0001067621-19-000001.txt : 20191101 0001067621-19-000001.hdr.sgml : 20191101 20191101131045 ACCESSION NUMBER: 0001067621-19-000001 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20191101 DATE AS OF CHANGE: 20191101 GROUP MEMBERS: PHILLIP GOLDSTEIN SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: HERZFELD CARIBBEAN BASIN FUND INC CENTRAL INDEX KEY: 0000880406 IRS NUMBER: 650396889 STATE OF INCORPORATION: MD FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-86371 FILM NUMBER: 191186259 BUSINESS ADDRESS: STREET 1: 119 WASHINGTON AVENUE, SUITE 504 CITY: MIAMI BEACH STATE: FL ZIP: 33139 BUSINESS PHONE: 3052711900 MAIL ADDRESS: STREET 1: 119 WASHINGTON AVENUE, SUITE 504 CITY: MIAMI BEACH STATE: FL ZIP: 33139 FORMER COMPANY: FORMER CONFORMED NAME: FIRST CUBA FUND INC DATE OF NAME CHANGE: 19920929 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: GOLDSTEIN PHILLIP CENTRAL INDEX KEY: 0001067621 FILING VALUES: FORM TYPE: SC 13D/A MAIL ADDRESS: STREET 1: 60 HERITAGE DRIVE CITY: PLEASANTVILLE STATE: NY ZIP: 10570 SC 13D/A 1 thirda.txt SCHEDULE 13D/A DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT 10/29/19 ___________________________________________________________ 1. NAME OF REPORTING PERSON Phillip Goldstein 2. CHECK THE BOX IF MEMBER OF A GROUP a[ ] b[] 3. SEC USE ONLY 4. SOURCE OF FUNDS WC 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) AND 2(e) [] 6. CITIZENSHIP OR PLACE OF ORGANIZATION USA ___________________________________________________________ 7. SOLE VOTING POWER 396,087 8. SHARED VOTING POWER 315,238 9. SOLE DISPOSITIVE POWER 396,087 _______________________________________________________ 10. SHARED DISPOSITIVE POWER 315,238 11. AGGREGATE AMOUNT OWNED BY EACH REPORTING PERSON 711,325 (Footnote 1) 12. CHECK IF THE AGGREGATE AMOUNT EXCLUDES CERTAIN SHARES [] ___________________________________________________________ 13. PERCENT OF CLASS REPRESENTED BY ROW 11 11.60% 14. TYPE OF REPORTING PERSON IN ___________________________________________________________ Item 1. SECURITY AND ISSUER TThis statement constitutes Amendment #1 to the schedule 13d filed April 30, 2019. Except as specifically set forth herein, the Schedule 13d remains unmodified. ITEM 5. INTEREST IN SECURITIES OF THE ISSUER (a) As per the DEF 14A filed on September 30, 2019, there were 6,133,659 shares of common stock outstanding as of August 16, 2019. The percentages set forth herein were derived using such number. As of October 31, 2019, Phillip Goldstein is deemed to be the beneficial owner of 711,325 shares of CUBA (representing 11.60% of CUBA's outstanding shares) solely by virtue of his power to direct the vote of,and dispose of, these shares. These 711,325 shares of CUBA include 396,087 shares (representing 6.46% of CUBA's outstanding shares) that are beneficially owned by Mr. Goldstein. All other shares included in the aforementioned 711,325 shares of CUBA beneficially owned by Phillip Goldstein (solely by virtue of his power to sell or direct the vote of these shares) are also beneficially owned by individuals and entities who are not members of any group. The total number of these "non-group" shares is 315,238 (representing 5.14% of CUBA's outstanding shares). (b)Phillip Goldstein has sole power to dispose of and vote 396,087 shares. Certain other individuals and entities have shared power to dispose of and vote 315,238 shares. c) During the past 60 days the following shares of CUBA were purchased: Date: Shares: Price: 10/31/19 35,000 6.4600 10/29/19 18,223 6.4500 10/24/19 20,000 6.4900 10/23/19 5,000 6.5000 10/08/19 2 6.1900 10/02/19 5,000 6.1500 09/30/19 4,700 6.3300 d) Beneficial owners of the shares are entitled to receive any dividends or sales proceeds. e) N/A ITEM 6. CONTRACTS,ARRANGEMENTS,UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER. N/A ITEM 7. MATERIAL TO BE FILED AS EXHIBITS N/A After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. By: /S/ Phillip Goldstein Name: Phillip Goldstein Date: 11/1/19