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Disclosery

HERZ HERZFELD CARIBBEAN BASIN FD

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COM (fund), issuer CIK 880406

13 managers (13 13F filers) reported a position in HERZ shares at 2026-06-30, 1,207,926 shares in all. 1 filer opened a position and 0 filers sold out during the quarter.

Managers
13
13F filers
13
New
1
Added
7
Reduced
3
Sold out
0
Shares held by filers
1,207,926

Shares held by filers adds up every 13F filer's report, so a share reported by a parent and by its subsidiary counts twice (H9). Managers counts each filer group once.

13D and 13G filers

Each filer's latest stake. The shares are the aggregate the reporting persons state, which can include entities that file no 13F.

  • HERZFELD THOMAS J
    874,645 shares, 43.35% in a 13D/A as of 2026-09-28,0001398344-26-017616
    Accepted , ingested
  • Herzfeld Erik Mervin
    756,694 shares, 37.5% in a 13D/A as of 2026-09-24,0001398344-26-017469
    Accepted , ingested

Insider trades

No Form 4 transaction on this security in the data.

13F holders, Q2 2026

Filers in the available 13F reports with a share position at 2026-06-30, filer groups collapsed to one row (method), largest first. Options and principal amounts are left out. A group row states no % of portfolio, since each member reports its own portfolio: the members' percents are listed under it. A value about 1,000 times or 1/1,000 of the price other filers imply is shown as filed but neither ranks the row nor enters a sum.

HolderSharesValue% of portfolioChangeSource
Thomas J. Herzfeld Advisors, Inc.817,534$14.1M4.32%+10,31913F-HRTimeline
ENVESTNET ASSET MANAGEMENT INCin group ENVESTNET ASSET MANAGEMENT INC268,909$4.63M<0.01%+17,88013F-HRTimelineGroup
CHOREO, LLC46,992$808K0.01%+1,44213F-HRTimeline
CSS LLC/IL37,977$653K0.03%-9,81913F-HRTimeline
Private Advisor Group, LLC20,550$353K<0.01%new13F-HRTimeline
OSAIC HOLDINGS, INC.in group OSAIC HOLDINGS, INC.4,777$82.3K<0.01%+38113F-HRTimelineGroup
INTERNATIONAL ASSETS INVESTMENT MANAGEM…3,842$65.7K<0.01%-20013F-HRTimeline
BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC2,997$51.5K0.01%-1,31013F-HRTimeline
MORGAN STANLEYin group MORGAN STANLEY2,614$45K<0.01%013F-HRTimelineGroup
Rockefeller Capital Management L.P.in group Rockefeller Capital Managemen…1,112$19.1K<0.01%+3013F-HRTimelineGroup
ROYAL BANK OF CANADAin group ROYAL BANK OF CANADA534$9K<0.01%+2413F-HRTimelineGroup
JPMORGAN CHASE & COin group JPMORGAN CHASE & CO61$1.01K<0.01%+913F-HRTimelineGroup
CoreCap Advisors, LLC27$464<0.01%013F-HRTimeline

Events

  • HERZFELD THOMAS J reported 874,645 HERZ shares, 43.35% of the class, as of 2026-09-28, in a 13D/A filed 2026-09-30. 0001398344-26-017616

    Accepted , ingested

  • Herzfeld Erik Mervin reported 756,694 HERZ shares, 37.5% of the class, as of 2026-09-24, in a 13D/A filed 2026-09-28. 0001398344-26-017469

    Accepted , ingested