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SCHEDULE Filed 2025-03-13 Event 2025-03-11 SEC 0001398344-25-005560 →

HERZFELD THOMAS J HERZFELD CARIBBEAN BASIN FUND INC HERZ

Stake: 39.89% Shares: 6,271,581 CUSIP: 42804T106 Class: Common Stock

Item 4 — Purpose of Transaction

Not applicable.

Cross-References

Insider Activity (last 365d)
0 transactions
0 buys · 0 sales · 0 awards/exercises
Issuer Cluster
15 13D/G filings on this issuer
14 other filings besides this one
Filer Track Record
7 filings by this filer
6 other filings in the data moat
Short Interest · settle 2026-07-15
DTC 1.00
5,695 shares short · +289.3% vs prior

Post-Filing Returns · since 2025-03-11 on HERZ

+1 day
0.0%
+5 days
0.0%
+30 days
0.0%
+60 days
0.0%
+90 days
0.0%
+180 days
0.0%

Anchor price 16.82 on closest trading day on/after 2025-03-11. Source: Yahoo Finance daily adj_close (split + dividend adjusted).

Other 13D/G Filings on HERZFELD CARIBBEAN BASIN FUND INC

FiledFormFilerStakeShares
2026-01-08 SCHEDULE Herzfeld Erik Mervin 37.95% 7,394,580 view →
2026-01-02 SCHEDULE HERZFELD THOMAS J 44.19% 8,609,180 view →
2025-12-29 SCHEDULE Herzfeld Erik Mervin 38.95% 6,256,954 view →
2025-03-13 SCHEDULE Herzfeld Erik Mervin 33.71% 5,299,498 view →
2025-03-10 SCHEDULE Herzfeld Erik Mervin 29.08% 4,571,282 view →
2025-03-10 SCHEDULE HERZFELD THOMAS J 35.85% 5,635,795 view →
2025-03-06 SCHEDULE HERZFELD THOMAS J 34.12% 5,364,041 view →
2025-03-06 SCHEDULE Herzfeld Erik Mervin 26.88% 4,225,115 view →
2024-05-06 SC Herzfeld Erik Mervin view →
2021-07-12 SC HERZFELD THOMAS J view →
2021-07-12 SC Herzfeld Erik Mervin view →
2021-03-19 SC HERZFELD THOMAS J view →
2021-03-19 SC Herzfeld Erik Mervin view →
2019-01-07 SC HERZFELD THOMAS J view →

Other Filings by HERZFELD THOMAS J

FiledFormIssuerStakeShares
2026-01-02 SCHEDULE Herzfeld Credit Income Fund, Inc HERZ 44.19% 8,609,180 view →
2025-03-10 SCHEDULE HERZFELD CARIBBEAN BASIN FUND INC HERZ 35.85% 5,635,795 view →
2025-03-06 SCHEDULE HERZFELD CARIBBEAN BASIN FUND INC HERZ 34.12% 5,364,041 view →
2021-07-12 SC HERZFELD CARIBBEAN BASIN FUND INC HERZ view →
2021-03-19 SC HERZFELD CARIBBEAN BASIN FUND INC HERZ view →
2019-01-07 SC HERZFELD CARIBBEAN BASIN FUND INC HERZ view →

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