFFER RESULTS MIAMI BEACH, FLORIDA, November 21, 2024 — Thomas J. Herzfeld Advisors, Inc., an SEC-registered investment adviser, and The Herzfeld Caribbean Basin Fund, Inc. (Nasdaq: CUBA) (the “Fund”) |
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| November 21, 2024 |
As filed with the Securities and Exchange Commission on November 21, 2024 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| November 18, 2024 |
As filed with the Securities and Exchange Commission on November 18, 2024 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| November 18, 2024 |
The Herzfeld Caribbean Basin Fund, Inc. Announces Preliminary Tender Offer Results The Herzfeld Caribbean Basin Fund, Inc. SC TO-IA Exhibit (a)(5)(iii) The Herzfeld Caribbean Basin Fund, Inc. Announces Preliminary Tender Offer Results MIAMI BEACH, Fla, November 18, 2024 — Thomas J. Herzfeld Advisors, Inc., an SEC-registered investment adviser, and The Herzfeld Caribbean Basin Fund, Inc. (Nasdaq: CUBA) (the “Fund”) today announced the preliminary results of the Fund’s cash tender |
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| October 15, 2024 |
THE HERZFELD CARIBBEAN BASIN FUND, INC. OFFER TO PURCHASE COMMON STOCK FOR CASH SUMMARY TERM SHEET The Herzfeld Caribbean Basin Fund, Inc. Schedule TO Exhibit (A)(1)(i) THE HERZFELD CARIBBEAN BASIN FUND, INC. OFFER TO PURCHASE COMMON STOCK FOR CASH SUMMARY TERM SHEET THIS SUMMARY HIGHLIGHTS CERTAIN INFORMATION IN THIS OFFER TO PURCHASE. TO UNDERSTAND THE OFFER FULLY AND FOR A MORE COMPLETE DESCRIPTION OF THE TERMS OF THE OFFER, YOU SHOULD CAREFULLY READ THIS ENTIRE OFFER TO PURCHASE AND THE REL |
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| October 15, 2024 |
The Herzfeld Caribbean Basin Fund, Inc. Schedule TO Exhibit (a)(1)(iii) OFFER BY THE HERZFELD CARIBBEAN BASIN FUND, INC. TO PURCHASE FOR CASH UP TO 5% OF ITS SHARES FOR 97.5% OF NET ASSET VALUE THE OFFER AND WITHDRAWAL RIGHTS WILL EXPIRE AT 5:00 P.M., NEW YORK CITY TIME, ON NOVEMBER 15, 2024 (“TERMINATION DATE”), UNLESS EXTENDED THIS OFFER IS NOT CONDITIONED ON ANY MINIMUM NUMBER OF SHARES BEING T |
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| October 15, 2024 |
The Herzfeld Caribbean Basin Fund, Inc. Schedule TO Exhibit (a)(5)(ii) The Herzfeld Caribbean Basin Fund, Inc. Commences Tender Offer for up to 5% of Outstanding Common Shares MIAMI BEACH, Fla., October 15, 2024 - Thomas J. Herzfeld Advisors, Inc., an SEC-registered investment advisor, today announced the commencement of a Tender Offer by The Herzfeld Caribbean Basin Fund, Inc. (NASDAQ: CUBA) (the |
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| October 15, 2024 |
The Herzfeld Caribbean Basin Fund, Inc. Schedule TO Ex-Filing Fees Calculation of Filing Fee Tables SC TO-I (Form Type) The Herzfeld Caribbean Basin Fund, Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Transaction Valuation Transaction Valuation Fee rate Amount of Filing Fee Fees to Be Paid $2,596,086.24 (1) $0.0001531 $397.46 (2) Fees Previously Paid — — Total Transaction Va |
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| October 15, 2024 |
The Herzfeld Caribbean Basin Fund, Inc. Schedule TO Exhibit (a)(1)(iv) OFFER BY THE HERZFELD CARIBBEAN BASIN FUND, INC. TO PURCHASE FOR CASH UP TO 5% OF ITS SHARES FOR 97.5% OF NET ASSET VALUE THE OFFER AND WITHDRAWAL RIGHTS WILL EXPIRE AT 5:00 P.M., NEW YORK CITY TIME, ON NOVEMBER 15, 2024 (“TERMINATION DATE”), UNLESS EXTENDED THIS OFFER IS NOT CONDITIONED ON ANY MINIMUM NUMBER OF SHARES BEING TE |
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| October 15, 2024 |
GUIDELINES FOR CERTIFICATION OF TAXPAYER IDENTIFICATION NUMBER ON SUBSTITUTE FORM W-9 The Herzfeld Caribbean Basin Fund, Inc. Schedule TO Exhibit (a)(1)(vi) GUIDELINES FOR CERTIFICATION OF TAXPAYER IDENTIFICATION NUMBER ON SUBSTITUTE FORM W-9 Guidelines for Determining the Proper Identification Number to Give the Payer - Social Security Numbers have nine digits separated by two hyphens: i.e., 000-00-0000. Employer Identification Numbers have nine digits separated by only one hyphen |
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| October 15, 2024 |
As filed with the Securities and Exchange Commission on October 15, 2024 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| October 15, 2024 |
The Herzfeld Caribbean Basin Fund, Inc. Schedule TO Exhibit (a)(1)(ii) Letter of Transmittal to Tender Shares of Common Stock of The Herzfeld Caribbean Basin Fund, Inc. Pursuant to the Offer to Purchase dated October 15, 2024 The undersigned represents that I (we) have full authority to surrender without restriction the certificate(s) listed below. You are hereby authorized and instructed to deliv |
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| October 15, 2024 |
NOTICE OF GUARANTEED DELIVERY FOR TENDER OF SHARES OF THE HERZFELD CARIBBEAN BASIN FUND, INC. The Herzfeld Caribbean Basin Fund, Inc. Schedule TO Exhibit (a)(1)(v) NOTICE OF GUARANTEED DELIVERY FOR TENDER OF SHARES OF THE HERZFELD CARIBBEAN BASIN FUND, INC. This form, or one substantially equivalent hereto, must be used to accept the Offer (as defined below) if shareholders’ certificates for Common Stock (the “Shares”) of The Herzfeld Caribbean Basin Fund, Inc. are not immediately availabl |
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| October 3, 2024 |
As filed with the Securities and Exchange Commission on October 3, 2024 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| October 3, 2024 |
The Herzfeld Caribbean Basin Fund, Inc. SC TO-C Exhibit 99.1 The Herzfeld Caribbean Basin Fund, Inc. To Conduct a Tender Offer for up to 5% of Outstanding Common Shares MIAMI BEACH, Fla., October 3, 2024 — Thomas J. Herzfeld Advisors, Inc., an SEC-registered investment advisor, today announced its intention to commence a Tender Offer by The Herzfeld Caribbean Basin Fund, Inc. (Nasdaq: CUBA) (the “ |
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| September 30, 2024 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant þ Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) þ Definitive Proxy Statement o Definitive Additional Materials o Soliciting Material Pursuant to Sec. |
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| June 27, 2024 |
Troutman Pepper Hamilton Sanders LLP 3000 Two Logan Square, Eighteenth and Arch Streets Philadelphia, PA 19103-2799 troutman. |
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| May 6, 2024 |
CUBA / The Herzfeld Caribbean Basin Fund Inc. / Herzfeld Erik Mervin Activist Investment SC 13D/A 1 fp0088291-1sc13da.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 14)* The Herzfeld Caribbean Basin Fund, Inc. (Name of Issuer) Common stock (Title of Class of Securities) 42804T106 (CUSIP Number) 119 Washington Avenue, Suite 504 Miami Beach, FL 33139 (Name, Address and Telephone Number of |
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| March 27, 2024 |
CUBA / The Herzfeld Caribbean Basin Fund Inc. / HERZFELD THOMAS J Activist Investment SC 13D/A 1 fp0087707-1sc13da.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 19)* The Herzfeld Caribbean Basin Fund, Inc. (Name of Issuer) Common stock (Title of Class of Securities) 42804T106 (CUSIP Number) 119 Washington Avenue, Suite 504 Miami Beach, FL 33139 (Name, Address and Telephone Number of |
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| March 25, 2024 |
The Herzfeld Caribbean Basin Fund, Inc. ANNOUNCES FINAL TENDER OFFER RESULTS The Herzfeld Caribbean Basin Fund, Inc. SC TO-IA Exhibit (a)(5)(v) The Herzfeld Caribbean Basin Fund, Inc. ANNOUNCES FINAL TENDER OFFER RESULTS MIAMI BEACH, FLORIDA, March 25, 2024 — Thomas J. Herzfeld Advisors, Inc., an SEC-registered investment adviser, and The Herzfeld Caribbean Basin Fund, Inc. (Nasdaq: CUBA) (the “Fund”) today announced the final results of the Fund’s cash tender offer to pur |
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| March 25, 2024 |
As filed with the Securities and Exchange Commission on March 25, 2024 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| March 20, 2024 |
As filed with the Securities and Exchange Commission on March 20, 2024 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| March 20, 2024 |
The Herzfeld Caribbean Basin Fund, Inc. ANNOUNCES PRELIMINARY TENDER OFFER RESULTS The Herzfeld Caribbean Basin Fund, Inc. SC TO-IA Exhibit (a)(5)(iv) The Herzfeld Caribbean Basin Fund, Inc. ANNOUNCES PRELIMINARY TENDER OFFER RESULTS MIAMI BEACH, FLORIDA, March 20, 2024 — Thomas J. Herzfeld Advisors, Inc., an SEC-registered investment adviser, and The Herzfeld Caribbean Basin Fund, Inc. (Nasdaq: CUBA) (the “Fund”) today announced the preliminary results of the Fund’s cash tender |
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| February 20, 2024 |
The Herzfeld Caribbean Basin Fund, Inc. SC TO I Exhibit (a)(1)(ii) Letter of Transmittal to Tender Shares of Common Stock of The Herzfeld Caribbean Basin Fund, Inc. Pursuant to the Offer to Purchase dated February 20, 2024 The undersigned represents that I (we) have full authority to surrender without restriction the certificate(s) listed below. You are hereby authorized and instructed to deliver |
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| February 20, 2024 |
As filed with the Securities and Exchange Commission on February 20, 2024 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| February 20, 2024 |
NOTICE OF GUARANTEED DELIVERY FOR TENDER OF SHARES OF THE HERZFELD CARIBBEAN BASIN FUND, INC. The Herzfeld Caribbean Basin Fund, Inc. SC TO I Exhibit (a)(1)(v) NOTICE OF GUARANTEED DELIVERY FOR TENDER OF SHARES OF THE HERZFELD CARIBBEAN BASIN FUND, INC. This form, or one substantially equivalent hereto, must be used to accept the Offer (as defined below) if shareholders’ certificates for Common Stock (the “Shares”) of The Herzfeld Caribbean Basin Fund, Inc. are not immediately available or |
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| February 20, 2024 |
