HERZ

SEC source: 0001398344-23-007069 · fp0082962-5_4.xml · nonDerivative · entry 1

Paylor Ryan M · CIK 0001767956 · Portfolio Manager

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,920

F1 · kind: On Mar. 31, 2023, the Fund paid a quarterly distribution of $0.173625 per share to shareholders of record on Feb. 15, 2023 in cash and shares of common stock (the "Mar. 2023 Distribution"). The Mar. 2023 Distribution was paid in cash or shares of the Fund's common stock at the election of stockholders with the total amount of cash distributed to all stockholders limited to 20% of the total distribution to be paid, excluding any cash paid for fractional shares. The remainder of the Mar. 2023 Distribution (approx. 80%) was paid in the form of shares of the Fund's common stock. The exact distribution of cash and stock to any given stockholder was dependent upon their election as well as elections of other stockholders, subject to the pro-rata limitation. The price per share used to calculate the number of shares to be issued in lieu of cash was $3.6965. Mr. R. Paylor received 117 shares of common stock of the Fund in connection with the Mar. 2023 Distribution.

SEC source: 0001398344-23-007066 · fp0082962-4_4.xml · nonDerivative · entry 1

LIEFF ANN S · CIK 0000901690 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 14,794

F1 · kind: On Mar. 31, 2023, the Fund paid a quarterly distribution of $0.173625 per share to shareholders of record on Feb. 15, 2023 in cash and shares of common stock (the "Mar. 2023 Distribution"). The Mar. 2023 Distribution was paid in cash or shares of the Fund's common stock at the election of stockholders with the total amount of cash distributed to all stockholders limited to 20% of the total distribution to be paid, excluding any cash paid for fractional shares. The remainder of the Mar. 2023 Distribution (approx. 80%) was paid in the form of shares of the Fund's common stock. The exact distribution of cash and stock to any given stockholder was dependent upon their election as well as elections of other stockholders, subject to the pro-rata limitation. The price per share used to calculate the number of shares to be issued in lieu of cash was $3.6965. Ms. A. Lieff received 441 shares of common stock of the Fund in connection with the Mar. 2023 Distribution.

SEC source: 0001398344-23-007064 · fp0082962-1_4.xml · nonDerivative · entry 1

TATUM KAY W · CIK 0001416189 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,422

F1 · kind: On Mar. 31, 2023, the Fund paid a quarterly distribution of $0.173625 per share to shareholders of record on Feb. 15, 2023 in cash and shares of common stock (the "Mar. 2023 Distribution"). The Mar. 2023 Distribution was paid in cash or shares of the Fund's common stock at the election of stockholders with the total amount of cash distributed to all stockholders limited to 20% of the total distribution to be paid, excluding any cash paid for fractional shares. The remainder of the Mar. 2023 Distribution (approx. 80%) was paid in the form of shares of the Fund's common stock. The exact distribution of cash and stock to any given stockholder was dependent upon their election as well as elections of other stockholders, subject to the pro-rata limitation. The price per share used to calculate the number of shares to be issued in lieu of cash was $3.6965. Ms. K. Tatum received 63 shares of common stock of the Fund in connection with the Mar. 2023 Distribution.

SEC source: 0001398344-23-000102 · fp0081427-7_4.xml · nonDerivative · entry 1

TATUM KAY W · CIK 0001416189 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,359

F1 · kind: On Dec. 30, 2022, the Fund paid a quarterly distribution of $0.173625 per share to shareholders of record on November 18, 2022 in cash and shares of common stock (the "Dec. 2022 Distribution"). The Dec. 2022 Distribution was paid in cash or shares of the Fund's common stock at the election of stockholders with the total amount of cash distributed to all stockholders limited to 20% of the total distribution to be paid, excluding any cash paid for fractional shares. The remainder of the Dec. 2022 Distribution (approx. 80%) was paid in the form of shares of the Fund's common stock. The exact distribution of cash and stock to any given stockholder was dependent upon their election as well as elections of other stockholders, subject to the pro-rata limitation. The price per share used to calculate the number of shares to be issued in lieu of cash was $3.9557. Ms. K. Tatum received 57 shares of common stock of the Fund in connection with the Dec. 2022 Distribution.

SEC source: 0001398344-23-000101 · fp0081427-6_4.xml · nonDerivative · entry 1

Paylor Ryan M · CIK 0001767956 · Portfolio Manager

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,803

F1 · kind: On Dec. 30, 2022, the Fund paid a quarterly distribution of $0.173625 per share to shareholders of record on November 18, 2022 in cash and shares of common stock (the "Dec. 2022 Distribution"). The Dec. 2022 Distribution was paid in cash or shares of the Fund's common stock at the election of stockholders with the total amount of cash distributed to all stockholders limited to 20% of the total distribution to be paid, excluding any cash paid for fractional shares. The remainder of the Dec. 2022 Distribution (approx. 80%) was paid in the form of shares of the Fund's common stock. The exact distribution of cash and stock to any given stockholder was dependent upon their election as well as elections of other stockholders, subject to the pro-rata limitation. The price per share used to calculate the number of shares to be issued in lieu of cash was $3.9557. Mr. R. Paylor received 102 shares of common stock of the Fund in connection with the Dec. 2022 Distribution.

