Investor Thomas J. Herzfeld Advisors, Inc.
13D/G Filings

This page shows a list of all the recent 13D/G filings made by Thomas J. Herzfeld Advisors, Inc. . Schedule 13D is commonly referred to as a “beneficial ownership report.” The term "beneficial owner" is defined under SEC rules. It includes any person who directly or indirectly shares voting power or investment power (the power to sell the security).

When a person or group of persons acquires beneficial ownership of more than 5% of a voting class of a company’s equity securities, they are required to file a Schedule 13D within ten days after the purchase. Click the link icon to see the full transaction history.

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Date Form Target Prev
Shares		 Current
Shares		 Change
(Percent)		 Ownership
(Percent)		 Change
(Percent)
2025-07-16 13G/A SSSS / SuRo Capital Corp. 1,714,062 169,444
2025-07-16 13G/A DMA / Destra Multi-Alternative Fund 653,833 344,526
2025-04-07 13G/A SSSS / SuRo Capital Corp. 1,359,008 1,714,062
2025-04-07 13G/A SABA / Saba Capital Income & Opportunities Fund II 1,442,126 1,703,669
2025-01-21 13G SSSS / SuRo Capital Corp. 1,359,008
2025-01-21 13G SABA / Saba Capital Income & Opportunities Fund II 1,442,126
2024-10-02 13G/A OCCI / OFS Credit Company, Inc. 1,336,185 0
2024-10-02 13G/A DMA / Destra Multi-Alternative Fund 899,421 653,833
2024-10-02 13G/A NDP / Tortoise Energy Independence Fund, Inc. 90,840 59,974
2024-10-02 13G PCF / High Income Securities Fund 1,552,621
2024-01-17 13G/A NDP / Tortoise Energy Independence Fund, Inc. 92,761 90,840
2024-01-17 13G OCCI / OFS Credit Company, Inc. 149,649 1,336,185
2023-12-05 13G/A CCIF / Carlyle Credit Income Fund 1,067,278 511,112
2023-12-05 13G/A NDP / Tortoise Energy Independence Fund, Inc. 123,253 92,761
2023-11-17 13G DMA / Destra Multi-Alternative Fund 899,421
2023-08-16 13G CCIF / Carlyle Credit Income Fund 1,067,278
2023-01-10 13G NDP / Tortoise Energy Independence Fund, Inc. 123,253
2023-01-10 13G/A NDP / Tortoise Energy Independence Fund, Inc. 190,631
2022-10-03 13G/A REW / ProShares Trust - ProShares UltraShort Technology 185,225 0
2022-09-06 13G REW / ProShares Trust - ProShares UltraShort Technology 185,225
2020-06-08 13G/A OCCI / OFS Credit Company, Inc. 379,702 149,649
2020-01-31 13G/A OCCI / OFS Credit Company, Inc. 518,513 379,702
2019-09-10 13G/A OCCI / OFS Credit Company, Inc. 261,837 518,513
2018-11-09 13G OCCI / OFS Credit Company, Inc. 261,837
2017-08-10 13G/A / Oxford Lane Capital Corp. 663,724 319,872
2017-02-14 13G/A / Oxford Lane Capital Corp. 955,265 663,724
2016-06-03 13G / Oxford Lane Capital Corp. 1,301,414 955,265
2016-03-03 13D / Oxford Lane Capital Corp. 1,316,089 1,301,414
2016-01-29 13G / Oxford Lane Capital Corp. 427,515 1,316,089
2015-07-10 13G/A / Oxford Lane Capital Corp. 427,515 742,175
2015-07-10 13G/A OXLC / Oxford Lane Capital Corp. 514,761 742,175
2015-06-05 13G/A / Oxford Lane Capital Corp. 427,515
2015-06-05 13G/A OXLC / Oxford Lane Capital Corp. 514,761
2015-02-09 13G / Oxford Lane Capital Corp. 283,984
2015-01-09 13G / Oxford Lane Capital Corp. 334,552
2014-02-24 13D/A CUBA / The Herzfeld Caribbean Basin Fund Inc. 229,788
2013-11-21 13G/A / Oxford Lane Capital Corp. 0
2013-02-14 13G / Oxford Lane Capital Corp. 35,350