GUIDELINES FOR CERTIFICATION OF TAXPAYER IDENTIFICATION NUMBER ON SUBSTITUTE FORM W-9 The Herzfeld Caribbean Basin Fund, Inc. SC TO I Exhibit (a)(1)(vi) GUIDELINES FOR CERTIFICATION OF TAXPAYER IDENTIFICATION NUMBER ON SUBSTITUTE FORM W-9 Guidelines for Determining the Proper Identification Number to Give the Payer - Social Security Numbers have nine digits separated by two hyphens: i.e., 000-00-0000. Employer Identification Numbers have nine digits separated by only one hyphen: i. |
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| February 20, 2024 |
The Herzfeld Caribbean Basin Fund, Inc. SC TO I Exhibit (a)(1)(iv) OFFER BY THE HERZFELD CARIBBEAN BASIN FUND, INC. TO PURCHASE FOR CASH UP TO 10% OF ITS SHARES FOR 97.5% OF NET ASSET VALUE THE OFFER AND WITHDRAWAL RIGHTS WILL EXPIRE AT 5:00 P.M., NEW YORK CITY TIME, ON MARCH 19, 2024 (“TERMINATION DATE”), UNLESS EXTENDED THIS OFFER IS NOT CONDITIONED ON ANY MINIMUM NUMBER OF SHARES BEING TENDERED |
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| February 20, 2024 |
The Herzfeld Caribbean Basin Fund, Inc. SC TO I Exhibit (a)(1)(iii) OFFER BY THE HERZFELD CARIBBEAN BASIN FUND, INC. TO PURCHASE FOR CASH UP TO 10% OF ITS SHARES FOR 97.5% OF NET ASSET VALUE THE OFFER AND WITHDRAWAL RIGHTS WILL EXPIRE AT 5:00 P.M., NEW YORK CITY TIME, ON MARCH 19, 2024 (“TERMINATION DATE”), UNLESS EXTENDED THIS OFFER IS NOT CONDITIONED ON ANY MINIMUM NUMBER OF SHARES BEING TENDERE |
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| February 20, 2024 |
THE HERZFELD CARIBBEAN BASIN FUND, INC. OFFER TO PURCHASE COMMON STOCK FOR CASH SUMMARY TERM SHEET The Herzfeld Caribbean Basin Fund, Inc. SC TO I Exhibit (A)(1)(i) THE HERZFELD CARIBBEAN BASIN FUND, INC. OFFER TO PURCHASE COMMON STOCK FOR CASH SUMMARY TERM SHEET THIS SUMMARY HIGHLIGHTS CERTAIN INFORMATION IN THIS OFFER TO PURCHASE. TO UNDERSTAND THE OFFER FULLY AND FOR A MORE COMPLETE DESCRIPTION OF THE TERMS OF THE OFFER, YOU SHOULD CAREFULLY READ THIS ENTIRE OFFER TO PURCHASE AND THE RELATED |
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| February 20, 2024 |
The Herzfeld Caribbean Basin Fund, Inc. SC TO I Exhibit (a)(5)(iii) The Herzfeld Caribbean Basin Fund, Inc. Commences Tender Offer for up to 10% of Outstanding Common Shares MIAMI BEACH, Fla., February 20, 2024 - Thomas J. Herzfeld Advisors, Inc., an SEC-registered investment advisor, today announced the commencement of a Tender Offer by The Herzfeld Caribbean Basin Fund, Inc. (NASDAQ: CUBA) (the |
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| February 20, 2024 |
The Herzfeld Caribbean Basin Fund, Inc. SC TO I Ex-Filing Fees Calculation of Filing Fee Tables SC TO-I (Form Type) The Herzfeld Caribbean Basin Fund, Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Transaction Valuation Transaction Valuation Fee rate Amount of Filing Fee Fees to Be Paid $5,515,244.56 (1) $0.0001476 $814.05 (2) Fees Previously Paid — — Total Transaction Valuat |
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| February 9, 2024 |
As filed with the Securities and Exchange Commission on February 9, 2024 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| February 9, 2024 |
The Herzfeld Caribbean Basin Fund, Inc. SC TO-C Exhibit 99.1 The Herzfeld Caribbean Basin Fund, Inc. To Conduct a Tender Offer for up to 10% of Outstanding Common Shares MIAMI BEACH, Fla., February 9, 2024 — Thomas J. Herzfeld Advisors, Inc., an SEC-registered investment advisor, today announced its intention to commence a Tender Offer by The Herzfeld Caribbean Basin Fund, Inc. (Nasdaq: CUBA) (the |
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| December 29, 2023 |
CUBA / The Herzfeld Caribbean Basin Fund Inc. / HERZFELD THOMAS J Activist Investment SC 13D/A 1 fp0086408-2sc13da.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 18)* The Herzfeld Caribbean Basin Fund, Inc. (Name of Issuer) Common stock (Title of Class of Securities) 42804T106 (CUSIP Number) 119 Washington Avenue, Suite 504 Miami Beach, FL 33139 (Name, Address and Telephone Number of |
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| December 29, 2023 |
CUBA / The Herzfeld Caribbean Basin Fund Inc. / Herzfeld Erik Mervin Activist Investment SC 13D/A 1 fp0086408-1sc13da.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 13)* The Herzfeld Caribbean Basin Fund, Inc. (Name of Issuer) Common stock (Title of Class of Securities) 42804T106 (CUSIP Number) 119 Washington Avenue, Suite 504 Miami Beach, FL 33139 (Name, Address and Telephone Number of |
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| November 22, 2023 |
Filed pursuant to Rule 424(b)(3) Securities Act File No. 333-274174 PROSPECTUS SUPPLEMENT (to Prospectus dated November 7, 2023) November 22, 2023 THE HERZFELD CARIBBEAN BASIN FUND, INC. UP TO 21,452,019 SHARES OF COMMON STOCK ISSUABLE UPON EXERCISE OF RIGHTS TO SUBSCRIBE FOR SUCH SHARES OF COMMON STOCK This prospectus supplement contains information which amends, supplements and modifies certain |
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| November 22, 2023 |
The Herzfeld Caribbean Basin Fund, Inc. SC TO-C Exhibit 99.1 The Herzfeld Caribbean Basin Fund, Inc. Extends Expiration Date of Non-Transferable Rights Offering; Reinstates Quarterly Distribution; Revises Self-Tender Policy; Extends Management Fee Waiver; and Reports Results of Annual Stockholder Meeting MIAMI BEACH, FLA., November 22, 2023 – The Herzfeld Caribbean Basin Fund, Inc. (NASDAQ: CUBA) |
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| November 22, 2023 |
As filed with the Securities and Exchange Commission on November 22, 2023 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| November 7, 2023 |
Filed pursuant to Rule 424(b)(1) Securities Act File No. 333-274174 PROSPECTUS November 7, 2023 THE HERZFELD CARIBBEAN BASIN FUND, INC. Up To 21,452,019 Shares of Common Stock Issuable Upon Exercise of Rights To Subscribe for Such Shares of Common Stock The Herzfeld Caribbean Basin Fund, Inc. (the “Fund”) is issuing non-transferable rights the (“Rights”) to its stockholders of record on November 3 |
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| October 24, 2023 |
Troutman Pepper Hamilton Sanders LLP 3000 Two Logan Square, Eighteenth and Arch Streets Philadelphia, PA 19103-2799 troutman. |
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| September 28, 2023 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant þ Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) þ Definitive Proxy Statement o Definitive Additional Materials o Soliciting Material Pursuant to Sec. |
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| January 31, 2023 |
CUBA / Herzfeld Caribbean Basin Fund Inc / Herzfeld Erik Mervin Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 12)* The Herzfeld Caribbean Basin Fund, Inc. (Name of Issuer) Common stock (Title of Class of Securities) 42804T106 (CUSIP Number) 119 Washington Avenue, Suite 504 Miami Beach, FL 33139 (Name, Address and Telephone Number of Person Authorized to Receive Noti |
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| January 31, 2023 |
CUBA / Herzfeld Caribbean Basin Fund Inc / HERZFELD THOMAS J Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 17)* The Herzfeld Caribbean Basin Fund, Inc. (Name of Issuer) Common stock (Title of Class of Securities) 42804T106 (CUSIP Number) 119 Washington Avenue, Suite 504 Miami Beach, FL 33139 (Name, Address and Telephone Number of Person Authorized to Receive Noti |
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| November 29, 2022 |
Herzfeld Caribbean Basin Fund, Inc. NPORT-EX 2 herzfeldnport.htm SOI Herzfeld Caribbean Basin Fund, Inc. Schedule of Investments as of September 30, 2022 (unaudited) Shares or Principal Amount Description Fair Value Common Stocks – 99.95% of net assets Aerospace and Defense – 6.07% 99,206 Aersale Corp.* $1,839,279 Airlines – 4.48% 20,250 Copa Holdings, S.A.* 1,356,953 Banking and finance – 19.04% 20,280 Bancolombia, S.A. 494,224 52, |
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| November 22, 2022 |
CUBA / Herzfeld Caribbean Basin Fund Inc / HERZFELD THOMAS J Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 16)* The Herzfeld Caribbean Basin Fund, Inc. (Name of Issuer) Common stock (Title of Class of Securities) 42804T106 (CUSIP Number) 119 Washington Avenue, Suite 504 Miami Beach, FL 33139 (Name, Address and Telephone Number of Person Authorized to Receive Noti |
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| November 22, 2022 |
CUBA / Herzfeld Caribbean Basin Fund Inc / Herzfeld Erik Mervin Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 11)* The Herzfeld Caribbean Basin Fund, Inc. (Name of Issuer) Common stock (Title of Class of Securities) 42804T106 (CUSIP Number) 119 Washington Avenue, Suite 504 Miami Beach, FL 33139 (Name, Address and Telephone Number of Person Authorized to Receive Noti |
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| November 14, 2022 |
The Herzfeld Caribbean Basin Fund, Inc. SC TO-I/A Exhibit 107 Calculation of Filing Fee Tables SC TO-I (Form Type) The Herzfeld Caribbean Basin Fund, Inc. (Name of Issuer) The Herzfeld Caribbean Basin Fund, Inc. (Name of Person(s) Filing Statement) Table 1: Transaction Valuation Transaction Valuation Fee rate Amount of Filing Fee Fees to Be Paid ??? $0.0001102 ??? Fees Previously Paid $169.06 (1) |
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| November 14, 2022 |
SC TO-I/A 1 hcbf-sctoia111422.htm FORM SC TO-I/A As filed with the Securities and Exchange Commission on November 14, 2022 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE TO Tender Offer Statement Under Section 14(d)(1) or 13(e)(1) of the Securities Exchange Act of 1934 THE HERZFELD CARIBBEAN BASIN FUND, INC. (Name of Subject Company (Issuer)) The Herzfeld Caribbea |
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| November 14, 2022 |
