CUSIP No. 42804T106
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13D
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Page 2 of 4 Pages
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1.
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NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Thomas J. Herzfeld, et al.
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2.
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(see instructions)
(a) [ ]
(b) [ ]
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3.
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SEC USE ONLY
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4.
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SOURCE OF FUNDS (see instructions)
PF, OO
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5.
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CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ]
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6.
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CITIZENSHIP OR PLACE OF ORGANIZATION
Miami Beach, Florida
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NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
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7.
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SOLE VOTING POWER
331,860
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8.
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SHARED VOTING POWER
493,201
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9.
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SOLE DISPOSITIVE POWER
331,860
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10.
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SHARED DISPOSITIVE POWER
493,201
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11.
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
825,061
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12.
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CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
(see instructions) [ ]
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13.
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13.45%
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14.
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TYPE OF REPORTING PERSON (see instructions)
IN, IA
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CUSIP No. 42804T106
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13D
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Page 3 of 4 Pages
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(a)
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This statement is filed on behalf of Thomas J. Herzfeld, et al. (the “Reporting Person”) with respect to common stock owned individually by the Reporting Person and in his role as portfolio manager of investment advisory accounts of the clients (“advisory clients”) of Thomas J. Herzfeld Advisors, Inc. a registered investment adviser for which Mr. Herzfeld has a dispositive and/or voting power (“Accounts”).
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(b)
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The principal business address of the Reporting Person is 119 Washington Avenue, Suite 504 Miami Beach, FL 33139.
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(c)
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The Reporting Person is the Chairman of Thomas J. Herzfeld Advisors, Inc. a registered investment adviser whose principal place of business is 119 Washington Avenue, Suite 504 Miami Beach, FL 33139.
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(d)
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During the last five years, the Reporting Person has not been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors);
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(e)
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During the last five years, the Reporting Person has not been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result thereof were or are subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities law or finding any violation with respect to such laws; and
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(f)
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The Reporting Person is a citizen of the United States.
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(a) |
The aggregate number of common stock to which this Schedule 13D relates is 825,061 common stock representing 13.45% of the 6,133,659 shares outstanding as reported by the issuer as of December 31, 2016.
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(b) |
With respect to the shares of common stock owned individually, the Reporting Person beneficially owns with sole power to vote and dispose of 331,860 shares of common stock. With respect to the Accounts, the Reporting Person beneficially owns, with shared power to vote and/or dispose of 493,201 shares of common stock.
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(c) |
Prior to March 17, 2017 advisory clients owned 431,811 shares of common stock. Prior to March 17, 2017 the Reporting Person owned 331,383 shares of common stock. On March 20, 2017 through open market purchases the advisory clients bought a total of 1,283 shares of common stock at the price of $6.95 per share. On March 21, 2017 through open market purchases the advisory clients bought a total of 14,183 shares of common stock at the price of $6.93 per share. On March 21, 2017 through open market purchases the Reporting Person bought a total of 120 shares of common stock at the price of $6.93 per share. On March 22, 2017 through open market purchases the advisory clients bought a total of 1,040 shares of common stock at the price of $6.8896 per share. On March 22, 2017 through open market purchases the Reporting Person bought a total of 7 shares of common stock at the price of $6.8896 per share. On March 23, 2017 through open market purchases the advisory clients bought a total of 13,538 shares of common stock at the price of $6.9238 per share. On March 23, 2017 through open market purchases the Reporting Person bought a total of 120 shares of common stock at the price of $6.9238 per share. On March 27, 2017 through open market purchases the advisory clients bought a total of 1,397 shares of common stock at the price of $6.88 per share. On March 28, 2017 through open market purchases the advisory clients bought a total of 5,691 shares of common stock at the price of $6.8766 per share. On March 28, 2017 through open market purchases the Reporting Person bought a total of 50 shares of common stock at the price of $6.8766 per share. On March 29, 2017 through open market purchases the advisory clients bought a total of 5,561 shares of common stock at the price of $6.9627 per share. On March 29, 2017 through open market purchases the Reporting Person bought a total of 50 shares of common stock at the price of $6.9627 per share. On March 30, 2017 through open market purchases the advisory clients bought a total of 6,951 shares of common stock at the price of $6.9953 per share. On March 30, 2017 through open market purchases the Reporting Person bought a total of 60 shares of common stock at the price of $6.9953 per share. On April 5, 2017 through open market purchases the advisory clients bought a total of 716 shares of common stock at the price of $6.93 per share. On April 6, 2017 through open market purchases the advisory clients bought a total of 1,600 shares of common stock at the price of $6.9244 per share. On April 7, 2017 through open market purchases the advisory clients bought a total of 9,430 shares of common stock at the price of $6.9709 per share. On April 7, 2017 through open market purchases the Reporting Person bought a total of 70 shares of common stock at the price of $6.9709 per share.
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(d) |
The owner of each of the Accounts individually has the right to receive and the power to direct the receipt of dividends from, or proceeds from the sale of, the shares of common stock. To date no owner of an Account holds more than 5% of the Issuer’s common shares.
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(e)
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Not applicable.
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CUSIP No. 42804T106
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13D
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Page 4 of 4 Pages
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Thomas J. Herzfeld Advisors, Inc.
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/s/ Thomas J. Herzfeld
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Thomas J. Herzfeld
Chairman
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April 13, 2017
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Date
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