Statement of Changes in Beneficial Ownership (4)
October 15 2021 - 8:46AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
HERZFELD THOMAS J |
2. Issuer Name and Ticker or Trading Symbol
HERZFELD CARIBBEAN BASIN FUND INC
[
CUBA
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
THE HERZFELD CARIBBEAN BASIN FUND INC, 119 WASHINGTON AVENUE, SUITE 504 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
9/30/2021 |
(Street)
MIAMI BEACH, FL 33139
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common stock | 9/30/2021 | | J(1) | | 15680 | A | $5.6778 | 558578 (2) | D | |
Common stock | 10/1/2021 | | J(1) | | 3669 | A | $5.6778 | 562247 | D | |
Common stock | 10/4/2021 | | J(1) | | 78 | A | $5.6778 | 562325 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | On September 30, 2021, the Fund paid a quarterly distribution of $0.26475 per share to shareholders of record on August 30, 2021 (the "September 2021 Distribution"). The September 2021
Distribution was paid in cash or shares of the Fund's common stock at the election of stockholders with the total amount of cash distributed to all stockholders limited to 20% of the total distribution to be paid, excluding any cash paid for
fractional shares. The remainder of the September 2021 Distribution (approximately 80%) was paid in the form of shares of the Fund's common stock. The price per share was $5.6778. Mr. T. Herzfeld received 19,427 shares of
common stock of the Fund in the September 2021 Distribution. |
(2) | Includes 8,582 shares issued in two transactions as part of the dividend reinvestment plan on March 31, 2021 and June 30, 2021. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
HERZFELD THOMAS J THE HERZFELD CARIBBEAN BASIN FUND INC 119 WASHINGTON AVENUE, SUITE 504 MIAMI BEACH, FL 33139 | X |
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Signatures
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/s/ Thomas J. Herzfeld | | 10/14/2021 |
**Signature of Reporting Person | Date |
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