SEC source: 0001398344-23-000098 · fp0081427-4_4.xml · nonDerivative · entry 1

Gelety John A · CIK 0001560467 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,900

F1 · kind: On Dec. 30, 2022, the Fund paid a quarterly distribution of $0.173625 per share to shareholders of record on November 18, 2022 in cash and shares of common stock (the "Dec. 2022 Distribution"). The Dec. 2022 Distribution was paid in cash or shares of the Fund's common stock at the election of stockholders with the total amount of cash distributed to all stockholders limited to 20% of the total distribution to be paid, excluding any cash paid for fractional shares. The remainder of the Dec. 2022 Distribution (approx. 80%) was paid in the form of shares of the Fund's common stock. The exact distribution of cash and stock to any given stockholder was dependent upon their election as well as elections of other stockholders, subject to the pro-rata limitation. The price per share used to calculate the number of shares to be issued in lieu of cash was $3.9557. Mr. J. Gelety received 121 shares of common stock of the Fund in connection with the Dec. 2022 Distribution.

SEC source: 0001398344-23-000097 · fp0081427-5_4.xml · nonDerivative · entry 1

LIEFF ANN S · CIK 0000901690 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,353

F1 · kind: On Dec. 30, 2022, the Fund paid a quarterly distribution of $0.173625 per share to shareholders of record on November 18, 2022 in cash and shares of common stock (the "Dec. 2022 Distribution"). The Dec. 2022 Distribution was paid in cash or shares of the Fund's common stock at the election of stockholders with the total amount of cash distributed to all stockholders limited to 20% of the total distribution to be paid, excluding any cash paid for fractional shares. The remainder of the Dec. 2022 Distribution (approx. 80%) was paid in the form of shares of the Fund's common stock. The exact distribution of cash and stock to any given stockholder was dependent upon their election as well as elections of other stockholders, subject to the pro-rata limitation. The price per share used to calculate the number of shares to be issued in lieu of cash was $3.9557. Ms. A. Lieff received 385 shares of common stock of the Fund in connection with the Dec. 2022 Distribution.

SEC source: 0001398344-23-000094 · fp0081427-3_4.xml · nonDerivative · entry 1

HERZFELD THOMAS J · CIK 0001310710 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 556,564

F1 · kind: On Dec. 30, 2022, the Fund paid a quarterly distribution of $0.173625 per share to shareholders of record on November 18, 2022 in cash and shares of common stock (the "Dec. 2022 Distribution"). The Dec. 2022 Distribution was paid in cash or shares of the Fund's common stock at the election of stockholders with the total amount of cash distributed to all stockholders limited to 20% of the total distribution to be paid, excluding any cash paid for fractional shares. The remainder of the Dec. 2022 Distribution (approx. 80%) was paid in the form of shares of the Fund's common stock. The exact distribution of cash and stock to any given stockholder was dependent upon their election as well as elections of other stockholders, subject to the pro-rata limitation. The price per share used to calculate the number of shares to be issued in lieu of cash was $3.9557. Mr. T. Herzfeld received 20,077 shares of common stock of the Fund in connection with the Dec. 2022 Distribution.

SEC source: 0001398344-23-000092 · fp0081427-2_4.xml · nonDerivative · entry 1

Herzfeld Erik Mervin · CIK 0001413260 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 206,680

F1 · kind: On Dec. 30, 2022, the Fund paid a quarterly distribution of $0.173625 per share to shareholders of record on November 18, 2022 in cash and shares of common stock (the "Dec. 2022 Distribution"). The Dec. 2022 Distribution was paid in cash or shares of the Fund's common stock at the election of stockholders with the total amount of cash distributed to all stockholders limited to 20% of the total distribution to be paid, excluding any cash paid for fractional shares. The remainder of the Dec. 2022 Distribution (approx. 80%) was paid in the form of shares of the Fund's common stock. The exact distribution of cash and stock to any given stockholder was dependent upon their election as well as elections of other stockholders, subject to the pro-rata limitation. The price per share used to calculate the number of shares to be issued in lieu of cash was $3.9557. Mr. E. Herzfeld received 5,945 shares of common stock of the Fund in connection with the Dec. 2022 Distribution.

SEC source: 0001398344-23-000090 · fp0081427-1_4.xml · nonDerivative · entry 1

GONDOR CECILIA L · CIK 0001312266 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,684

F1 · kind: On Dec. 30, 2022, the Fund paid a quarterly distribution of $0.173625 per share to shareholders of record on November 18, 2022 in cash and shares of common stock (the "Dec. 2022 Distribution"). The Dec. 2022 Distribution was paid in cash or shares of the Fund's common stock at the election of stockholders with the total amount of cash distributed to all stockholders limited to 20% of the total distribution to be paid, excluding any cash paid for fractional shares. The remainder of the Dec. 2022 Distribution (approx. 80%) was paid in the form of shares of the Fund's common stock. The exact distribution of cash and stock to any given stockholder was dependent upon their election as well as elections of other stockholders, subject to the pro-rata limitation. The price per share used to calculate the number of shares to be issued in lieu of cash was $3.9557. Ms. C. Gondor received 312 shares of common stock of the Fund in connection with the Dec. 2022 Distribution.