The Herzfeld Caribbean Basin Fund, Inc. TENDER OFFER RESULTS The Herzfeld Caribbean Basin Fund, Inc. SC TO-I/A Exhibit (a)(5)(iii) The Herzfeld Caribbean Basin Fund, Inc. TENDER OFFER RESULTS MIAMI BEACH, FLORIDA, November 14, 2022 ? Thomas J. Herzfeld Advisors, Inc., an SEC-registered investment adviser, and The Herzfeld Caribbean Basin Fund, Inc. (Nasdaq: CUBA) (the ?Fund?) today announced the final results of the Fund?s offer to purchase up to 5% of outs |
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| October 12, 2022 |
As filed with the Securities and Exchange Commission on October 12, 2022 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| October 12, 2022 |
The Herzfeld Caribbean Basin Fund, Inc. SC TO-I Exhibit (a)(1)(iv) OFFER BY THE HERZFELD CARIBBEAN BASIN FUND, INC. TO PURCHASE FOR CASH UP TO 5% OF ITS SHARES FOR 97.5% OF NET ASSET VALUE THE OFFER AND WITHDRAWAL RIGHTS WILL EXPIRE AT 5:00 P.M., NEW YORK CITY TIME, ON NOVEMBER 8, 2022 (?TERMINATION DATE?), UNLESS EXTENDED THIS OFFER IS NOT CONDITIONED ON ANY MINIMUM NUMBER OF SHARES BEING TENDERE |
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| October 12, 2022 |
The Herzfeld Caribbean Basin Fund, Inc. SC TO-I Exhibit (a)(1)(iii) OFFER BY THE HERZFELD CARIBBEAN BASIN FUND, INC. TO PURCHASE FOR CASH UP TO 5% OF ITS SHARES FOR 97.5% OF NET ASSET VALUE THE OFFER AND WITHDRAWAL RIGHTS WILL EXPIRE AT 5:00 P.M., NEW YORK CITY TIME, ON NOVEMBER 8, 2022 (?TERMINATION DATE?), UNLESS EXTENDED THIS OFFER IS NOT CONDITIONED ON ANY MINIMUM NUMBER OF SHARES BEING TENDER |
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| October 12, 2022 |
NOTICE OF GUARANTEED DELIVERY FOR TENDER OF SHARES OF THE HERZFELD CARIBBEAN BASIN FUND, INC. The Herzfeld Caribbean Basin Fund, Inc. SC TO-I Exhibit (a)(1)(v) NOTICE OF GUARANTEED DELIVERY FOR TENDER OF SHARES OF THE HERZFELD CARIBBEAN BASIN FUND, INC. This form, or one substantially equivalent hereto, must be used to accept the Offer (as defined below) if shareholders? certificates for Common Stock (the ?Shares?) of The Herzfeld Caribbean Basin Fund, Inc. are not immediately available or |
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| October 12, 2022 |
THE HERZFELD CARIBBEAN BASIN FUND, INC. OFFER TO PURCHASE COMMON STOCK FOR CASH SUMMARY TERM SHEET The Herzfeld Caribbean Basin Fund, Inc. SC TO-I Exhibit (A)(1)(i) THE HERZFELD CARIBBEAN BASIN FUND, INC. OFFER TO PURCHASE COMMON STOCK FOR CASH SUMMARY TERM SHEET THIS SUMMARY HIGHLIGHTS CERTAIN INFORMATION IN THIS OFFER TO PURCHASE. TO UNDERSTAND THE OFFER FULLY AND FOR A MORE COMPLETE DESCRIPTION OF THE TERMS OF THE OFFER, YOU SHOULD CAREFULLY READ THIS ENTIRE OFFER TO PURCHASE AND THE RELATED |
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| October 12, 2022 |
The Herzfeld Caribbean Basin Fund, Inc. SC TO-I Exhibit (a)(5)(ii) The Herzfeld Caribbean Basin Fund, Inc. Commences Tender Offer for up to 5% of Outstanding Common Shares MIAMI BEACH, Fla., October 12, 2022 - Thomas J. Herzfeld Advisors, Inc., an SEC-registered investment advisor, today announced the commencement of a Tender Offer by The Herzfeld Caribbean Basin Fund, Inc. (Nasdaq: CUBA) (the ?Fu |
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| October 12, 2022 |
GUIDELINES FOR CERTIFICATION OF TAXPAYER IDENTIFICATION NUMBER ON SUBSTITUTE FORM W-9 The Herzfeld Caribbean Basin Fund, Inc. SC TO-I Exhibit (a)(1)(vi) GUIDELINES FOR CERTIFICATION OF TAXPAYER IDENTIFICATION NUMBER ON SUBSTITUTE FORM W-9 Guidelines for Determining the Proper Identification Number to Give the Payer - Social Security Numbers have nine digits separated by two hyphens: i.e., 000-00-0000. Employer Identification Numbers have nine digits separated by only one hyphen: i. |
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| October 12, 2022 |
The Herzfeld Caribbean Basin Fund, Inc. SC TO-I Exhibit (a)(1)(ii) LETTER OF TRANSMITTAL TO TENDER SHARES OF COMMON STOCK OF THE HERZFELD CARIBBEAN BASIN FUND, INC. Pursuant to the Offer to Purchase dated October 12, 2022 THE TERMINATION DATE AND THE WITHDRAWAL DEADLINE IS 5:00 P.M., NEW YORK CITY TIME, ON NOVEMBER 8, 2022, UNLESS EXTENDED The undersigned represents that I (we) have full authority |
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| October 12, 2022 |
The Herzfeld Caribbean Basin Fund, Inc. SC TO-I Exhibit 107 Calculation of Filing Fee Tables SC TO-I (Form Type) The Herzfeld Caribbean Basin Fund, Inc. (Name of Issuer) The Herzfeld Caribbean Basin Fund, Inc. (Name of Person(s) Filing Statement) Table 1: Transaction Valuation ? ? Transaction Valuation ? Fee Rate ? Amount of Filing Fee Fees to Be Paid ? $1,534,139.39(1) ? $0.0001102? ? $169.06(2) |
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| October 7, 2022 |
CUBA / Herzfeld Caribbean Basin Fund Inc / Herzfeld Erik Mervin Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 10)* The Herzfeld Caribbean Basin Fund, Inc. (Name of Issuer) Common stock (Title of Class of Securities) 42804T106 (CUSIP Number) 119 Washington Avenue, Suite 504 Miami Beach, FL 33139 (Name, Address and Telephone Number of Person Authorized to Receive Noti |
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| October 7, 2022 |
CUBA / Herzfeld Caribbean Basin Fund Inc / HERZFELD THOMAS J Activist Investment SC 13D/A 1 fp0080203-1sc13da.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 15)* The Herzfeld Caribbean Basin Fund, Inc. (Name of Issuer) Common stock (Title of Class of Securities) 42804T106 (CUSIP Number) 119 Washington Avenue, Suite 504 Miami Beach, FL 33139 (Name, Address and Telephone Number of |
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| October 3, 2022 |
As filed with the Securities and Exchange Commission on October 3, 2022 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| October 3, 2022 |
The Herzfeld Caribbean Basin Fund, Inc. SC TO-C Exhibit 99.1 The Herzfeld Caribbean Basin Fund, Inc. To Conduct a Tender Offer for up to 5% of Outstanding Common Shares MIAMI BEACH, Fla., October 3, 2022 ? Thomas J. Herzfeld Advisors, Inc., an SEC-registered investment advisor, today announced its intention to commence a Tender Offer by The Herzfeld Caribbean Basin Fund, Inc. (Nasdaq: CUBA) (the ? |
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| September 30, 2022 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy Statement o Definitive Additional Materials o Soliciting Material Pursuant to Sec. |
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| May 27, 2022 |
Herzfeld Caribbean Basin Fund, Inc. Herzfeld Caribbean Basin Fund, Inc. Schedule of Investments as of March 31, 2022 (unaudited) Shares or Principal Amount Description Fair Value Common Stocks – 99.32% of net assets Aerospace and Defense – 4.05% 96,418 Aersale Corp.* $1,515,691 Airlines – 4.52% 20,250 Copa Holdings, S.A.* $1,693,710 Banking and finance – 20.07% 20,280 Bancolombia, S.A. 865,145 52,089 Banco Latinoamericano de Comerci |
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| November 30, 2021 |
CUBA / Herzfeld Caribbean Basin Fund Inc / HERZFELD THOMAS J Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 14)* The Herzfeld Caribbean Basin Fund, Inc. (Name of Issuer) Common stock (Title of Class of Securities) 42804T106 (CUSIP Number) 119 Washington Avenue, Suite 504 Miami Beach, FL 33139 (Name, Address and Telephone Number of Person Authorized to Receive Noti |
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| November 30, 2021 |
CUBA / Herzfeld Caribbean Basin Fund Inc / Herzfeld Erik Mervin Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 9)* The Herzfeld Caribbean Basin Fund, Inc. (Name of Issuer) Common stock (Title of Class of Securities) 42804T106 (CUSIP Number) 119 Washington Avenue, Suite 504 Miami Beach, FL 33139 (Name, Address and Telephone Number of Person Authorized to Receive Notic |
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| November 29, 2021 |
Herzfeld Caribbean Basin Fund, Inc. Herzfeld Caribbean Basin Fund, Inc. Schedule of Investments as of September 30, 2021 (unaudited) Shares or Principal Amount Description Fair Value Common Stocks – 99.43% of net assets Aerospace and Defense – 3.26% 76,418 Aersale Corp.* $1,299,106 Airlines – 4.14% 20,250 Copa Holdings, S.A. 1,647,945 Banking and finance – 20.75% 23,280 Bancolombia, S.A. 805,954 52,089 Banco Latinoamericano de Comer |
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| November 12, 2021 |
As filed with the Securities and Exchange Commission on November 12, 2021 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| November 12, 2021 |
Press Release dated November 12, 2021 The Herzfeld Caribbean Basin Fund, Inc. SC TO-I/A Exhibit (a)(5)(iii) The Herzfeld Caribbean Basin Fund, Inc. TENDER OFFER RESULTS MIAMI BEACH, FLORIDA, November 12, 2021 ? Thomas J. Herzfeld Advisors, Inc., an SEC-registered investment adviser, and The Herzfeld Caribbean Basin Fund, Inc. (Nasdaq: CUBA) (the ?Fund?) today announced the final results of the Fund?s offer to purchase up to 5% of outs |
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| October 12, 2021 |
As filed with the Securities and Exchange Commission on October 12, 2021 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| October 12, 2021 |
The Herzfeld Caribbean Basin Fund, Inc. SC TO-I Exhibit (A)(1)(i) THE HERZFELD CARIBBEAN BASIN FUND, INC. OFFER TO PURCHASE COMMON STOCK FOR CASH SUMMARY TERM SHEET THIS SUMMARY HIGHLIGHTS CERTAIN INFORMATION IN THIS OFFER TO PURCHASE. TO UNDERSTAND THE OFFER FULLY AND FOR A MORE COMPLETE DESCRIPTION OF THE TERMS OF THE OFFER, YOU SHOULD CAREFULLY READ THIS ENTIRE OFFER TO PURCHASE AND THE RELATED |
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| October 12, 2021 |
(a)(1)(v)Notice of Guaranteed Delivery.* The Herzfeld Caribbean Basin Fund, Inc. SC TO-I Exhibit (a)(1)(v) NOTICE OF GUARANTEED DELIVERY FOR TENDER OF SHARES OF THE HERZFELD CARIBBEAN BASIN FUND, INC. This form, or one substantially equivalent hereto, must be used to accept the Offer (as defined below) if shareholders? certificates for Common Stock (the ?Shares?) of The Herzfeld Caribbean Basin Fund, Inc. are not immediately available or |
