Gelety John A

SEC source: 0001398344-26-000076 · fp0096748-7_4.xml · nonDerivative · entry 1

Gelety John A · CIK 0001560467 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,922

F1 · kind: On December 30, 2025, the Fund paid a distribution, in cash and shares of common stock, of $0.6867 per share owned by each stockholder as of the payment date of December 30, 2025 (the "December 2025 Distribution"). The December 2025 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.

F2 · kind: The remainder of the December 2025 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 $2.5799, which was determined using the volume weighted average price per share of the Fund on December 12, 15 and 16, 2025. Mr. Gelety received 2,716 shares of common stock of the Fund in connection with the December 2025 Distribution.

F3 · kind: The amount reported represents the estimate number of shares to be received by the reporting person in connection with the cash or stock distribution announced on December 30, 2025. The exact distribution of cash and stock to the reporting person is dependent upon their election as well as elections of other stockholders, subject to the pro-rata limitation. If necessary, an amended Form 4 will be filed to report the number of shares actually received by the reporting person in connection with the cash or stock distribution once the final allocations are determined.

SEC source: 0001398344-26-000165 · fp0096808-1_4a.xml · nonDerivative · entry 1

Gelety John A · CIK 0001560467 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,282

F1 · kind: On December 30, 2025, the Fund paid a distribution, in cash and shares of common stock, of $0.6867 per share owned by each stockholder as of the payment date of December 30, 2025 (the "December 2025 Distribution"). The December 2025 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.

F2 · kind: The remainder of the December 2025 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 $2.5799, which was determined using the volume weighted average price per share of the Fund on December 12, 15 and 16, 2025. Mr. Gelety received 2,073 shares of common stock of the Fund in connection with the December 2025 Distribution.

SEC source: 0001398344-25-012635 · fp0094147-4.xml · nonDerivative · entry 1

Gelety John A · CIK 0001560467 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,206

F1 · kind: On June 30, 2025, the Fund paid a distribution of $0.2325 per share to stockholders of record on May 23, 2025 in cash and shares of common stock (the "June 2025 Distribution"). The June 2025 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 2025 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 $2.4618. Mr. J. Gelety received 775 shares of common stock of the Fund in connection with the June 2025 Distribution.

SEC source: 0001398344-25-005201 · fp0092606-1.xml · nonDerivative · entry 2

Gelety John A · CIK 0001560467 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,434

SEC source: 0001398344-25-005201 · fp0092606-1.xml · nonDerivative · entry 1

Gelety John A · CIK 0001560467 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,934

SEC source: 0001398344-24-012770 · fp0089233-6.xml · nonDerivative · entry 1

Gelety John A · CIK 0001560467 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,434

F1 · kind: On July 15, 2024, the Fund paid a quarterly distribution of $0.135375 per share to stockholders of record on June 3, 2024 in cash and shares of common stock (the "July 2024 Distribution"). The July 2024 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 July 2024 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 $2.3329. Mr. J. Gelety received 352 shares of common stock of the Fund in connection with the July 2024 Distribution.

SEC source: 0001398344-24-009514 · fp0088371-6_4.xml · nonDerivative · entry 1

Gelety John A · CIK 0001560467 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,082

F1 · kind: On May 10, 2024, the Fund paid a quarterly distribution of $0.135375 per share to shareholders of record on Mar. 27, 2024 in cash and shares of common stock (the "Fiscal Q4 Distribution"). The Fiscal Q4 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 Fiscal Q4 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 $2.4067. Mr. J. Gelety received 323 shares of common stock of the Fund in connection with the Fiscal Q4 Distribution.

SEC source: 0001398344-24-006278 · fp0087658-4_4.xml · nonDerivative · entry 1

Gelety John A · CIK 0001560467 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,760

F1 · balance_after: 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.

SEC source: 0001398344-24-006429 · fp0087690-4_4a.xml · nonDerivative · entry 1

Gelety John A · CIK 0001560467 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,759

F1 · balance_after: 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 final proration factor for the Tender Offer is 13.615645%.

SEC source: 0001398344-24-001944 · fp0086998-7_4.xml · nonDerivative · entry 1

Gelety John A · CIK 0001560467 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,667

F1 · kind: On January 31, 2024, the Fund paid a quarterly distribution of $0.135375 per share to shareholders of record on Dec. 29, 2023 in cash and shares of common stock (the "Dec. 2023 Distribution"). The Dec. 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 Dec. 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 $2.6336. Mr. J. Gelety received 325 shares of common stock of the Fund in connection with the Dec. 2023 Distribution.

SEC source: 0001398344-23-022827 · fp0086291-3_4.xml · derivative · entry 2

Gelety John A · CIK 0001560467 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,171 shares

Expires 2023-12-13

F1 · security: The Herzfeld Caribbean Basin Fund, Inc. (the "Fund") issued non-transferable subscription rights ("Rights") to its common stockholders of record as of the close of business on November 3, 2023 (the "Record Date") entitling the holders of these Rights to purchase additional shares of common stock of the Fund (the "Common Stock"). The holders of Common Stock of record on the Record Date ("Record Date Stockholders") were entitled to subscribe for additional shares of Common Stock at a discount to the market price of the Common Stock. The Fund distributed to Record Date Stockholders one Right for each share of Common Stock held on the Record Date. The Rights entitle their holders to purchase one new share of Common Stock for every one Right held (1 for 1).