SEC source: 0001398344-22-022307 · fp0080819-2_4.xml · nonDerivative · entry 1

HERZFELD THOMAS J · CIK 0001310710 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 536,489

SEC source: 0001398344-22-022305 · fp0080819-3_4.xml · nonDerivative · entry 1

Herzfeld Erik Mervin · CIK 0001413260 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,735

SEC source: 0001398344-22-022303 · fp0080819-1_4.xml · nonDerivative · entry 1

Paylor Ryan M · CIK 0001767956 · Portfolio Manager

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,701

SEC source: 0001398344-22-019738 · fp0080054-1_4.xml · nonDerivative · entry 1

GONDOR CECILIA L · CIK 0001312266 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,372

F1 · kind: On Sept. 30, 2022, the Fund paid a quarterly distribution of $0.173625 per share to shareholders of record on August 22, 2022 in cash and shares of common stock (the "Sept. 2022 Distribution"). The Sept. 2022 Distribution was paid in cash or shares of the Fund's common stock at the election of stockholders with the total amount of cash distributed to all stockholders limited to 20% of the total distribution to be paid, excluding any cash paid for fractional shares. The remainder of the Sept. 2022 Distribution (approx. 80%) was paid in the form of shares of the Fund's common stock. The exact distribution of cash and stock to any given stockholder was dependent upon their election as well as elections of other stockholders, subject to the pro-rata limitation. The price per share used to calculate the number of shares to be issued in lieu of cash was $4.24595. Ms. C. Gondor received 279 shares of common stock of the Fund in connection with the Sept. 2022 Distribution.

SEC source: 0001398344-22-019750 · fp0080054-7_4.xml · nonDerivative · entry 1

Gelety John A · CIK 0001560467 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,779

F1 · kind: On Sept. 30, 2022, the Fund paid a quarterly distribution of $0.173625 per share to shareholders of record on August 22, 2022 in cash and shares of common stock (the "Sept. 2022 Distribution"). The Sept. 2022 Distribution was paid in cash or shares of the Fund's common stock at the election of stockholders with the total amount of cash distributed to all stockholders limited to 20% of the total distribution to be paid, excluding any cash paid for fractional shares. The remainder of the Sept. 2022 Distribution (approx. 80%) was paid in the form of shares of the Fund's common stock. The exact distribution of cash and stock to any given stockholder was dependent upon their election as well as elections of other stockholders, subject to the pro-rata limitation. The price per share used to calculate the number of shares to be issued in lieu of cash was $4.24595. Mr. J. Gelety received 109 shares of common stock of the Fund in connection with the Sept. 2022 Distribution.

SEC source: 0001398344-22-019749 · fp0077325_4.xml · nonDerivative · entry 1

TATUM KAY W · CIK 0001416189 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,302

F1 · kind: On Sept. 30, 2022, the Fund paid a quarterly distribution of $0.173625 per share to shareholders of record on August 22, 2022 in cash and shares of common stock (the "Sept. 2022 Distribution"). The Sept. 2022 Distribution was paid in cash or shares of the Fund's common stock at the election of stockholders with the total amount of cash distributed to all stockholders limited to 20% of the total distribution to be paid, excluding any cash paid for fractional shares. The remainder of the Sept. 2022 Distribution (approx. 80%) was paid in the form of shares of the Fund's common stock. The exact distribution of cash and stock to any given stockholder was dependent upon their election as well as elections of other stockholders, subject to the pro-rata limitation. The price per share used to calculate the number of shares to be issued in lieu of cash was $4.24595. Ms. K. Tatum received 51 shares of common stock of the Fund in connection with the Sept. 2022 Distribution.

SEC source: 0001398344-22-019746 · fp0080054-3_4.xml · nonDerivative · entry 1

Paylor Ryan M · CIK 0001767956 · Portfolio Manager

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,316

F1 · kind: On Sept. 30, 2022, the Fund paid a quarterly distribution of $0.173625 per share to shareholders of record on August 22, 2022 in cash and shares of common stock (the "Sept. 2022 Distribution"). The Sept. 2022 Distribution was paid in cash or shares of the Fund's common stock at the election of stockholders with the total amount of cash distributed to all stockholders limited to 20% of the total distribution to be paid, excluding any cash paid for fractional shares. The remainder of the Sept. 2022 Distribution (approx. 80%) was paid in the form of shares of the Fund's common stock. The exact distribution of cash and stock to any given stockholder was dependent upon their election as well as elections of other stockholders, subject to the pro-rata limitation. The price per share used to calculate the number of shares to be issued in lieu of cash was $4.24595. Mr. R. Paylor received 170 shares of common stock of the Fund in connection with the Sept. 2022 Distribution.

SEC source: 0001398344-22-019745 · fp0080054-2_4.xml · nonDerivative · entry 1

LIEFF ANN S · CIK 0000901690 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,968

F1 · kind: On Sept. 30, 2022, the Fund paid a quarterly distribution of $0.173625 per share to shareholders of record on August 22, 2022 in cash and shares of common stock (the "Sept. 2022 Distribution"). The Sept. 2022 Distribution was paid in cash or shares of the Fund's common stock at the election of stockholders with the total amount of cash distributed to all stockholders limited to 20% of the total distribution to be paid, excluding any cash paid for fractional shares. The remainder of the Sept. 2022 Distribution (approx. 80%) was paid in the form of shares of the Fund's common stock. The exact distribution of cash and stock to any given stockholder was dependent upon their election as well as elections of other stockholders, subject to the pro-rata limitation. The price per share used to calculate the number of shares to be issued in lieu of cash was $4.24595. Ms. A. Lieff received 343 shares of common stock of the Fund in connection with the Sept. 2022 Distribution.