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| October 12, 2021 |
(a)(1)(iii)Letter to Brokers, Dealers, Commercial Banks, Trust Companies and Other Nominees.* 1 The Herzfeld Caribbean Basin Fund, Inc. SC TO-I Exhibit (a)(1)(iii) OFFER BY THE HERZFELD CARIBBEAN BASIN FUND, INC. TO PURCHASE FOR CASH UP TO 5% OF ITS SHARES FOR 97.5% OF NET ASSET VALUE THE OFFER AND WITHDRAWAL RIGHTS WILL EXPIRE AT 5:00 P.M., NEW YORK CITY TIME, ON NOVEMBER 8, 2021 (?TERMINATION DATE?), UNLESS EXTENDED THIS OFFER IS NOT CONDITIONED ON ANY MINIMUM NUMBER OF SHARES BEING TEND |
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| October 12, 2021 |
(a)(1)(vi)Guidelines for Certification of Taxpayer Identification Number on Substitute Form W-9.* The Herzfeld Caribbean Basin Fund, Inc. SC TO-I Exhibit (a)(1)(vi) GUIDELINES FOR CERTIFICATION OF TAXPAYER IDENTIFICATION NUMBER ON SUBSTITUTE FORM W-9 Guidelines for Determining the Proper Identification Number to Give the Payer - Social Security Numbers have nine digits separated by two hyphens: i.e., 000-00-0000. Employer Identification Numbers have nine digits separated by only one hyphen: i. |
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| October 12, 2021 |
(a)(1)(iv)Letter to Clients and Client Instruction Form.* The Herzfeld Caribbean Basin Fund, Inc. SC TO-I Exhibit (a)(1)(iv) OFFER BY THE HERZFELD CARIBBEAN BASIN FUND, INC. TO PURCHASE FOR CASH UP TO 5% OF ITS SHARES FOR 97.5% OF NET ASSET VALUE THE OFFER AND WITHDRAWAL RIGHTS WILL EXPIRE AT 5:00 P.M., NEW YORK CITY TIME, ON NOVEMBER 8, 2021 (?TERMINATION DATE?), UNLESS EXTENDED THIS OFFER IS NOT CONDITIONED ON ANY MINIMUM NUMBER OF SHARES BEING TENDERE |
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| October 12, 2021 |
(a)(1)(ii)Letter of Transmittal.* 1 The Herzfeld Caribbean Basin Fund, Inc. SC TO-I Exhibit (a)(1)(ii) LETTER OF TRANSMITTAL TO TENDER SHARES OF COMMON STOCK OF THE HERZFELD CARIBBEAN BASIN FUND, INC. Pursuant to the Offer to Purchase dated October 12, 2021 THE TERMINATION DATE AND THE WITHDRAWAL DEADLINE IS 5:00 P.M., NEW YORK CITY TIME, ON NOVEMBER 8, 2021, UNLESS EXTENDED The undersigned represents that I (we) have full authori |
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| October 12, 2021 |
(a)(5)(iii)Press Release dated October 12, 2021.* The Herzfeld Caribbean Basin Fund, Inc. SC TO-I Exhibit (a)(5)(iii) The Herzfeld Caribbean Basin Fund, Inc. Commences Tender Offer for up to 5% of Outstanding Common Shares MIAMI BEACH, Fla., October 12, 2021 - Thomas J. Herzfeld Advisors, Inc., an SEC-registered investment advisor, today announced the commencement of a Tender Offer by The Herzfeld Caribbean Basin Fund, Inc. (Nasdaq: CUBA) (the ?F |
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| October 4, 2021 |
As filed with the Securities and Exchange Commission on October 4, 2021 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| October 4, 2021 |
(a)(5)(ii)Press Release dated October 4, 2021.2 The Herzfeld Caribbean Basin Fund, Inc. To Conduct a Tender Offer for up to 5% of Outstanding Common Shares MIAMI BEACH, Fla., October 4, 2021 - Thomas J. Herzfeld Advisors, Inc., an SEC-registered investment advisor, today announced its intention to commence a Tender Offer by The Herzfeld Caribbean Basin Fund, Inc. (Nasdaq: CUBA) (the ?Fund?) on October 12, 2021, in accordance with the Fund?s thr |
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| October 1, 2021 |
DEF 14A 1 herzfelddef14a.htm DEF 14A SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant þ Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) þ Definitive Proxy Statement o Definitive Addit |
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| August 20, 2021 |
As filed with the Securities and Exchange Commission on August 20, 2021 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| August 20, 2021 |
(a)(5)(i)Press Release dated August 20, 2021.1 The Herzfeld Caribbean Basin Fund, Inc. Quarterly Distribution in Stock and Cash; Modification to Self-Tender Policy MIAMI BEACH, FLA., August 20, 2021 ?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?) to pay its September 30, 2021 distribution using a combination of shares of common |
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| July 12, 2021 |
CUBA / Herzfeld Caribbean Basin Fund Inc / HERZFELD THOMAS J Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 13)* The Herzfeld Caribbean Basin Fund, Inc. (Name of Issuer) Common stock (Title of Class of Securities) 42804T106 (CUSIP Number) 119 Washington Avenue, Suite 504 Miami Beach, FL 33139 (Name, Address and Telephone Number of Person Authorized to Receive Noti |
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| July 12, 2021 |
CUBA / Herzfeld Caribbean Basin Fund Inc / Herzfeld Erik Mervin Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 8)* The Herzfeld Caribbean Basin Fund, Inc. (Name of Issuer) Common stock (Title of Class of Securities) 42804T106 (CUSIP Number) 119 Washington Avenue, Suite 504 Miami Beach, FL 33139 (Name, Address and Telephone Number of Person Authorized to Receive Notic |
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| June 29, 2021 |
Troutman Pepper Hamilton Sanders LLP 3000 Two Logan Square, Eighteenth and Arch Streets Philadelphia, PA 19103-2799 troutman. |
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| May 28, 2021 |
Herzfeld Caribbean Basin Fund, Inc. Herzfeld Caribbean Basin Fund, Inc. Schedule of Investments as of March 31, 2021 (unaudited) Shares or Principal Amount Description Fair Value Common Stocks – 99.82% of net assets Aerospace and Defense - 2.24% 74,174 Aersale Corp.* $911,598 Airlines - 4.29% 4,491 Bristow Group, Inc.* 116,227 20,250 Copa Holdings, S.A. 1,635,998 Banking and finance - 18.65% 23,280 Bancolombia, S.A. 744,727 56,289 B |
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| April 14, 2021 |
The Herzfeld Caribbean Basin Fund, Inc. 119 Washington Avenue, Suite 504 Miami Beach, FL 33139 April 14, 2021 Via EDGAR Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Re: Application for Withdrawal of Registration Statement on Form N-2 (1933 Act File No. 333-254635) Ladies and Gentlemen: Pursuant to Rule 477 (?Rule 477?) promulgated und |
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| March 19, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 7)* The Herzfeld Caribbean Basin Fund, Inc. (Name of Issuer) Common stock (Title of Class of Securities) 42804T106 (CUSIP Number) 119 Washington Avenue, Suite 504 Miami Beach, FL 33139 (Name, Address and Telephone Number of Person Authorized to Receive Notic |
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| March 19, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 12)* The Herzfeld Caribbean Basin Fund, Inc. (Name of Issuer) Common stock (Title of Class of Securities) 42804T106 (CUSIP Number) 119 Washington Avenue, Suite 504 Miami Beach, FL 33139 (Name, Address and Telephone Number of Person Authorized to Receive Noti |
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| March 8, 2021 |
As filed with the Securities and Exchange Commission on March 8, 2021 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| March 5, 2021 |
As filed with the Securities and Exchange Commission on March 5, 2021 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| March 5, 2021 |
The Herzfeld Caribbean Basin Fund, Inc. TENDER OFFER RESULTS EX-99.1 2 fp0063427ex991.htm The Herzfeld Caribbean Basin Fund, Inc. TENDER OFFER RESULTS MIAMI BEACH, FLORIDA, March 5, 2021 — Thomas J. Herzfeld Advisors, Inc., an SEC-registered investment adviser, and The Herzfeld Caribbean Basin Fund, Inc. (Nasdaq: CUBA) (the “Fund”) today announced the final results of the Fund’s offer to purchase up to 5% of outstanding shares of the Fund at 97.5% of NAV as |
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| February 12, 2021 |
(a)(1)(iv)Letter to Clients and Client Instruction Form.* The Herzfeld Caribbean Basin Fund, Inc. SC TO-I Exhibit (a)(1)(iv) OFFER BY THE HERZFELD CARIBBEAN BASIN FUND, INC. TO PURCHASE FOR CASH UP TO 5% OF ITS SHARES FOR 97.5% OF NET ASSET VALUE THE OFFER AND WITHDRAWAL RIGHTS WILL EXPIRE AT 5:00 P.M., NEW YORK CITY TIME, ON MARCH 4, 2021 (?TERMINATION DATE?), UNLESS EXTENDED THIS OFFER IS NOT CONDITIONED ON ANY MINIMUM NUMBER OF SHARES BEING TENDERED, |
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| February 12, 2021 |
The Herzfeld Caribbean Basin Fund, Inc. SC TO-I Exhibit (A)(1)(i) THE HERZFELD CARIBBEAN BASIN FUND, INC. OFFER TO PURCHASE COMMON STOCK FOR CASH SUMMARY TERM SHEET THIS SUMMARY HIGHLIGHTS CERTAIN INFORMATION IN THIS OFFER TO PURCHASE. TO UNDERSTAND THE OFFER FULLY AND FOR A MORE COMPLETE DESCRIPTION OF THE TERMS OF THE OFFER, YOU SHOULD CAREFULLY READ THIS ENTIRE OFFER TO PURCHASE AND THE RELATED |
|
| February 12, 2021 |
(a)(5)(iii)Press Release dated February 12, 2021.* The Herzfeld Caribbean Basin Fund, Inc. SC TO-I Exhibit (a)(5)(iii) The Herzfeld Caribbean Basin Fund, Inc. Commences Tender Offer for up to 5% of Outstanding Common Shares MIAMI BEACH, Fla., February 12, 2021 — Thomas J. Herzfeld Advisors, Inc., an SEC-registered investment advisor, today announced the commencement of an Interim Tender Offer by The Herzfeld Caribbean Basin Fund, Inc. (Nasdaq: CUB |
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| February 12, 2021 |
(a)(1)(v)Notice of Guaranteed Delivery.* The Herzfeld Caribbean Basin Fund, Inc. SC TO-I Exhibit (a)(1)(v) NOTICE OF GUARANTEED DELIVERY FOR TENDER OF SHARES OF THE HERZFELD CARIBBEAN BASIN FUND, INC. This form, or one substantially equivalent hereto, must be used to accept the Offer (as defined below) if shareholders? certificates for Common Stock (the ?Shares?) of The Herzfeld Caribbean Basin Fund, Inc. are not immediately available or |
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| February 12, 2021 |
- ISSUER TENDER OFFER STATEMENT As filed with the Securities and Exchange Commission on February 12, 2020 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| February 12, 2021 |
