HERZFELD CARIBBEAN BASIN FD

CUSIP: 42804T106 Class: CEF

LPL Financial LLC's Holding History (CIK: 0001403438)

Note: Option positions (PUT/CALL) are excluded.

Q1 2017
Shares 34,985 Value ($000) $243 Avg Close — Range —
Q4 2016
Shares 36,768 Value ($000) $247 Avg Close — Range —
Q3 2016
Shares 44,410 Value ($000) $278 Avg Close — Range —
Q2 2016
Shares 33,505 Value ($000) $204 Avg Close — Range —
Q1 2016
Shares 66,310 Value ($000) $468 Avg Close — Range —
Q4 2015
Shares 122,800 Value ($000) $826 Avg Close — Range —
Q3 2015
Shares 57,108 Value ($000) $406 Avg Close — Range —
Q2 2015
Shares 30,050 Value ($000) $302 Avg Close — Range —
Q1 2015
Shares 13,170 Value ($000) $123 Avg Close — Range —