Cecilia L Gondor

Insider

First SEC filing: Sept. 17, 2014 · Latest: Sept. 17, 2014

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Insider at Companies where this person is a reporting insider.
Insider transactions Every share this person bought or sold, from Form 4 filings.
Derivatives Options and other derivative holdings reported by this person.
Initial holdings The stakes this person held when they first started reporting.

Insider at

HERZ buying June 17, 2022

Insider transactions

0 buys (P) 0 sells (S) Net: $0 + 26 non-open-market transactions below last 12 months, based on the transactions shown below

Price change vs current quote, split-adjusted for corporate actions since the filing — not benchmarked, not annualized, not size-weighted

26 other filings hidden

Date	Ticker	Code	Shares	Price	Value	Owned after	Δ own	A/D	vs now
Dec. 30, 2025	HERZ	D	9,003	$2.58	$23,228	53,320 Direct	+20.32%	Acquired	-38.8% (price as of 2026-08-21)
June 30, 2025	HERZ	J	2,357	$2.46	$5,798	44,317 Direct	+5.62%	Acquired	-35.9% (price as of 2026-08-21)
July 15, 2024	HERZ	J	1,725	$2.33	$4,019	41,960 Direct	+4.29%	Acquired	-32.3% (price as of 2026-08-21)
May 10, 2024	HERZ	J	1,631	$2.41	$3,931	40,235 Direct	+4.22%	Acquired	-34.5% (price as of 2026-08-21)
Jan. 31, 2024	HERZ	J	1,431	$2.63	$3,764	38,604 Direct	+3.85%	Acquired	-40.0% (price as of 2026-08-21)
Dec. 18, 2023	HERZ	X	12,391	$2.31	$28,623	37,173 Direct	+50.00%	Acquired	-31.7% (price as of 2026-08-21)
Dec. 18, 2023	HERZ	X	12,391	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-21)
Dec. 13, 2023	HERZ	X	12,391	$2.31	$28,623	24,782 Direct	+100.00%	Acquired	-31.7% (price as of 2026-08-21)
Dec. 13, 2023	HERZ	X	12,391	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-21)
June 30, 2023	HERZ	J	348	$3.90	$1,357	12,391 Direct	+2.89%	Acquired	-59.5% (price as of 2026-08-21)
March 31, 2023	HERZ	J	359	$3.70	$1,328	12,043 Direct	+3.07%	Acquired	-57.4% (price as of 2026-08-21)
Dec. 30, 2022	HERZ	J	312	$3.96	$1,236	11,684 Direct	+2.74%	Acquired	-60.2% (price as of 2026-08-21)
Sept. 30, 2022	HERZ	J	279	$4.25	$1,186	11,372 Direct	+2.52%	Acquired	-62.9% (price as of 2026-08-21)
June 30, 2022	HERZ	J	381	$4.14	$1,577	11,093 Direct	+3.56%	Acquired	-61.9% (price as of 2026-08-21)
June 17, 2022	HERZ	P	1,000	$3.85	$3,850	10,712 Direct	+10.30%	Acquired	-59.0% (price as of 2026-08-21)
March 31, 2022	HERZ	J	318	$4.89	$1,555	9,712 Direct	+3.39%	Acquired	-67.7% (price as of 2026-08-21)
Dec. 31, 2021	HERZ	J	301	$5.28	$1,589	9,394 Direct	+3.31%	Acquired	-70.1% (price as of 2026-08-21)
Oct. 1, 2021	HERZ	J	268	$5.68	$1,522	9,093 Direct	+3.04%	Acquired	-71.3% (price as of 2026-08-21)
March 19, 2020	HERZ	P	3,000	$2.75	$8,250	8,825 Direct	+51.50%	Acquired	-40.7% (price as of 2026-08-21)
June 7, 2019	HERZ	P	1,000	$6.19	$6,190	5,825 Direct	+20.73%	Acquired	-73.6% (price as of 2026-08-21)
June 6, 2019	HERZ	P	25	$6.18	$154	4,825 Direct	+0.52%	Acquired	-73.6% (price as of 2026-08-21)
Oct. 2, 2017	HERZ	P	1,000	$7.23	$7,230	4,800 Direct	+26.32%	Acquired	-77.4% (price as of 2026-08-21)
Dec. 12, 2014	HERZ	X	188	$6.77	$1,273	3,800 Direct	+5.20%	Acquired	-75.9% (price as of 2026-08-21)
Dec. 4, 2014	HERZ	X	903	$6.77	$6,113	3,612 Direct	+33.33%	Acquired	-75.9% (price as of 2026-08-21)
Dec. 4, 2014	HERZ	X	2,709	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-21)
Aug. 8, 2011	HERZ	P	1,800	$6.11	$10,998	6,592 Indirect	+37.56%	Acquired	-73.3% (price as of 2026-08-21)
Jan. 15, 2009	HERZ	J	109	$4.99	$544	2,709 Direct	+4.19%	Acquired	-67.3% (price as of 2026-08-21)
Jan. 15, 2009	HERZ	J	83	$4.99	$414	4,792 Indirect	+1.76%	Acquired	-67.3% (price as of 2026-08-21)
Nov. 6, 2007	HERZ	X	1,300	$10.04	$13,052	2,600 Direct	+100.00%	Acquired	-83.7% (price as of 2026-08-21)
Nov. 6, 2007	HERZ	X	1,500	$10.04	$15,060	4,600 Indirect	+48.39%	Acquired	-83.7% (price as of 2026-08-21)
Oct. 26, 2007	HERZ	X	1,300	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-21)
Oct. 26, 2007	HERZ	X	500	—	—	0 Indirect	-100.00%	Disposed	(price as of 2026-08-21)

P = Open-market purchase · S = Sale · A = Grant/award · M = Option exercise · G = Gift · F = Tax withholding

Insider transactions are not a recommendation; sales are often driven by liquidity or tax reasons.

Derivative holdings (Form 4 Table II)

Options, RSUs and convertible securities reported on Form 4 Table II.

Date	Ticker	Security	Underlying	Exercise price	Expiration	Shares	A/D
Dec. 18, 2023	HERZ	Oversubscription Privilege (contingent right to buy) [F1,F2,F3,F4]	Common Stock (12,391)	$2.31	Dec. 13, 2023	12,391	Disposed
Dec. 13, 2023	HERZ	Non-transferable Subscription Rights (rights to buy) [F1,F2]	Common Stock (12,391)	$2.31	Dec. 13, 2023	12,391	Disposed
Dec. 4, 2014	HERZ	Non-Transferrable Rights	Common Shares (903)	$6.77	Dec. 4, 2014	2,709	Disposed
Oct. 26, 2007	HERZ	non-transferable rights	common shares (1,300)	$10.04	Oct. 26, 2007	1,300	Disposed
Oct. 26, 2007	HERZ	non-transferable rights	common shares (500)	$10.04	Oct. 26, 2007	500	Disposed

Exercise/conversion price is blank when not applicable (e.g. RSUs).

Initial ownership (Form 3) 1 holding

Securities held when first becoming an insider, per SEC Form 3.

Date	Ticker	Security	Shares	Ownership
Sept. 17, 2014	HERZ	The Herzfeld Caribbean Basin Fund, Inc. Common Stock	2,709	Direct