Herzfeld Caribbean Basin Fund Inc: Ownership
| Ownership Information |
|---|
| Shares Outstanding |
4.00 Mil | | Institutional Ownership (%) | .63 | | Top 10 Institutions (%) | .60 | | Mutual Fund Ownership (%) | .00 | | 5%/Insider Ownership (%) | .00 | | Float (%) | .00 |
| Ownership Activity |
|---|
| Description | # of Holders | Shares |
|---|
| Total Positions |
5 | 25,120 | | New Positions | 3 | 0 | | Soldout Positions | 5 | 0 | | Net Position Change | 0 | -135,345 | | Buyers | 5 | 15,480 | | Sellers | 5 | -150,825 |
| advertisement |
|
|
|---|
| Institution Name |
Shs Held |
Shs Chg |
%Chg |
$Chg* |
%Out |
%Port |
Rpt Date |
| Wells Fargo Securities, LLC |
11,390 |
4,000 |
54.1 |
29,406 |
0.3 |
0.0 |
09-30-09 |
| RiverSource Investments, LLC |
9,650 |
7,400 |
328.9 |
49,261 |
0.3 |
0.0 |
09-30-09 |
| Credit Suisse Asset Management, LLC (US) |
3,500 |
3,500 |
100.0 |
22,820 |
0.1 |
0.0 |
09-30-09 |
| UBS Securities LLC |
527 |
527 |
100.0 |
3,436 |
0.0 |
0.0 |
09-30-09 |
| Charles Schwab Investment Management, Inc. |
53 |
53 |
100.0 |
346 |
0.0 |
0.0 |
09-30-09 |
| J.P. Morgan Investment Management Inc. (New York) |
0 |
-111,000 |
-100.0 |
-643,800 |
0.0 |
0.0 |
12-31-08 |
| Karpus Investment Management |
0 |
-17,791 |
-100.0 |
-74,722 |
0.0 |
0.0 |
03-31-09 |
| PNC Wealth Management |
0 |
-455 |
-100.0 |
-2,639 |
0.0 |
0.0 |
12-31-08 |
| RBC Asset Management, Inc. |
0 |
-2,100 |
-100.0 |
-12,180 |
0.0 |
0.0 |
12-31-08 |
| Citi Investment Research (US) |
0 |
-19,479 |
-100.0 |
-112,978 |
0.0 |
0.0 |
12-31-08 |
- *Category Headings:
- Shs Held - shares held at report date
- Shs Chg - position change within reporting period
- %Chg - % change
- $Chg - market value of the position change
- %Out - % of shares outstanding
- %Port - % Portfolio
- Rpt Date - report date
Page generated 2/9/2010 11:58 PM Eastern Time
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