F2 · security: Record Date Stockholders who fully exercised their Rights were entitled to subscribe, subject to certain limitations and subject to allotment, for additional shares of Common Stock which were not subscribed for (the "Over-Subscription Privilege"). The reporting person fully exercised all Rights received. Fractional shares of Common Stock were not issued. The subscription period commenced on the Record Date and expired on December 13, 2023. The final subscription price of $2.31 per share of Common Stock was determined based upon the terms of the offer. The Common Stock subscribed for will be issued after receipt of all stockholder payments.

F1 · date: The Herzfeld Caribbean Basin Fund, Inc. (the "Fund") issued non-transferable subscription rights ("Rights") to its common stockholders of record as of the close of business on November 3, 2023 (the "Record Date") entitling the holders of these Rights to purchase additional shares of common stock of the Fund (the "Common Stock"). The holders of Common Stock of record on the Record Date ("Record Date Stockholders") were entitled to subscribe for additional shares of Common Stock at a discount to the market price of the Common Stock. The Fund distributed to Record Date Stockholders one Right for each share of Common Stock held on the Record Date. The Rights entitle their holders to purchase one new share of Common Stock for every one Right held (1 for 1).

F2 · date: Record Date Stockholders who fully exercised their Rights were entitled to subscribe, subject to certain limitations and subject to allotment, for additional shares of Common Stock which were not subscribed for (the "Over-Subscription Privilege"). The reporting person fully exercised all Rights received. Fractional shares of Common Stock were not issued. The subscription period commenced on the Record Date and expired on December 13, 2023. The final subscription price of $2.31 per share of Common Stock was determined based upon the terms of the offer. The Common Stock subscribed for will be issued after receipt of all stockholder payments.

F1 · derivative.expiration_date: The Herzfeld Caribbean Basin Fund, Inc. (the "Fund") issued non-transferable subscription rights ("Rights") to its common stockholders of record as of the close of business on November 3, 2023 (the "Record Date") entitling the holders of these Rights to purchase additional shares of common stock of the Fund (the "Common Stock"). The holders of Common Stock of record on the Record Date ("Record Date Stockholders") were entitled to subscribe for additional shares of Common Stock at a discount to the market price of the Common Stock. The Fund distributed to Record Date Stockholders one Right for each share of Common Stock held on the Record Date. The Rights entitle their holders to purchase one new share of Common Stock for every one Right held (1 for 1).

F2 · derivative.expiration_date: Record Date Stockholders who fully exercised their Rights were entitled to subscribe, subject to certain limitations and subject to allotment, for additional shares of Common Stock which were not subscribed for (the "Over-Subscription Privilege"). The reporting person fully exercised all Rights received. Fractional shares of Common Stock were not issued. The subscription period commenced on the Record Date and expired on December 13, 2023. The final subscription price of $2.31 per share of Common Stock was determined based upon the terms of the offer. The Common Stock subscribed for will be issued after receipt of all stockholder payments.

SEC source: 0001398344-23-022827 · fp0086291-3_4.xml · nonDerivative · entry 1

Gelety John A · CIK 0001560467 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,342

F1 · date: The Herzfeld Caribbean Basin Fund, Inc. (the "Fund") issued non-transferable subscription rights ("Rights") to its common stockholders of record as of the close of business on November 3, 2023 (the "Record Date") entitling the holders of these Rights to purchase additional shares of common stock of the Fund (the "Common Stock"). The holders of Common Stock of record on the Record Date ("Record Date Stockholders") were entitled to subscribe for additional shares of Common Stock at a discount to the market price of the Common Stock. The Fund distributed to Record Date Stockholders one Right for each share of Common Stock held on the Record Date. The Rights entitle their holders to purchase one new share of Common Stock for every one Right held (1 for 1).

F2 · date: Record Date Stockholders who fully exercised their Rights were entitled to subscribe, subject to certain limitations and subject to allotment, for additional shares of Common Stock which were not subscribed for (the "Over-Subscription Privilege"). The reporting person fully exercised all Rights received. Fractional shares of Common Stock were not issued. The subscription period commenced on the Record Date and expired on December 13, 2023. The final subscription price of $2.31 per share of Common Stock was determined based upon the terms of the offer. The Common Stock subscribed for will be issued after receipt of all stockholder payments.

SEC source: 0001398344-23-012602 · fp0084036-3_4.xml · nonDerivative · entry 1

Gelety John A · CIK 0001560467 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,171

F1 · kind: On June 30, 2023, the Fund paid a quarterly distribution of $0.173625 per share to shareholders of record on May 22, 2023 in cash and shares of common stock (the "June 2023 Distribution"). The June 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 June 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 $3.9028. Mr. J. Gelety received 135 shares of common stock of the Fund in connection with the June 2023 Distribution.

SEC source: 0001398344-23-007075 · fp0082962-3_4.xml · nonDerivative · entry 1

Gelety John A · CIK 0001560467 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,306

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. J. Gelety received 136 shares of common stock of the Fund in connection with the Mar. 2023 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: 0001398344-22-019750 · 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: 0001398344-22-012885 · 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: 0001398344-22-006910 · 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: 0001398344-22-000127 · 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: 0001398344-21-020732 · fp0069655_4.xml · nonDerivative · entry 1

Gelety John A · CIK 0001560467 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,269

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. J. Gelety received 101 shares of common stock of the Fund in the September 2021 Distribution.