8-K 1 v058243_8-k.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 16, 2006 ----------------- HERZFELD CARIBBEAN BASIN FUND, INC. ----------------------------------- (Exact name of registrant as specified in its charter Maryland 811-06445 65-0396889 -------------------------------------------------------------------------------- (State or other jurisdiction (Commission File Number) (IRS Employer of incorporation) Identification No.) P.O. Box 161465, Miami, FL 33116 -------------------------------------------------------------------------------- (Address of principal executive offices) (Zip Code) Registrant's telephone number, including area code, 305-271-1900 ------------ -------------------------------------------------------------------------------- (Former name or former address, if changed since last report.) Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below): |_| Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |_| Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |_| Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |_| Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) SECTION 8 - OTHER EVENTS Item 8.01 Other Events. On November 16, 2006, Herzfeld Caribbean Basin Fund, Inc. (the "Company") announced the adoption of a dividend reinvestment plan (the "Plan"). A copy of the press release issued by the Company dated November 16, 2006 is attached hereto as Exhibit 99.1 SECTION 9 - FINANCIAL STATEMENTS AND EXHIBITS Item 9.01 Financial Statements and Exhibits (d) Exhibit 99.1 Press release dated November 16, 2006. Exhibit 99.2 Dividend Reinvestment Plan of Herzfeld Caribbean Basin Fund, Inc. SIGNATURES Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report on Form 8-K to be signed on its behalf by the undersigned hereunto duly authorized. HERZFELD CARIBBEAN BASIN FUND, INC. Date: November 16, 2006 /s/ Cecilia L. Gondor ----------------------------------- Cecilia L. Gondor Chief Compliance Officer, Secretary and Treasurer EXHIBIT INDEX Exhibit Number Exhibit Description -------------- ------------------- 99.1 Press release dated November 16, 2006 announcing the declaration of Herzfeld Caribbean Basin Fund, Inc.'s year-end distribution and establishment of dividend reinvestment plan. 99.2 Dividend Reinvestment Plan of Herzfeld Caribbean Basin Fund, Inc.