Guggenheim Capital LLC Herzfeld Caribbean Basin Fund Inc Transaction History

Guggenheim Capital LLC

$12.3 Billion
Q2 2025

Shares

6 transactions

Quarter	Operation	Price Per share	shares change	shares Held	SEC Form
Q2 2019 Aug 14, 2019	SELL	$5.67 - $6.24 $80,020 - $88,065	-14,113 Closed	0 $0
Q1 2019 May 15, 2019	SELL	$4.64 - $5.71 $222,371 - $273,651	-47,925 Reduced 77.25%	14,113 $83,000
Q4 2018 Feb 14, 2019	BUY	$4.64 - $6.22 $18,068 - $24,220	3,894 Added 6.7%	62,038 $302,000
Q3 2018 Nov 14, 2018	BUY	$6.19 - $6.54 $215,189 - $227,356	34,764 Added 148.69%	58,144 $372,000
Q2 2018 Aug 14, 2018	BUY	$6.37 - $6.93 $39,048 - $42,480	6,130 Added 35.54%	23,380 $154,000
Q1 2018 May 15, 2018	BUY	$6.8 - $7.29 $117,300 - $125,752	17,250 New	17,250 $123,000

Others Institutions Holding CUBA

# of Institutions

20

Shares Held

8.97M

Call Options Held

0

Put Options Held

0

Thomas J. Herzfeld Advisors, Inc. Miami Beach, FL

6.5M
Shares

$15.1 Million
5.86% of portfolio
Envestnet Asset Management Inc

1.53M
Shares

$3.54 Million
0.0% of portfolio
Choreo, LLC Minneapolis, MN

437K
Shares

$1.01 Million
0.02% of portfolio
Blue Bell Private Wealth Management, LLC

199K
Shares

$460,821
0.09% of portfolio
Cambridge Investment Research Advisors, Inc.

63.4K
Shares

$147,025
0.0% of portfolio

About HERZFELD CARIBBEAN BASIN FUND INC

Ticker CUBA
Exchange NASDAQ
Sector Financial Services
Industry Asset Management
Description
The Herzfeld Caribbean Basin Fund Inc. is a closed-ended equity mutual fund launched by Thomas J. Herzfeld Advisors, Inc. The fund is managed by Herzfeld/Cuba. It invests in the public equity markets of the United States. The fund employing fundamental analysis investing in stocks of companies that are likely to benefit from economic, political,...

More about CUBA

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