Herzfeld Caribbean Basin SEC Filings

Welcome to our dedicated page for Herzfeld Caribbean Basin SEC filings (Ticker: CUBA), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.

The SEC filings page for The Herzfeld Caribbean Basin Fund, Inc. (NASDAQ: CUBA) aggregates the fund’s regulatory disclosures, including current reports, proxy materials, and other documents filed with the U.S. Securities and Exchange Commission. These filings document important decisions such as the stockholder-approved conversion from the fund’s prior investment strategy to a CLO Equity Strategy, along with the related changes to its investment objective and fundamental policies.

Among the notable filings is a Form 8-K reporting the results of the special meeting of stockholders held on June 17, 2025. That filing describes approval of an amended and restated investment advisory agreement with Thomas J. Herzfeld Advisors, Inc. to permit fees based on managed assets and an incentive fee, the revision of the investment objective to focus on maximizing risk-adjusted total returns with a secondary objective of generating high current income, and amendments to fundamental policies on borrowing, senior securities, underwriting, industry concentration, real estate, commodities, and lending.

Other SEC documents referenced in the fund’s press releases include preliminary and definitive proxy statements (such as PRE 14A and DEF 14A) related to the special meeting and the strategy change, as well as periodic reports that discuss the Managed Distribution Policy and its implications for distributions, including the potential use of long-term capital gains and return of capital.

On Stock Titan, these filings are presented with real-time updates from EDGAR and AI-powered summaries that help explain the key points of each document in clear language. Users can quickly see how the fund’s objectives, fee arrangements, and policies have evolved, and can use the filings archive to understand the regulatory history behind the transition from The Herzfeld Caribbean Basin Fund, Inc. (CUBA) toward operating as Herzfeld Credit Income Fund, Inc. under the ticker HERZ.