SEC source: 0001398344-22-019742 · fp0080054-6_4.xml · nonDerivative · entry 1

HERZFELD THOMAS J · CIK 0001310710 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 608,470

F1 · kind: On Sept. 30, 2022, the Fund paid a quarterly distribution of $0.173625 per share to shareholders of record on August 22, 2022 in cash and shares of common stock (the "Sept. 2022 Distribution"). The Sept. 2022 Distribution was paid in cash or shares of the Fund's common stock at the election of stockholders with the total amount of cash distributed to all stockholders limited to 20% of the total distribution to be paid, excluding any cash paid for fractional shares. The remainder of the Sept. 2022 Distribution (approx. 80%) was paid in the form of shares of the Fund's common stock. The exact distribution of cash and stock to any given stockholder was dependent upon their election as well as elections of other stockholders, subject to the pro-rata limitation. The price per share used to calculate the number of shares to be issued in lieu of cash was $4.24595. Mr. T. Herzfeld received 20,259 shares of common stock of the Fund in connection with the Sept. 2022 Distribution.

SEC source: 0001398344-22-019740 · fp0080054-4_4.xml · nonDerivative · entry 1

Herzfeld Erik Mervin · CIK 0001413260 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 234,100

F1 · kind: On Sept. 30, 2022, the Fund paid a quarterly distribution of $0.173625 per share to shareholders of record on August 22, 2022 in cash and shares of common stock (the "Sept. 2022 Distribution"). The Sept. 2022 Distribution was paid in cash or shares of the Fund's common stock at the election of stockholders with the total amount of cash distributed to all stockholders limited to 20% of the total distribution to be paid, excluding any cash paid for fractional shares. The remainder of the Sept. 2022 Distribution (approx. 80%) was paid in the form of shares of the Fund's common stock. The exact distribution of cash and stock to any given stockholder was dependent upon their election as well as elections of other stockholders, subject to the pro-rata limitation. The price per share used to calculate the number of shares to be issued in lieu of cash was $4.24595. Mr. E. Herzfeld received 6,188 shares of common stock of the Fund in connection with the Sept. 2022 Distribution.

SEC source: 0001398344-22-012885 · fp0077327_4.xml · nonDerivative · entry 1

Gelety John A · CIK 0001560467 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,670

F1 · kind: On June 30, 2022, the Fund paid a quarterly distribution of $0.26475 per share to shareholders of record on May 23, 2022 in cash and shares of common stock (the "June 2022 Distribution"). The June 2022 Distribution was paid in cash or shares of the Fund's common stock at the election of stockholders with the total amount of cash distributed to all stockholders limited to 20% of the total distribution to be paid, excluding any cash paid for fractional shares. The remainder of the June 2022 Distribution (approx. 80%) was paid in the form of shares of the Fund's common stock. The exact distribution of cash and stock to any given stockholder was dependent upon their election as well as elections of other stockholders, subject to the pro-rata limitation. The price per share used to calculate the number of shares to be issued in lieu of cash was $4.13792. Mr. J. Gelety received 160 shares of common stock of the Fund in connection with the June 2022 Distribution.

SEC source: 0001398344-22-012881 · fp0077326_4.xml · nonDerivative · entry 1

HERZFELD THOMAS J · CIK 0001310710 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 588,211

F1 · kind: On June 30, 2022, the Fund paid a quarterly distribution of $0.26475 per share to shareholders of record on May 23, 2022 in cash and shares of common stock (the "June 2022 Distribution"). The June 2022 Distribution was paid in cash or shares of the Fund's common stock at the election of stockholders with the total amount of cash distributed to all stockholders limited to 20% of the total distribution to be paid, excluding any cash paid for fractional shares. The remainder of the June 2022 Distribution (approx. 80%) was paid in the form of shares of the Fund's common stock. The exact distribution of cash and stock to any given stockholder was dependent upon their election as well as elections of other stockholders, subject to the pro-rata limitation. The price per share used to calculate the number of shares to be issued in lieu of cash was $4.13792. Mr. T. Herzfeld received 29,962 shares of common stock of the Fund in connection with the June 2022 Distribution.

SEC source: 0001398344-22-012878 · fp0077329_4.xml · nonDerivative · entry 1

LIEFF ANN S · CIK 0000901690 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,625

F1 · kind: On June 30, 2022, the Fund paid a quarterly distribution of $0.26475 per share to shareholders of record on May 23, 2022 in cash and shares of common stock (the "June 2022 Distribution"). The June 2022 Distribution was paid in cash or shares of the Fund's common stock at the election of stockholders with the total amount of cash distributed to all stockholders limited to 20% of the total distribution to be paid, excluding any cash paid for fractional shares. The remainder of the June 2022 Distribution (approx. 80%) was paid in the form of shares of the Fund's common stock. The exact distribution of cash and stock to any given stockholder was dependent upon their election as well as elections of other stockholders, subject to the pro-rata limitation. The price per share used to calculate the number of shares to be issued in lieu of cash was $4.13792. Ms. A. Lieff received 514 shares of common stock of the Fund in connection with the June 2022 Distribution

SEC source: 0001398344-22-012876 · fp0077324_4.xml · nonDerivative · entry 1

Herzfeld Erik Mervin · CIK 0001413260 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 227,912

F1 · kind: On June 30, 2022, the Fund paid a quarterly distribution of $0.26475 per share to shareholders of record on May 23, 2022 in cash and shares of common stock (the "June 2022 Distribution"). The June 2022 Distribution was paid in cash or shares of the Fund's common stock at the election of stockholders with the total amount of cash distributed to all stockholders limited to 20% of the total distribution to be paid, excluding any cash paid for fractional shares. The remainder of the June 2022 Distribution (approx. 80%) was paid in the form of shares of the Fund's common stock. The exact distribution of cash and stock to any given stockholder was dependent upon their election as well as elections of other stockholders, subject to the pro-rata limitation. The price per share used to calculate the number of shares to be issued in lieu of cash was $4.13792. Mr. E. Herzfeld received 9,240 shares of common stock of the Fund in connection with the June 2022 Distribution.