(a)(1)(vi)Guidelines for Certification of Taxpayer Identification Number on Substitute Form W-9.* The Herzfeld Caribbean Basin Fund, Inc. SC TO-I Exhibit (a)(1)(vi) GUIDELINES FOR CERTIFICATION OF TAXPAYER IDENTIFICATION NUMBER ON SUBSTITUTE FORM W-9 Guidelines for Determining the Proper Identification Number to Give the Payer - Social Security Numbers have nine digits separated by two hyphens: i.e., 000-00-0000. Employer Identification Numbers have nine digits separated by only one hyphen: i. |
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| February 12, 2021 |
(a)(1)(iii)Letter to Brokers, Dealers, Commercial Banks, Trust Companies and Other Nominees.* EX-99.(A)(1)(III) 4 ex99-a1iii.htm LETTER TO BROKERS, DEALERS, COMMERCIAL BANKS, TRUST COMPANIES AND OTHER NOMINEES ex99-a1iii 1 The Herzfeld Caribbean Basin Fund, Inc. SC TO-I Exhibit (a)(1)(iii) OFFER BY THE HERZFELD CARIBBEAN BASIN FUND, INC. TO PURCHASE FOR CASH UP TO 5% OF ITS SHARES FOR 97.5% OF NET ASSET VALUE THE OFFER AND WITHDRAWAL RIGHTS WILL EXPIRE AT 5:00 P.M., NEW YORK CITY TIME, ON |
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| February 12, 2021 |
(a)(1)(ii)Letter of Transmittal.* 1 The Herzfeld Caribbean Basin Fund, Inc. SC TO-I Exhibit (a)(1)(ii) LETTER OF TRANSMITTAL TO TENDER SHARES OF COMMON STOCK OF THE HERZFELD CARIBBEAN BASIN FUND, INC. Pursuant to the Offer to Purchase dated February 12, 2021 THE TERMINATION DATE AND THE WITHDRAWAL DEADLINE IS 5:00 P.M., NEW YORK CITY TIME, ON MARCH 4, 2021, UNLESS EXTENDED The undersigned represents that I (we) have full authority |
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| January 29, 2021 |
As filed with the Securities and Exchange Commission on January 29, 2021 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| January 29, 2021 |
(a)(5)(ii)Press Release dated January 29, 2021.2 The Herzfeld Caribbean Basin Fund, Inc. Announcement Regarding Previously Announced Tender Offer MIAMI BEACH, Fla., January 29, 2021 - Thomas J. Herzfeld Advisors, Inc., an SEC-registered investment advisor, today updated its announcement of December 21, 2020 regarding an Interim Tender Offer by The Herzfeld Caribbean Basin Fund, Inc. (Nasdaq: CUBA) (the “Fund”). The Fund will commence the Interim |
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| December 17, 2020 |
As filed with the Securities and Exchange Commission on December 17, 2020 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| December 17, 2020 |
(a)(5)(i)Press Release dated December 17, 2020.1 The Herzfeld Caribbean Basin Fund, Inc. Announces Lifting of Suspension of Self-Tender Policy; Interim January 2021 Tender Offer MIAMI BEACH, FLA., December 17, 2020 – Thomas J. Herzfeld Advisors, Inc. (“TJHA”), an SEC-registered investment advisor, today announced that the Board of Directors (the “Board”) of The Herzfeld Caribbean Basin Fund, Inc. (NASDAQ: CUBA) (the “Fund”) has lifted its suspen |
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| November 30, 2020 |
Herzfeld Caribbean Basin Fund, Inc. Herzfeld Caribbean Basin Fund, Inc. Schedule of Investments as of September 30, 2020 (unaudited) Shares or Principal Amount Description Fair Value Common Stocks – 98.57% of net assets Airlines - 3.81% 4,491 Bristow Group, Inc.* $ 95,434 20,250 Copa Holdings, S.A. $ 1,019,385 Banking and finance - 18.38% 23,280 Bancolombia, S.A. 594,804 56,289 Banco Latinoamericano de Comercio Exterior, S.A. 683,91 |
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| October 9, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. |
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| August 31, 2020 |
SCHEDULE 14A (RULE 14A-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. |
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| May 27, 2020 |
See accompanying notes to the schedule of investments. Herzfeld Caribbean Basin Fund, Inc. Schedule of Investments as of March 31, 2020 (unaudited) Shares or Principal Amount Description Fair Value Common stocks - 99.42% of net assets Airlines - 4.88% 261,429 Avianca Holdings, S.A. ADR $ 250,397 20,250 Copa Holdings, S.A. 917,123 13,474 ERA Group, Inc.* 71,816 Banking and finance - 19.77% 23,280 Bancolombia, S.A. 581,069 56,289 Banco Latinoamericano d |
|
| February 12, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. |
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| November 22, 2019 |
Herzfeld Caribbean Basin Fund Inc UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-06445 The Herzfeld Caribbean Basin Fund, Inc. |
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| November 22, 2019 |
Exhibits: Certifications pursuant to Rule 30a-2(a) CERTIFICATIONS I, Erik M. Herzfeld, certify that: 1. I have reviewed this report on Form N-Q of The Herzfeld Caribbean Basin Fund, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which suc |
|
| September 30, 2019 |
CUBA / Herzfeld Caribbean Basin Fund DEF 14A - - SCHEDULE 14A (RULE 14A-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. |
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| May 30, 2019 |
EX-99.CERT 2 fp0042671ex99cert.htm Exhibits: Certifications pursuant to Rule 30a-2(a) CERTIFICATIONS I, Erik M. Herzfeld, certify that: 1. I have reviewed this report on Form N-Q of The Herzfeld Caribbean Basin Fund, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light o |
|
| May 30, 2019 |
CUBA / Herzfeld Caribbean Basin Fund N-Q - Quarterly Schedule of Portfolio Holdings - UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-06445 The Herzfeld Caribbean Basin Fund, Inc. |
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| February 8, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. |
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| January 7, 2019 |
CUBA / Herzfeld Caribbean Basin Fund / HERZFELD THOMAS J Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 11)* The Herzfeld Caribbean Basin Fund, Inc. (Name of Issuer) Common stock (Title of Class of Securities) 42804T106 (CUSIP Number) 119 Washington Avenue, Suite 504 Miami Beach, FL 33139 (Name, Address and Telephone Number of Person Authorized to Receive Noti |
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| December 28, 2018 |
CUBA / Herzfeld Caribbean Basin Fund / Herzfeld Erik Mervin Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 6)* The Herzfeld Caribbean Basin Fund, Inc. (Name of Issuer) Common stock (Title of Class of Securities) 42804T106 (CUSIP Number) 119 Washington Avenue, Suite 504 Miami Beach, FL 33139 (Name, Address and Telephone Number of Person Authorized to Receive Notic |
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| November 28, 2018 |
CUBA / Herzfeld Caribbean Basin Fund N-Q (Quarterly Schedule of Portfolio Holdings) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-06445 The Herzfeld Caribbean Basin Fund, Inc. |
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| November 28, 2018 |
Exhibits: Certifications pursuant to Rule 30a-2(a) CERTIFICATIONS I, Erik M. Herzfeld, certify that: 1. I have reviewed this report on Form N-Q of The Herzfeld Caribbean Basin Fund, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which suc |
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| October 26, 2018 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We have issued our report dated August 15, 2018 with respect to the financial statements and financial highlights of The Herzfeld Caribbean Basin Fund, Inc. |
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| October 26, 2018 |
CUBA / Herzfeld Caribbean Basin Fund 486BPOS As filed with the Securities and Exchange Commission on October 26, 2018 Securities Act File No. |
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| August 29, 2018 |
CUBA / Herzfeld Caribbean Basin Fund DEF 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| June 8, 2018 |
CUBA / Herzfeld Caribbean Basin Fund CORRESP 3000 Two Logan Square Eighteenth and Arch Streets Philadelphia, PA 19103-2799 215. |
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| June 8, 2018 |
CUBA / Herzfeld Caribbean Basin Fund CORRESP 3000 Two Logan Square Eighteenth and Arch Streets Philadelphia, PA 19103-2799 215. |
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| June 8, 2018 |
CUBA / Herzfeld Caribbean Basin Fund CORRESP The Herzfeld Caribbean Basin Fund, Inc. 119 Washington Avenue, Suite 504 Miami Beach, FL 33139 (305) 271-1900 Rule 461(a) Acceleration Request June 8, 2018 VIA EDGAR Filing Desk U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Re: The Herzfeld Caribbean Basin Fund, Inc. Pre-Effective Amendment No. 1 to Shelf Registration Statement on Form N-2 File Nos. 333-224685 and |
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| May 25, 2018 |
Herzfeld Caribbean Basin Fund Inc - N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-06445 The Herzfeld Caribbean Basin Fund, Inc. |
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| May 25, 2018 |
EX-99.CERT 2 fp0033662ex99cert.htm Exhibits: Certifications pursuant to Rule 30a-2(a) CERTIFICATIONS I, Erik M. Herzfeld, certify that: 1. I have reviewed this report on Form N-Q of The Herzfeld Caribbean Basin Fund, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light o |
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| March 29, 2018 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We have issued our report dated August 17, 2017 with respect to the financial statements and financial highlights of The Herzfeld Caribbean Basin Fund, Inc. |
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| March 29, 2018 |
CUBA / Herzfeld Caribbean Basin Fund 486BPOS As filed with the Securities and Exchange Commission on March 29, 2018 Securities Act File No. |
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| February 9, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. |
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| December 15, 2017 |
