0001398344-24-006278.txt : 20240321 0001398344-24-006278.hdr.sgml : 20240321 20240321165818 ACCESSION NUMBER: 0001398344-24-006278 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240319 FILED AS OF DATE: 20240321 DATE AS OF CHANGE: 20240321 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Gelety John A CENTRAL INDEX KEY: 0001560467 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-06445 FILM NUMBER: 24772114 MAIL ADDRESS: STREET 1: THE HERZFELD CARIBBEAN BASIN FUND INC. STREET 2: 119 WASHINGTON AVE., SUITE 504 CITY: MIAMI BEACH STATE: FL ZIP: 33139 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: HERZFELD CARIBBEAN BASIN FUND INC CENTRAL INDEX KEY: 0000880406 ORGANIZATION NAME: IRS NUMBER: 650396889 STATE OF INCORPORATION: MD FISCAL YEAR END: 0630 BUSINESS ADDRESS: STREET 1: 119 WASHINGTON AVENUE, SUITE 504 CITY: MIAMI BEACH STATE: FL ZIP: 33139 BUSINESS PHONE: 305-777-1660 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 4 1 fp0087658-4_4.xml X0508 4 2024-03-19 0 0000880406 HERZFELD CARIBBEAN BASIN FUND INC CUBA 0001560467 Gelety John A THE HERZFELD CARIBBEAN BASIN FUND INC. 119 WASHINGTON AVE., SUITE 504 MIAMI BEACH FL 33139 1 0 0 0 0 Common stock 2024-03-19 4 D 0 906 3.3833 D 5760 D The amount reported represents the estimated number of shares tendered to The Herzfeld Caribbean Basin Fund, Inc. (the "Fund") in connection with the issuer tender offer by the Fund pursuant to the Tender Offer Statement on Schedule TO filed with the Securities and Exchange Commission on February 20, 2024 (the "Tender Offer"). The Fund will purchase only a prorated portion of the shares properly tendered by each tendering stockholder. Based on a preliminary count reported by the Fund, the preliminary proration factor is 13.59%. If necessary, an amended Form 4 will be filed to report the number of shares actually disposed of by the reporting person in connection with the Tender Offer once the final proration factor is determined. /s/ John A. Gelety 2024-03-21