SEC source: 0001398344-22-012873 · fp0077325_4.xml · nonDerivative · entry 1

TATUM KAY W · CIK 0001416189 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,251

F1 · kind: On June 30, 2022, the Fund paid a quarterly distribution of $0.26475 per share to shareholders of record on May 23, 2022 in cash and shares of common stock (the "June 2022 Distribution"). The June 2022 Distribution was paid in cash or shares of the Fund's common stock at the election of stockholders with the total amount of cash distributed to all stockholders limited to 20% of the total distribution to be paid, excluding any cash paid for fractional shares. The remainder of the June 2022 Distribution (approx. 80%) was paid in the form of shares of the Fund's common stock. The exact distribution of cash and stock to any given stockholder was dependent upon their election as well as elections of other stockholders, subject to the pro-rata limitation. The price per share used to calculate the number of shares to be issued in lieu of cash was $4.13792. Ms. K. Tatum received 75 shares of common stock of the Fund in connection with the June 2022 Distribution.

SEC source: 0001398344-22-012875 · fp0077328_4.xml · nonDerivative · entry 1

GONDOR CECILIA L · CIK 0001312266 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,093

F1 · kind: On June 30, 2022, the Fund paid a quarterly distribution of $0.26475 per share to shareholders of record on May 23, 2022 in cash and shares of common stock (the "June 2022 Distribution"). The June 2022 Distribution was paid in cash or shares of the Fund's common stock at the election of stockholders with the total amount of cash distributed to all stockholders limited to 20% of the total distribution to be paid, excluding any cash paid for fractional shares. The remainder of the June 2022 Distribution (approx. 80%) was paid in the form of shares of the Fund's common stock. The exact distribution of cash and stock to any given stockholder was dependent upon their election as well as elections of other stockholders, subject to the pro-rata limitation. The price per share used to calculate the number of shares to be issued in lieu of cash was $4.13792. Ms. C. Gondor received 381 shares of common stock of the Fund in connection with the June 2022 Distribution.

SEC source: 0001398344-22-012870 · fp0077323_4.xml · nonDerivative · entry 1

Paylor Ryan M · CIK 0001767956 · Portfolio Manager

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,146

F1 · kind: On June 30, 2022, the Fund paid a quarterly distribution of $0.26475 per share to shareholders of record on May 23, 2022 in cash and shares of common stock (the "June 2022 Distribution"). The June 2022 Distribution was paid in cash or shares of the Fund's common stock at the election of stockholders with the total amount of cash distributed to all stockholders limited to 20% of the total distribution to be paid, excluding any cash paid for fractional shares. The remainder of the June 2022 Distribution (approx. 80%) was paid in the form of shares of the Fund's common stock. The exact distribution of cash and stock to any given stockholder was dependent upon their election as well as elections of other stockholders, subject to the pro-rata limitation. The price per share used to calculate the number of shares to be issued in lieu of cash was $4.13792. Mr. R. Paylor received 249 shares of common stock of the Fund in connection with the June 2022 Distribution.

SEC source: 0001398344-22-012294 · fp0077084_4.xml · nonDerivative · entry 1

GONDOR CECILIA L · CIK 0001312266 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,712

SEC source: 0001398344-22-006917 · fp0074725_4.xml · nonDerivative · entry 1

Paylor Ryan M · CIK 0001767956 · Portfolio Manager

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,897

F1 · kind: On March 31, 2022, the Fund paid a quarterly distribution of $0.26475 per share to shareholders of record on February 18, 2022 in cash and shares of common stock (the "March 2022 Distribution"). The March 2022 Distribution was paid in cash or shares of the Fund's common stock at the election of stockholders with the total amount of cash distributed to all stockholders limited to 20% of the total distribution to be paid, excluding any cash paid for fractional shares. The remainder of the March 2022 Distribution (approx. 80%) was paid in the form of shares of the Fund's common stock. The exact distribution of cash and stock to any given stockholder was dependent upon their election as well as elections of other stockholders, subject to the pro-rata limitation. The price per share used to calculate the number of shares to be issued in lieu of cash was $4.88931. Mr. R. Paylor received 200 shares of common stock of the Fund in connection with the March 2022 Distribution.

SEC source: 0001398344-22-006913 · fp0074719_4.xml · nonDerivative · entry 1

HERZFELD THOMAS J · CIK 0001310710 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 558,249

F1 · kind: On March 31, 2022, the Fund paid a quarterly distribution of $0.26475 per share to shareholders of record on February 18, 2022 in cash and shares of common stock (the "March 2022 Distribution"). The March 2022 Distribution was paid in cash or shares of the Fund's common stock at the election of stockholders with the total amount of cash distributed to all stockholders limited to 20% of the total distribution to be paid, excluding any cash paid for fractional shares. The remainder of the March 2022 Distribution (approx. 80%) was paid in the form of shares of the Fund's common stock. The exact distribution of cash and stock to any given stockholder was dependent upon their election as well as elections of other stockholders, subject to the pro-rata limitation. The price per share used to calculate the number of shares to be issued in lieu of cash was $4.88931. Mr. T. Herzfeld received 24,364 shares of common stock of the Fund in connection with the March 2022 Distribution.