CUBA / Herzfeld Caribbean Basin Fund / Herzfeld Erik Mervin Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 5)* The Herzfeld Caribbean Basin Fund, Inc. (Name of Issuer) Common stock (Title of Class of Securities) 42804T106 (CUSIP Number) 119 Washington Avenue, Suite 504 Miami Beach, FL 33139 (Name, Address and Telephone Number of Person Authorized to Receive Notic |
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| December 8, 2017 |
CUBA / Herzfeld Caribbean Basin Fund / HERZFELD THOMAS J Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 10)* The Herzfeld Caribbean Basin Fund, Inc. (Name of Issuer) Common stock (Title of Class of Securities) 42804T106 (CUSIP Number) 119 Washington Avenue, Suite 504 Miami Beach, FL 33139 (Name, Address and Telephone Number of Person Authorized to Receive Noti |
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| November 22, 2017 |
Exhibits: Certifications pursuant to Rule 30a-2(a) CERTIFICATIONS I, Erik M. Herzfeld, certify that: 1. I have reviewed this report on Form N-Q of The Herzfeld Caribbean Basin Fund, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which suc |
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| November 22, 2017 |
Herzfeld Caribbean Basin Fund Inc - UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-06445 The Herzfeld Caribbean Basin Fund, Inc. |
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| November 13, 2017 |
CUBA / Herzfeld Caribbean Basin Fund / Herzfeld Erik Mervin Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 4)* The Herzfeld Caribbean Basin Fund, Inc. (Name of Issuer) Common stock (Title of Class of Securities) 42804T106 (CUSIP Number) 119 Washington Avenue, Suite 504 Miami Beach, FL 33139 (Name, Address and Telephone Number of Person Authorized to Receive Notic |
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| November 13, 2017 |
CUBA / Herzfeld Caribbean Basin Fund / HERZFELD THOMAS J Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 9)* The Herzfeld Caribbean Basin Fund, Inc. (Name of Issuer) Common stock (Title of Class of Securities) 42804T106 (CUSIP Number) 119 Washington Avenue, Suite 504 Miami Beach, FL 33139 (Name, Address and Telephone Number of Person Authorized to Receive Notic |
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| August 29, 2017 |
Herzfeld Caribbean Basin Fund 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| August 29, 2017 |
Herzfeld Caribbean Basin Fund 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| August 29, 2017 |
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM EX-99.77B ACCT LTTR 2 fp0027712ex77b.htm REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Shareholders and Board of Directors The Herzfeld Caribbean Basin Fund, Inc. Miami Beach, FL In planning and performing our audit of the financial statements of The Herzfeld Caribbean Basin Fund, Inc. (the “Fund”) as of and for the year ended June 30, 2017, in accordance with the standards of the |
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| July 7, 2017 |
Herzfeld Caribbean Basin Fund 3D/A (Activist Acquisition of More Than 5% of Shares) SC 13D/A 1 fp0026648sc13da.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 3)* The Herzfeld Caribbean Basin Fund, Inc. (Name of Issuer) Common stock (Title of Class of Securities) 42804T106 (CUSIP Number) 119 Washington Avenue, Suite 504 Miami Beach, FL 33139 (Name, Address and Telephone Number of Per |
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| July 7, 2017 |
CUBA / Herzfeld Caribbean Basin Fund / HERZFELD THOMAS J Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 8)* The Herzfeld Caribbean Basin Fund, Inc. (Name of Issuer) Common stock (Title of Class of Securities) 42804T106 (CUSIP Number) 119 Washington Avenue, Suite 504 Miami Beach, FL 33139 (Name, Address and Telephone Number of Person Authorized to Receive Notic |
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| May 15, 2017 |
Exhibits: Certifications pursuant to Rule 30a-2(a) CERTIFICATIONS I, Erik M. Herzfeld, certify that: 1. I have reviewed this report on Form N-Q of The Herzfeld Caribbean Basin Fund, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which suc |
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| May 15, 2017 |
Herzfeld Caribbean Basin Fund Inc - UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-06445 The Herzfeld Caribbean Basin Fund, Inc. |
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| April 13, 2017 |
CUBA / Herzfeld Caribbean Basin Fund / Herzfeld Erik Mervin Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2)* The Herzfeld Caribbean Basin Fund, Inc. (Name of Issuer) Common stock (Title of Class of Securities) 42804T106 (CUSIP Number) 119 Washington Avenue, Suite 504 Miami Beach, FL 33139 (Name, Address and Telephone Number of Person Authorized to Receive Notic |
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| April 13, 2017 |
CUBA / Herzfeld Caribbean Basin Fund / HERZFELD THOMAS J Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 7)* The Herzfeld Caribbean Basin Fund, Inc. (Name of Issuer) Common stock (Title of Class of Securities) 42804T106 (CUSIP Number) 119 Washington Avenue, Suite 504 Miami Beach, FL 33139 (Name, Address and Telephone Number of Person Authorized to Receive Notic |
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| March 20, 2017 |
Herzfeld Caribbean Basin Fund 3D/A (Activist Acquisition of More Than 5% of Shares) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1)* The Herzfeld Caribbean Basin Fund, Inc. (Name of Issuer) Common stock (Title of Class of Securities) 42804T106 (CUSIP Number) 119 Washington Avenue, Suite 504 Miami Beach, FL 33139 (Name, Address and Telephone Number of Person Authorized to Receive Notic |
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| March 20, 2017 |
CUBA / Herzfeld Caribbean Basin Fund / HERZFELD THOMAS J Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 6)* The Herzfeld Caribbean Basin Fund, Inc. (Name of Issuer) Common stock (Title of Class of Securities) 42804T106 (CUSIP Number) 119 Washington Avenue, Suite 504 Miami Beach, FL 33139 (Name, Address and Telephone Number of Person Authorized to Receive Notic |
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| March 10, 2017 |
CUBA / Herzfeld Caribbean Basin Fund / HERZFELD THOMAS J Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 5)* The Herzfeld Caribbean Basin Fund, Inc. (Name of Issuer) Common stock (Title of Class of Securities) 42804T106 (CUSIP Number) 119 Washington Avenue, Suite 504 Miami Beach, FL 33139 (Name, Address and Telephone Number of Person Authorized to Receive Notic |
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| December 30, 2016 |
CUBA / Herzfeld Caribbean Basin Fund / Herzfeld Erik Mervin Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* The Herzfeld Caribbean Basin Fund, Inc. (Name of Issuer) Common stock (Title of Class of Securities) 42804T106 (CUSIP Number) 119 Washington Avenue, Suite 504 Miami Beach, FL 33139 (Name, Address and Telephone Number of Person Authorized to Receive Notice |
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| December 23, 2016 |
Herzfeld Caribbean Basin Fund 3D/A (Activist Acquisition of More Than 5% of Shares) fp0012683sc13da.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 4)* The Herzfeld Caribbean Basin Fund, Inc. (Name of Issuer) Common stock (Title of Class of Securities) 42804T106 (CUSIP Number) 119 Washington Avenue, Suite 504 Miami Beach, FL 33139 (Name, Address and Telephone Number of Person Authori |
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| November 18, 2016 |
Exhibits: Certifications pursuant to Rule 30a-2(a) CERTIFICATIONS I, Erik M. Herzfeld, certify that: 1. I have reviewed this report on Form N-Q of The Herzfeld Caribbean Basin Fund, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which suc |
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| November 18, 2016 |
Herzfeld Caribbean Basin Fund (Quarterly Schedule of Portfolio Holdings) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-06445 The Herzfeld Caribbean Basin Fund, Inc. |
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| October 21, 2016 |
Consent of Independent Registered Public Accounting Firm (n)(1) Consent of KPMG LLP. Consent of Independent Registered Public Accounting Firm The Board of Directors and Stockholders of The Herzfeld Caribbean Basin Fund, Inc.: We consent to the use of our report with respect to The Herzfeld Caribbean Basin Fund, Inc., dated August 21, 2015, incorporated by reference herein. /s/ KPMG LLP Columbus, Ohio October 21, 2016 |
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| October 21, 2016 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM (n)(2) Consent of Tait, Weller & Baker LLP. CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We have issued our report dated August 15, 2016 with respect to the financial statements and financial highlights of The Herzfeld Caribbean Basin Fund, Inc. contained in the Registration Statement and Prospectus on Form N-2, as amended, and referenced in the aforementioned report. We consent to the |
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| October 21, 2016 |
Herzfeld Caribbean Basin Fund POS As filed with the Securities and Exchange Commission on October 21, 2016 Securities Act File No. |
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| October 21, 2016 |
3000 Two Logan Square Eighteenth and Arch Streets Philadelphia, PA 19103-2799 215. |
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| August 29, 2016 |
August 29, 2016 Securities and Exchange Commission Washington, D.C. 20549 Ladies and Gentlemen: We were previously principal accountants for The Herzfeld Caribbean Basin Fund, Inc. (the Fund) and, under the date of August 21, 2015, we reported on the financial statements of the Fund, as of and for the years ended June 30, 2015 and 2014. On May 18, 2016, we were notified of our dismissal. We have r |
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| August 29, 2016 |
