This page lists the SEC filings reported by Thomas J. Herzfeld Advisors, Inc..
| Type | Filed | Filer | Subject | Shares Owned | Percent Owned | |
|---|---|---|---|---|---|---|
| SC 13G/A | 2024-01-17 | - | - | - | - | EDGAR |
| SC 13G | 2024-01-17 | - | - | - | - | EDGAR |
| SC 13G/A | 2023-12-05 | Thomas J. Herzfeld Advisors, Inc. | TORTOISE ENERGY INDEPENDENCE FUND, INC. | 92,761 | 5.6% | EDGAR |
| SC 13G/A | 2023-12-05 | Thomas J. Herzfeld Advisors, Inc. | Carlyle Credit Income Fund | 511,112 | 4.4% | EDGAR |
| SC 13G | 2023-11-17 | Thomas J. Herzfeld Advisors, Inc. | Destra Multi-Alternative Fund | 899,421 | 10.0% | EDGAR |
| SC 13G | 2023-08-16 | Thomas J. Herzfeld Advisors, Inc. | Carlyle Credit Income Fund | 106,727,800 | 10.3% | EDGAR |
| SC 13G/A | 2023-01-10 | Thomas J. Herzfeld Advisors, Inc. | TORTOISE ENERGY INDEPENDENCE FUND, INC. | 190,631 | 10.9% | EDGAR |
| SC 13G | 2023-01-10 | Thomas J. Herzfeld Advisors, Inc. | TORTOISE ENERGY INDEPENDENCE FUND, INC. | 123,253 | 8.6% | EDGAR |
| SC 13G/A | 2022-10-03 | Thomas J. Herzfeld Advisors, Inc. | PROSHARES TRUST | 0 | 0.0% | EDGAR |
| SC 13G | 2022-09-06 | Thomas J. Herzfeld Advisors, Inc. | PROSHARES TRUST | 185,225 | 30.6% | EDGAR |
| SC 13G/A | 2020-06-08 | Thomas J. Herzfeld Advisors, Inc. | OFS Credit Company, Inc. | 149,649 | 4.8% | EDGAR |
| SC 13G/A | 2020-01-31 | Thomas J. Herzfeld Advisors, Inc. | OFS Credit Company, Inc. | 379,702 | 12.4% | EDGAR |
| SC 13G/A | 2019-09-10 | Thomas J. Herzfeld Advisors, Inc. | OFS Credit Company, Inc. | 518,513 | 16.9% | EDGAR |
| SC 13G | 2018-11-09 | Thomas J. Herzfeld Advisors, Inc. | OFS Credit Company, Inc. | 261,837 | 10.4% | EDGAR |
| SC 13G/A | 2017-08-10 | Thomas J. Herzfeld Advisors, Inc. | Oxford Lane Capital Corp. | 319,872 | 5.0% | EDGAR |
| SC 13G/A | 2017-02-14 | Thomas J. Herzfeld Advisors, Inc. | Oxford Lane Capital Corp. | 663,724 | 13.2% | EDGAR |
| SC 13G | 2016-06-03 | Thomas J. Herzfeld Advisors, Inc. | Oxford Lane Capital Corp. | 955,265 | 16.9% | EDGAR |
| SC 13D | 2016-03-03 | Thomas J. Herzfeld Advisors, Inc. | Oxford Lane Capital Corp. | 1,301,414 | 23.0% | EDGAR |
| SC 13G | 2016-01-29 | Thomas J. Herzfeld Advisors, Inc. | Oxford Lane Capital Corp. | 1,316,089 | 19.4% | EDGAR |
| SC 13G/A | 2015-07-10 | Thomas J. Herzfeld Advisors, Inc. | Oxford Lane Capital Corp. | 742,175 | 17.8% | EDGAR |
- Form 13F-HR
- The 13F-HR report is filed quarterly to report securities held by the filer that fall under the SEC's 13F rules.
- Form SC 13D/G
- Reported by persons and groups who own 5% or more of any class of a company's outstanding shares. If the ownership changes by 1% or more, an amendment must be filed.
- Form 3, 4, and 5
- Form 3, 4, and 5 reports are filed to report insider transactions by company officers and directors, and any beneficial owners of more than ten percent of a company's shares. Form 3 is the initial report that must be filed when a person becomes an officer, director, or beneficial owner. Form 4 reports are used to report changes in ownership, while the Form 5 report is used for reporting transactions that should have been reported earlier in a Form 4 filing.