SEC source: 0001398344-22-006916 · fp0074721_4.xml · nonDerivative · entry 1

GONDOR CECILIA L · CIK 0001312266 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,712

F1 · kind: On March 31, 2022, the Fund paid a quarterly distribution of $0.26475 per share to shareholders of record on February 18, 2022 in cash and shares of common stock (the "March 2022 Distribution"). The March 2022 Distribution was paid in cash or shares of the Fund's common stock at the election of stockholders with the total amount of cash distributed to all stockholders limited to 20% of the total distribution to be paid, excluding any cash paid for fractional shares. The remainder of the March 2022 Distribution (approx. 80%) was paid in the form of shares of the Fund's common stock. The exact distribution of cash and stock to any given stockholder was dependent upon their election as well as elections of other stockholders, subject to the pro-rata limitation. The price per share used to calculate the number of shares to be issued in lieu of cash was $4.88931. Ms. C. Gondor received 318 shares of common stock of the Fund in connection with the March 2022 Distribution.

SEC source: 0001398344-22-006912 · fp0074724_4.xml · nonDerivative · entry 1

TATUM KAY W · CIK 0001416189 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,176

F1 · kind: On March 31, 2022, the Fund paid a quarterly distribution of $0.26475 per share to shareholders of record on February 18, 2022 in cash and shares of common stock (the "March 2022 Distribution"). The March 2022 Distribution was paid in cash or shares of the Fund's common stock at the election of stockholders with the total amount of cash distributed to all stockholders limited to 20% of the total distribution to be paid, excluding any cash paid for fractional shares. The remainder of the March 2022 Distribution (approx. 80%) was paid in the form of shares of the Fund's common stock. The exact distribution of cash and stock to any given stockholder was dependent upon their election as well as elections of other stockholders, subject to the pro-rata limitation. The price per share used to calculate the number of shares to be issued in lieu of cash was $4.88931. Ms. K. Tatum received 60 shares of common stock of the Fund in connection with the March 2022 Distribution.

SEC source: 0001398344-22-006910 · fp0074723_4.xml · nonDerivative · entry 1

Gelety John A · CIK 0001560467 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,510

F1 · kind: On March 31, 2022, the Fund paid a quarterly distribution of $0.26475 per share to shareholders of record on February 18, 2022 in cash and shares of common stock (the "March 2022 Distribution"). The March 2022 Distribution was paid in cash or shares of the Fund's common stock at the election of stockholders with the total amount of cash distributed to all stockholders limited to 20% of the total distribution to be paid, excluding any cash paid for fractional shares. The remainder of the March 2022 Distribution (approx. 80%) was paid in the form of shares of the Fund's common stock. The exact distribution of cash and stock to any given stockholder was dependent upon their election as well as elections of other stockholders, subject to the pro-rata limitation. The price per share used to calculate the number of shares to be issued in lieu of cash was $4.88931. Mr. J. Gelety received 128 shares of common stock of the Fund in connection with the March 2022 Distribution.

SEC source: 0001398344-22-006906 · fp0074720_4.xml · nonDerivative · entry 1

LIEFF ANN S · CIK 0000901690 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,111

F1 · kind: On March 31, 2022, the Fund paid a quarterly distribution of $0.26475 per share to shareholders of record on February 18, 2022 in cash and shares of common stock (the "March 2022 Distribution"). The March 2022 Distribution was paid in cash or shares of the Fund's common stock at the election of stockholders with the total amount of cash distributed to all stockholders limited to 20% of the total distribution to be paid, excluding any cash paid for fractional shares. The remainder of the March 2022 Distribution (approx. 80%) was paid in the form of shares of the Fund's common stock. The exact distribution of cash and stock to any given stockholder was dependent upon their election as well as elections of other stockholders, subject to the pro-rata limitation. The price per share used to calculate the number of shares to be issued in lieu of cash was $4.88931. Ms. A. Lieff received 430 shares of common stock of the Fund in connection with the March 2022 Distribution.

SEC source: 0001398344-22-006908 · fp0074722_4.xml · nonDerivative · entry 1

Herzfeld Erik Mervin · CIK 0001413260 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 218,672

F1 · kind: On March 31, 2022, the Fund paid a quarterly distribution of $0.26475 per share to shareholders of record on February 18, 2022 in cash and shares of common stock (the "March 2022 Distribution"). The March 2022 Distribution was paid in cash or shares of the Fund's common stock at the election of stockholders with the total amount of cash distributed to all stockholders limited to 20% of the total distribution to be paid, excluding any cash paid for fractional shares. The remainder of the March 2022 Distribution (approx. 80%) was paid in the form of shares of the Fund's common stock. The exact distribution of cash and stock to any given stockholder was dependent upon their election as well as elections of other stockholders, subject to the pro-rata limitation. The price per share used to calculate the number of shares to be issued in lieu of cash was $4.88931. Mr. E. Herzfeld received 11,232 shares of common stock of the Fund in connection with the March 2022 Distribution.

SEC source: 0001398344-22-000140 · fp0071653_4.xml · nonDerivative · entry 1

LIEFF ANN S · CIK 0000901690 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,681

F1 · kind: On December 31, 2021, the Fund paid a quarterly distribution of $0.26475 per share to shareholders of record on November 19, 2021 in cash and shares of common stock (the "December 2021 Distribution"). The December 2021 Distribution was paid in cash or shares of the Fund's common stock at the election of stockholders with the total amount of cash distributed to all stockholders limited to 20% of the total distribution to be paid, excluding any cash paid for fractional shares. The remainder of the December 2021 Distribution (approx. 80%) was paid in the form of shares of the Fund's common stock. The exact distribution of cash and stock to any given stockholder was dependent upon their election as well as elections of other stockholders, subject to the pro-rata limitation. The price per share used to calculate the number of shares to be issued in lieu of cash was $5.28164. Ms. A. Lieff received 407 shares of common stock of the Fund in connection with the December 2021 Distribution.