Change in Independent Registered Public Accounting Firm EX-99.77K CHNG ACCNT 5 fp0021235ex77k.htm Change in Independent Registered Public Accounting Firm The Audit Committee (the "Committee") of the Board of Directors of the Fund completed a competitive process to select the Fund's independent registered public accounting firm for the fiscal years ending June 30, 2016 and 2017. As a result of this process, on May 11, 2016, the Committee approved and th |
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| August 29, 2016 |
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Shareholders and Board of Directors The Herzfeld Caribbean Basin Fund, Inc. |
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| August 29, 2016 |
Herzfeld Caribbean Basin Fund 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| May 27, 2016 |
Herzfeld Caribbean Basin Fund (Quarterly Schedule of Portfolio Holdings) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-06445 The Herzfeld Caribbean Basin Fund, Inc. |
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| May 27, 2016 |
Exhibits: Certifications pursuant to Rule 30a-2(a) CERTIFICATIONS I, Erik M. Herzfeld, certify that: 1. I have reviewed this report on Form N-Q of The Herzfeld Caribbean Basin Fund, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which suc |
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| November 25, 2015 |
Herzfeld Caribbean Basin Fund ESP 3000 Two Logan Square Eighteenth and Arch Streets Philadelphia, PA 19103-2799 215. |
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| November 25, 2015 |
Herzfeld Caribbean Basin Fund (Quarterly Schedule of Portfolio Holdings) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-06445 The Herzfeld Caribbean Basin Fund, Inc. |
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| November 25, 2015 |
Exhibits: Certifications pursuant to Rule 30a-2(a) CERTIFICATIONS I, Thomas J. Herzfeld, certify that: 1. I have reviewed this report on Form N-Q of The Herzfeld Caribbean Basin Fund, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which s |
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| November 2, 2015 |
Consent of Independent Registered Public Accounting Firm EX-99.25.N 3 fp0016610ex9925n.htm Consent of Independent Registered Public Accounting Firm The Board of Directors and Stockholders of The Herzfeld Caribbean Basin Fund, Inc.: We consent to the use of our report with respect to The Herzfeld Caribbean Basin Fund, Inc., dated August 21, 2015, incorporated by reference herein, and to the references to our firm under the headings “Experts” in the Prosp |
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| November 2, 2015 |
3000 Two Logan Square Eighteenth and Arch Streets Philadelphia, PA 19103-2799 215. |
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| November 2, 2015 |
Herzfeld Caribbean Basin Fund EX As filed with the Securities and Exchange Commission on November 2, 2015 Securities Act File No. |
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| October 29, 2015 |
Herzfeld Caribbean Basin Fund ESP 3000 Two Logan Square Eighteenth and Arch Streets Philadelphia, PA 19103-2799 215. |
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| October 29, 2015 |
Herzfeld Caribbean Basin Fund ESP The Herzfeld Caribbean Basin Fund, Inc. 119 Washington Avenue, Suite 504 Miami Beach, FL 33139 (305) 271-1900 October 29, 2015 VIA EDGAR U.S. Securities and Exchange Commission Division of Investment Management 100 F Street, NE Washington, D.C. 20549 Attn: Alberto Zapata, Senior Counsel Re: The Herzfeld Caribbean Basin Fund, Inc. Post-Effective Amendment No. 3 to Shelf Registration Statement on Fo |
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| October 29, 2015 |
Consent of Independent Registered Public Accounting Firm Consent of Independent Registered Public Accounting Firm The Board of Directors and Stockholders of The Herzfeld Caribbean Basin Fund, Inc. |
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| October 29, 2015 |
Herzfeld Caribbean Basin Fund 8C As filed with the Securities and Exchange Commission on October 29, 2015 Securities Act File No. |
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| October 19, 2015 |
3000 Two Logan Square Eighteenth and Arch Streets Philadelphia, PA 19103-2799 215. |
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| October 19, 2015 |
As filed with the Securities and Exchange Commission on October 19, 2015 Securities Act File No. |
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| October 19, 2015 |
Consent of Independent Registered Public Accounting Firm EX-99.N 2 fp0016373ex99n.htm Consent of Independent Registered Public Accounting Firm The Board of Directors and Stockholders of The Herzfeld Caribbean Basin Fund, Inc.: We consent to the use of our report with respect to The Herzfeld Caribbean Basin Fund, Inc., dated August 21, 2015, incorporated by reference herein, and to the references to our firm under the headings “Financial Highlights”, “Ex |
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| October 19, 2015 |
THE HERZFELD CARIBBEAN BASIN FUND, INC. [ ] Shares Common Stock The information in this prospectus is not complete and my be changed. We may not sell these securities until the registration statement filed with the Securities and Exchange Commission is effective. This prospectus is not an offer to sell these securities and it is not soliciting an offer to buy these securities in any state where the offer and sale is not permitted. [FORM OF PROSPECTUS SUPPLEMEN |
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| September 10, 2015 |
Herzfeld Caribbean Basin Fund EX As filed with the Securities and Exchange Commission on September 10, 2015 Securities Act File No. |
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| September 10, 2015 |
EX-99.J.2 3 fp0015933ex99j2.htm STATE STREET BANK AND TRUST COMPANY THE HERZFELD CARIBBEAN BASIN FUND, INC. CONFIDENTIAL FEE SCHEDULE AS OF JULY 1, 2012 DOMESTIC AND FOREIGN CUSTODY This fee schedule is for services (the "Services") provided by State Street Bank and Trust Company or its affiliates ("State Street") to the Funds (as defined below) pursuant to that certain (a) Custodian and (b) Trans |
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| September 10, 2015 |
Consent of Independent Registered Public Accounting Firm Consent of Independent Registered Public Accounting Firm The Board of Directors and Stockholders of The Herzfeld Caribbean Basin Fund, Inc. |
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| September 10, 2015 |
THE HERZFELD CARIBBEAN BASIN FUND, INC. Common Stock, $0.001 par value per share EQUITY DISTRIBUTION AGREEMENT Dated September 10, 2015 Table of Contents Page SECTION 1. Description of Securities 1 SECTION 2. Placements 2 SECTION 3. Sale of Placement Securities by Ladenburg 3 SECTION 4. Suspension of Sales 3 SECTION 5. Representations and Warranties 3 SECTION 6. Representations and Warranties of t |
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| September 10, 2015 |
3000 Two Logan Square Eighteenth and Arch Streets Philadelphia, PA 19103-2799 215. |
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| August 28, 2015 |
Herzfeld Caribbean Basin Fund 14A fp0008029def14a.htm Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [X] Definitive Proxy Statement [ ] Definitive Additional Materia |
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| July 1, 2015 |
THOMAS J. HERZFELD ADVISORS, INC. THOMAS J. HERZFELD ADVISORS, INC. FOR IMMEDIATE RELEASE Miami Beach, Florida July 1, 2015 Thomas J. Herzfeld Advisors, Inc. 119 Washington Avenue, Suite 504 Miami Beach, FL 33139 www.herzfeld.com Thomas J. Herzfeld Advisors, Inc. Promotes Erik M. Herzfeld to Co-President Miami Beach, FL ? Thomas J. Herzfeld Advisors, Inc. (TJHA), an SEC registered investment advisor, today announced the promotion |
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| July 1, 2015 |
Herzfeld Caribbean Basin Fund (Current Report/Significant Event) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 1, 2015 HERZFELD CARIBBEAN BASIN FUND, INC. (Exact name of registrant as specified in its charter Maryland 811-06445 65-0396889 (State or other jurisdiction of incorporation) (Co |
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| June 10, 2015 |
Herzfeld Caribbean Basin Fund ESP The Herzfeld Caribbean Basin Fund, Inc. 119 Washington Avenue, Suite 504 Miami Beach, FL 33139 (305) 271-1900 June 10, 2015 VIA EDGAR U.S. Securities and Exchange Commission Division of Investment Management 100 F Street, NE Washington, D.C. 20549 Attn: Alberto Zapata, Senior Counsel Re: The Herzfeld Caribbean Basin Fund, Inc. Shelf Registration Statement on Form N-2 (File Nos. 333-202213 and 811- |
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| May 29, 2015 |
EX-99.CERT 2 fp0014575ex99cert.htm Exhibits: Certifications pursuant to Rule 30a-2(a) CERTIFICATIONS I, Thomas J. Herzfeld, certify that: 1. I have reviewed this report on Form N-Q of The Herzfeld Caribbean Basin Fund, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light |
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| May 29, 2015 |
Herzfeld Caribbean Basin Fund (Quarterly Schedule of Portfolio Holdings) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-06445 The Herzfeld Caribbean Basin Fund, Inc. |
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| May 21, 2015 |
Herzfeld Caribbean Basin Fund ESP 3000 Two Logan Square Eighteenth and Arch Streets Philadelphia, PA 19103-2799 215. |
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| December 29, 2014 |
CUBA / Herzfeld Caribbean Basin Fund / Herzfeld Erik Mervin Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1)* The Herzfeld Caribbean Basin Fund, Inc. (Name of Issuer) Common stock (Title of Class of Securities) 42804T106 (CUSIP Number) 119 Washington Avenue, Suite 504 Miami Beach, FL 33139 (Name, Address and Telephone Number of Person Authorized to Receive Notic |
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| December 29, 2014 |
CUBA / Herzfeld Caribbean Basin Fund / HERZFELD THOMAS J Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 3)* The Herzfeld Caribbean Basin Fund, Inc. (Name of Issuer) Common stock (Title of Class of Securities) 42804T106 (CUSIP Number) 119 Washington Avenue, Suite 504 Miami Beach, FL 33139 (Name, Address and Telephone Number of Person Authorized to Receive Notic |
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| December 22, 2014 |
CUBA / Herzfeld Caribbean Basin Fund / Bonaventure Investments Lp - SC 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Herzfeld Caribbean Basin Fund, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 42804T106 (CUSIP Number) December 12, 2014 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to |
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| December 19, 2014 |
CUBA / Herzfeld Caribbean Basin Fund / Herzfeld Erik Mervin Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* The Herzfeld Caribbean Basin Fund, Inc. (Name of Issuer) Common stock (Title of Class of Securities) 42804T106 (CUSIP Number) 119 Washington Avenue, Suite 504 Miami Beach, FL 33139 (Name, Address and Telephone Number of Person Authorized to Receive Notice |
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| December 19, 2014 |
CUBA / Herzfeld Caribbean Basin Fund / HERZFELD THOMAS J Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2)* The Herzfeld Caribbean Basin Fund, Inc. (Name of Issuer) Common stock (Title of Class of Securities) 42804T106 (CUSIP Number) 119 Washington Avenue, Suite 504 Miami Beach, FL 33139 (Name, Address and Telephone Number of Person Authorized to Receive Notic |
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| November 26, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 10, 2014 HERZFELD CARIBBEAN BASIN FUND, INC. (Exact name of registrant as specified in its charter Maryland 811-06445 65-0396889 (State or other jurisdiction of incorporation |
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| November 24, 2014 |
Herzfeld Caribbean Basin Fund Inc UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-06445 The Herzfeld Caribbean Basin Fund, Inc. |
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| November 24, 2014 |
Exhibits: Certifications pursuant to Rule 30a-2(a) CERTIFICATIONS I, Thomas J. Herzfeld, certify that: 1. I have reviewed this report on Form N-Q of The Herzfeld Caribbean Basin Fund, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which s |
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| October 2, 2014 |
CUBA / Herzfeld Caribbean Basin Fund CORRESP - - The Herzfeld Caribbean Basin Fund, Inc. 119 Washington Avenue, Suite 504 Miami Beach, FL 33139 (305) 271-1900 October 2, 2014 VIA EDGAR U.S. Securities and Exchange Commission Division of Investment Management 100 F Street, NE Washington, D.C. 20549 Attn: Alberto Zapata, Senior Counsel Re: The Herzfeld Caribbean Basin Fund, Inc. Registration Statement on Form N-2 (File Nos. 333-196458 and 811-0644 |
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| August 29, 2014 |
CUBA / Herzfeld Caribbean Basin Fund CORRESP - - 3000 Two Logan Square Eighteenth and Arch Streets Philadelphia, PA 19103-2799 215. |
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| August 29, 2014 |
CUBA / Herzfeld Caribbean Basin Fund DEF 14A - - Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| July 22, 2014 |
CUBA / Herzfeld Caribbean Basin Fund PRE 14A - - UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14A (RULE 14a-101) SCHEDULE 14A INFORMATION Proxy Statement Pursuant To Section 14(a) Of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [X] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)). |
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| July 22, 2014 |
CUBA / Herzfeld Caribbean Basin Fund COVER - - 3000 Two Logan Square Eighteenth and Arch Streets Philadelphia, PA 19103-2799 215. |
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| May 23, 2014 |
Quarterly Schedule of Portfolio Holdings - UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-06445 The Herzfeld Caribbean Basin Fund, Inc. |
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| May 23, 2014 |
Exhibits: Certifications pursuant to Rule 30a-2(a) CERTIFICATIONS I, Thomas J. Herzfeld, certify that: 1. I have reviewed this report on Form N-Q of The Herzfeld Caribbean Basin Fund, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which s |
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| February 24, 2014 |
CUBA / Herzfeld Caribbean Basin Fund / Thomas J. Herzfeld Advisors, Inc. Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1)* The Herzfeld Caribbean Basin Fund, Inc. (Name of Issuer) Common stock (Title of Class of Securities) 42804T106 (CUSIP Number) Thomas J. Herzfeld Advisors, Inc. ATTN: Reanna Lee 119 Washington Avenue, Suite 504 Miami Beach, FL 33139 (305) 271-1900 (Name, |
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| August 30, 2013 |
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM ON INTERNAL CONTROL REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM ON INTERNAL CONTROL To the Board of Directors and Stockholders of The Herzfeld Caribbean Basin Fund, Inc. |
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| August 30, 2013 |
Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| September 27, 2012 |
Herzfeld Caribbean Basin Fund, Inc. 119 Washington Avenue, Suite 504 Miami Beach, FL 33139 September 27, 2012 Electronic Mail Division of Investment Management Office of Disclosure and Review U.S. Securities and Exchange Commission 100 F Street, NE Washington, D.C. 20549 Attn: Ms. Kathy Churko Re: Herzfeld Caribbean Basin Fund, Inc. 1940 Act File No. 811-06445 Dear Ms. Churko: On behalf of Herzfel |
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| August 29, 2012 |
Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| August 29, 2012 |
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM ON INTERNAL CONTROL REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM ON INTERNAL CONTROL To the Shareholders and Board of Directors of The Herzfeld Caribbean Basin Fund, Inc. |
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| September 20, 2011 |
To the management and Board of Directors of The Herzfeld Caribbean Basin Fund, Inc. REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM ON INTERNAL CONTROL To the management and Board of Directors of The Herzfeld Caribbean Basin Fund, Inc. |
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| August 31, 2011 |
Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| August 31, 2011 |
To the management and Board of Directors of The Herzfeld Caribbean Basin Fund, Inc. REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM ON INTERNAL CONTROL To the management and Board of Directors of The Herzfeld Caribbean Basin Fund, Inc. |
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| August 18, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* The Herzfeld Caribbean Basin Fund, Inc. (Name of Issuer) Common stock (Title of Class of Securities) 42804T106 (CUSIP Number) PO Box 161465, Miami FL 33116 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) Aug |
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| August 30, 2010 |
Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| August 28, 2009 |
Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| August 29, 2008 |
Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| September 21, 2007 |
THE HERFZELD CARIBBEAN BASIN FUND, INC. THE HERFZELD CARIBBEAN BASIN FUND, INC. FOR IMMEDIATE RELEASE Miami, Florida NASDAQ Capital Market: CUBA September 20, 2007 Cusip: 42804T106 Thomas J. Herzfeld Advisors, Inc. PO Box 161465 Miami, FL 33116 www.herzfeld.com The Herzfeld Caribbean Basin Fund, Inc. Announces Revised Expiration Date for its Non-Transferable Rights Offering Miami, FL - The Herzfeld Caribbean Basin Fund, Inc. (NASDAQ: CU |
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| September 21, 2007 |
Other Events, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 20, 2007 HERZFELD CARIBBEAN BASIN FUND, INC. (Exact name of registrant as specified in its charter Maryland 811-06445 65-0396889 (State or other jurisdiction of incorporatio |
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| August 8, 2007 |
THE HERFZELD CARIBBEAN BASIN FUND, INC. THE HERFZELD CARIBBEAN BASIN FUND, INC. FOR IMMEDIATE RELEASE Miami, Florida NASDAQ Capital Market: CUBA August 7, 2007 Cusip: 42804T106 Thomas J. Herzfeld Advisors, Inc. PO Box 161465 Miami, FL 33116 www.herzfeld.com The Herzfeld Caribbean Basin Fund, Inc. Appoints New Independent Director Miami, FL - The Herzfeld Caribbean Basin Fund (Nasdaq Capital Market: CUBA) announced the appointment of Kay |
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| August 8, 2007 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 31, 2007 HERZFELD CARIBBEAN BASIN FUND, INC. (Exact name of registrant as specified in its charter Maryland 811-06445 65-0396889 (State or other jurisdiction of incorporation) (C |
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| July 30, 2007 |
THE HERFZELD CARIBBEAN BASIN FUND, INC. THE HERFZELD CARIBBEAN BASIN FUND, INC. FOR IMMEDIATE RELEASE Miami, Florida NASDAQ Capital Market: CUBA July 24, 2007 Cusip: 42804T106 Thomas J. Herzfeld Advisors, Inc. PO Box 161465 Miami, FL 33116 www.herzfeld.com The Herzfeld Caribbean Basin Fund, Inc. Announces Planned Non-Transferable Rights Offering Miami, FL - The Herzfeld Caribbean Basin Fund (NASDAQ Capital Market: CUBA) announced today |
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| July 30, 2007 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 23, 2007 HERZFELD CARIBBEAN BASIN FUND, INC. (Exact name of registrant as specified in its charter Maryland 811-06445 65-0396889 (State or other jurisdiction of incorporation) (C |