SEC source: 0001398344-22-000139 · fp0071654_4.xml · nonDerivative · entry 1

HERZFELD THOMAS J · CIK 0001310710 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 530,673

F1 · kind: On December 31, 2021, the Fund paid a quarterly distribution of $0.26475 per share to shareholders of record on November 19, 2021 in cash and shares of common stock (the "December 2021 Distribution"). The December 2021 Distribution was paid in cash or shares of the Fund's common stock at the election of stockholders with the total amount of cash distributed to all stockholders limited to 20% of the total distribution to be paid, excluding any cash paid for fractional shares. The remainder of the December 2021 Distribution (approx. 80%) was paid in the form of shares of the Fund's common stock. The exact distribution of cash and stock to any given stockholder was dependent upon their election as well as elections of other stockholders, subject to the pro-rata limitation. The price per share used to calculate the number of shares to be issued in lieu of cash was $5.28164. Mr. T. Herzfeld received 18,753 shares of common stock of the Fund in connection with the December 2021 Distribution.

SEC source: 0001398344-22-000135 · fp0071655_4.xml · nonDerivative · entry 1

Herzfeld Erik Mervin · CIK 0001413260 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 207,440

F1 · kind: On December 31, 2021, the Fund paid a quarterly distribution of $0.26475 per share to shareholders of record on November 19, 2021 in cash and shares of common stock (the "December 2021 Distribution"). The December 2021 Distribution was paid in cash or shares of the Fund's common stock at the election of stockholders with the total amount of cash distributed to all stockholders limited to 20% of the total distribution to be paid, excluding any cash paid for fractional shares. The remainder of the December 2021 Distribution (approx. 80%) was paid in the form of shares of the Fund's common stock. The exact distribution of cash and stock to any given stockholder was dependent upon their election as well as elections of other stockholders, subject to the pro-rata limitation. The price per share used to calculate the number of shares to be issued in lieu of cash was $5.28164. Mr. E. Herzfeld received 9,901 shares of common stock of the Fund in connection with the December 2021 Distribution.

SEC source: 0001398344-22-000136 · fp0071652_4.xml · nonDerivative · entry 1

GONDOR CECILIA L · CIK 0001312266 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,394

F1 · kind: On December 31, 2021, the Fund paid a quarterly distribution of $0.26475 per share to shareholders of record on November 19, 2021 in cash and shares of common stock (the "December 2021 Distribution"). The December 2021 Distribution was paid in cash or shares of the Fund's common stock at the election of stockholders with the total amount of cash distributed to all stockholders limited to 20% of the total distribution to be paid, excluding any cash paid for fractional shares. The remainder of the December 2021 Distribution (approx. 80%) was paid in the form of shares of the Fund's common stock. The exact distribution of cash and stock to any given stockholder was dependent upon their election as well as elections of other stockholders, subject to the pro-rata limitation. The price per share used to calculate the number of shares to be issued in lieu of cash was $5.28164. Ms. C. Gondor received 301 shares of common stock of the Fund in connection with the December 2021 Distribution.

SEC source: 0001398344-22-000132 · fp0071656_4.xml · nonDerivative · entry 1

TATUM KAY W · CIK 0001416189 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,116

F1 · kind: On December 31, 2021, the Fund paid a quarterly distribution of $0.26475 per share to shareholders of record on November 19, 2021 in cash and shares of common stock (the "December 2021 Distribution"). The December 2021 Distribution was paid in cash or shares of the Fund's common stock at the election of stockholders with the total amount of cash distributed to all stockholders limited to 20% of the total distribution to be paid, excluding any cash paid for fractional shares. The remainder of the December 2021 Distribution (approx. 80%) was paid in the form of shares of the Fund's common stock. The exact distribution of cash and stock to any given stockholder was dependent upon their election as well as elections of other stockholders, subject to the pro-rata limitation. The price per share used to calculate the number of shares to be issued in lieu of cash was $5.28164. Ms. K. Tatum received 53 shares of common stock of the Fund in connection with the December 2021 Distribution.

SEC source: 0001398344-22-000127 · fp0071658_4.xml · nonDerivative · entry 1

Gelety John A · CIK 0001560467 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,382

F1 · kind: On December 31, 2021, the Fund paid a quarterly distribution of $0.26475 per share to shareholders of record on November 19, 2021 in cash and shares of common stock (the "December 2021 Distribution"). The December 2021 Distribution was paid in cash or shares of the Fund's common stock at the election of stockholders with the total amount of cash distributed to all stockholders limited to 20% of the total distribution to be paid, excluding any cash paid for fractional shares. The remainder of the December 2021 Distribution (approx. 80%) was paid in the form of shares of the Fund's common stock. The exact distribution of cash and stock to any given stockholder was dependent upon their election as well as elections of other stockholders, subject to the pro-rata limitation. The price per share used to calculate the number of shares to be issued in lieu of cash was $5.28164. Mr. J. Gelety received 113 shares of common stock of the Fund in connection with the December 2021 Distribution.

SEC source: 0001398344-22-000130 · fp0071657_4.xml · nonDerivative · entry 1

Paylor Ryan M · CIK 0001767956 · Portfolio Manager

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,697

F1 · kind: On December 31, 2021, the Fund paid a quarterly distribution of $0.26475 per share to shareholders of record on November 19, 2021 in cash and shares of common stock (the "December 2021 Distribution"). The December 2021 Distribution was paid in cash or shares of the Fund's common stock at the election of stockholders with the total amount of cash distributed to all stockholders limited to 20% of the total distribution to be paid, excluding any cash paid for fractional shares. The remainder of the December 2021 Distribution (approx. 80%) was paid in the form of shares of the Fund's common stock. The exact distribution of cash and stock to any given stockholder was dependent upon their election as well as elections of other stockholders, subject to the pro-rata limitation. The price per share used to calculate the number of shares to be issued in lieu of cash was $5.28164. Mr. R. Paylor received 176 shares of common stock of the Fund in connection with the December 2021 Distribution.

SEC source: 0001398344-22-000918 · fp0072415_4a.xml · nonDerivative · entry 1

HERZFELD THOMAS J · CIK 0001310710 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 533,811

F1 · kind: On December 31, 2021, the Fund paid a quarterly distribution of $0.26475 per share to shareholders of record on November 19, 2021 in cash and shares of common stock (the "December 2021 Distribution"). The December 2021 Distribution was paid in cash or shares of the Fund's common stock at the election of stockholders with the total amount of cash distributed to all stockholders limited to 20% of the total distribution to be paid, excluding any cash paid for fractional shares. The remainder of the December 2021 Distribution (approx. 80%) was paid in the form of shares of the Fund's common stock. The exact distribution of cash and stock to any given stockholder was dependent upon their election as well as elections of other stockholders, subject to the pro-rata limitation. The price per share used to calculate the number of shares to be issued in lieu of cash was $5.28164. Mr. T. Herzfeld received 18,753 shares of common stock of the Fund in connection with the December 2021 Distribution.

F2 · shares: Corrected information received from Transfer Agent.

SEC source: 0001398344-21-021706 · fp0070337_4.xml · nonDerivative · entry 1

Herzfeld Erik Mervin · CIK 0001413260 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 197,539

SEC source: 0001398344-21-021704 · fp0070336_4.xml · nonDerivative · entry 1

Paylor Ryan M · CIK 0001767956 · Portfolio Manager

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,520

SEC source: 0001398344-21-021702 · fp0070335_4.xml · nonDerivative · entry 1

HERZFELD THOMAS J · CIK 0001310710 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 511,919

SEC source: 0001398344-21-019980 · fp0069660_4.xml · nonDerivative · entry 3

HERZFELD THOMAS J · CIK 0001310710 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 562,325

F1 · kind: On September 30, 2021, the Fund paid a quarterly distribution of $0.26475 per share to shareholders of record on August 30, 2021 (the "September 2021 Distribution"). The September 2021 Distribution was paid in cash or shares of the Fund's common stock at the election of stockholders with the total amount of cash distributed to all stockholders limited to 20% of the total distribution to be paid, excluding any cash paid for fractional shares. The remainder of the September 2021 Distribution (approximately 80%) was paid in the form of shares of the Fund's common stock. The price per share was $5.6778. Mr. T. Herzfeld received 19,427 shares of common stock of the Fund in the September 2021 Distribution.

SEC source: 0001398344-21-019980 · fp0069660_4.xml · nonDerivative · entry 2

HERZFELD THOMAS J · CIK 0001310710 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 562,247

F1 · kind: On September 30, 2021, the Fund paid a quarterly distribution of $0.26475 per share to shareholders of record on August 30, 2021 (the "September 2021 Distribution"). The September 2021 Distribution was paid in cash or shares of the Fund's common stock at the election of stockholders with the total amount of cash distributed to all stockholders limited to 20% of the total distribution to be paid, excluding any cash paid for fractional shares. The remainder of the September 2021 Distribution (approximately 80%) was paid in the form of shares of the Fund's common stock. The price per share was $5.6778. Mr. T. Herzfeld received 19,427 shares of common stock of the Fund in the September 2021 Distribution.

SEC source: 0001398344-21-019978 · fp0069659_4.xml · nonDerivative · entry 1

Herzfeld Erik Mervin · CIK 0001413260 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 228,011

F1 · kind: On September 30, 2021, the Fund paid a quarterly distribution of $0.26475 per share to shareholders of record on August 30, 2021 (the "September 2021 Distribution"). The September 2021 Distribution was paid in cash or shares of the Fund's common stock at the election of stockholders with the total amount of cash distributed to all stockholders limited to 20% of the total distribution to be paid, excluding any cash paid for fractional shares. The remainder of the September 2021 Distribution (approximately 80%) was paid in the form of shares of the Fund's common stock. The price per share was $5.6778. Mr. E. Herzfeld received 10,157 shares of common stock of the Fund in the September 2021 Distribution.

SEC source: 0001398344-21-019974 · fp0069652_4.xml · nonDerivative · entry 1

GONDOR CECILIA L · CIK 0001312266 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,093

F1 · kind: On September 30, 2021, the Fund paid a quarterly distribution of $0.26475 per share to shareholders of record on August 30, 2021 (the "September 2021 Distribution"). The September 2021 Distribution was paid in cash or shares of the Fund's common stock at the election of stockholders with the total amount of cash distributed to all stockholders limited to 20% of the total distribution to be paid, excluding any cash paid for fractional shares. The remainder of the September 2021 Distribution (approximately 80%) was paid in the form of shares of the Fund's common stock. The price per share was $5.6778. Ms. C. Gondor received 278 shares of common stock of the Fund in the September 2021 Distribution.