Temel İstatistikler
| LEI | 549300HQZ0XPGTS5Q724 |
| CIK | 813623 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Total Return Securities, Inc.
SEC Filings (Chronological Order)
Bu sayfa, başka bir yerde sunduğumuz mülkiyet başvuruları hariç, SEC Dosyalarının tam ve kronolojik bir listesini sunmaktadır.
| May 8, 2026 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Defin |
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| January 22, 2026 |
Total Return Securities Fund SC TO-I/A Exhibit 107 Calculation of Filing Fee Tables SC TO-I (Form Type) TOTAL RETURN SECURITIES FUND (Exact Name of Registrant as Specified in its Charter) Table 1: Transaction Valuation Transaction Valuation Fee rate Amount of Filing Fee Fees Previously Paid $ 27,322,400 (a) 0. |
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| January 22, 2026 |
Total Return Securities Fund Announces Final Pricing of Tender Offer Total Return Securities Fund SC TO-I/A Exhibit 99.(a)(5)(iv) Total Return Securities Fund Announces Final Pricing of Tender Offer January 22, 2026 — As previously announced, the tender offer by Total Return Securities Fund (NYSE: SWZ) (f/k/a The Swiss Helvetia Fund) (the “Fund”) to purchase up to 4 million shares of the Fund expired at 5:00 p.m., New York City time, on January 20, 2026. The Fund a |
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| January 22, 2026 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE TO TENDER OFFER STATEMENT UNDER SECTION 14(d)(1) OR 13(e)(1) OF THE SECURITIES EXCHANGE ACT OF 1934 (Final Amendment) Total Return Securities Fund (Name of Subject Company (Issuer)) Total Return Securities Fund (Name of Filing Person (Offeror)) COMMON STOCK, $0.001 PAR VALUE PER SHARE (Title of Class of Securities) 87 |
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| January 21, 2026 |
Total Return Securities Fund Announces Results of Tender Offer Total Return Securities Fund SC TO-I/A Exhibit 99.(a)(5)(iii) Total Return Securities Fund Announces Results of Tender Offer January 21, 2026 — Total Return Securities Fund (NYSE: SWZ) (f/k/a The Swiss Helvetia Fund) (the “Fund”) announced today that its tender offer to purchase up to 4 million of the Fund’s shares for cash expired at 5:00 p.m., New York City time, on January 20, 2026. Based on in |
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| January 21, 2026 |
Total Return Securities Fund SC TO-I/A Exhibit 107 Calculation of Filing Fee Tables SC TO-I (Form Type) TOTAL RETURN SECURITIES FUND (Exact Name of Registrant as Specified in its Charter) Table 1: Transaction Valuation Transaction Valuation Fee rate Amount of Filing Fee Fees Previously Paid $ 27,322,400 (a) 0. |
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| January 21, 2026 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE TO TENDER OFFER STATEMENT UNDER SECTION 14(d)(1) OR 13(e)(1) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 1) Total Return Securities Fund (Name of Subject Company (Issuer)) Total Return Securities Fund (Name of Filing Person (Offeror)) COMMON STOCK, $0.001 PAR VALUE PER SHARE (Title of Class of Securities) 87 |
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| December 19, 2025 |
Total Return Securities Fund SC TO-I Exhibit 107 EX-FILING FEES Calculation of Filing Fee Tables SC TO-I (Form Type) TOTAL RETURN SECURITIES FUND (Exact Name of Registrant as Specified in its Charter) Table 1: Transaction Valuation Transaction Valuation Fee rate Amount of Filing Fee Fees to Be Paid $ 27,322,400 (a) 0. |
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| December 19, 2025 |
TOTAL RETURN SECURITIES FUND ANNOUNCES COMMENCEMENT OF A CASH TENDER OFFER Total Return Securities Fund SC TO-I Exhibit 99.(a)(5)(ii) TOTAL RETURN SECURITIES FUND ANNOUNCES COMMENCEMENT OF A CASH TENDER OFFER Press Release – For Immediate Release December 19, 2025 - Total Return Securities Fund (f/k/a The Swiss Helvetia Fund, Inc.) (the “Fund”) (NYSE: SWZ) announced today that it is commencing a tender offer to purchase up to 4 million shares of common stock the Fund at |
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| December 19, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE TO TENDER OFFER STATEMENT UNDER SECTION 14(d)(1) OR 13(e)(1) OF THE SECURITIES EXCHANGE ACT OF 1934 Total Return Securities Fund (Name of Subject Company (Issuer)) Total Return Securities Fund (Name of Filing Person (Offeror)) COMMON STOCK $0.001 PAR VALUE PER SHARE (Title of Class of Securities) 870875101 (CUSIP Numb |
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| December 19, 2025 |
Total Return Securities Fund SC TO-I Exhibit 99.(a)(1)(iv) tOTAL RETURN SECURITIES FUND c/o U.S. Bank Global Fund Services 615 East Michigan Street Milwaukee, Wisconsin 53202 1-800-730-2932 Offer to Purchase Up to 4,000,000 Shares of Common Stock At a Cash Purchase Price of 98% of Net Asset Value Per Share THE OFFER, PRORATION PERIOD AND WITHDRAWAL RIGHTS WILL EXPIRE AT 5:00 P.M., NEW YORK CITY TI |
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| December 19, 2025 |
Total Return Securities Fund SC TO-I Exhibit 99.(a)(1)(ii) LETTER OF TRANSMITTAL For Tender of Shares of Common Stock of TOTAL RETURN SECURITIES FUND (the “Fund”) Pursuant to the Offer to Purchase, dated December 19, 2025 THE OFFER, PRORATION PERIOD AND WITHDRAWAL RIGHTS WILL EXPIRE AT 5:00 P.M., NEW YORK CITY TIME, ON JANUARY 20, 2026, UNLESS THE FUND EXTENDS THE OFFER. The Depositary for the Off |
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| December 19, 2025 |
Total Return Securities Fund SC TO-I Exhibit 99.(a)(1)(v) TOTAL RETURN SECURITIES FUND c/o U.S. Bank Global Fund Services 615 East Michigan Street Milwaukee, Wisconsin 53202 1-800-730-2932 December 19, 2025 Dear Stockholder: We are writing to inform you that Total Return Securities Fund, a non-diversified, closed-end management investment company incorporated under the laws of the state of Delawar |
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| December 19, 2025 |
Total Return Securities Fund SC TO-I Exhibit 99.(a)(1)(i) Total Return Securities Fund c/o U.S. Bank Global Fund Services 615 East Michigan Street Milwaukee, Wisconsin 53202 1-800-730-2932 OFFER TO PURCHASE Up to 4,000,000 Shares of Common Stock At a Cash Purchase Price of 98% of Net Asset Value Per Share by Total Return Securities Fund THE OFFER, PRORATION PERIOD AND WITHDRAWAL RIGHTS WILL EXPIRE |
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| December 19, 2025 |
Total Return Securities Fund SC TO-I Exhibit 99.(a)(1)(iii) TOTAL RETURN SECURITIES FUND c/o U.S. Bank Global Fund Services 615 East Michigan Street Milwaukee, Wisconsin 53202 1-800-730-2932 Offer to Purchase Up to 4,000,000 Shares of Common Stock At a Cash Purchase Price of 98% of Net Asset Value Per Share THE OFFER, PRORATION PERIOD AND WITHDRAWAL RIGHTS WILL EXPIRE AT 5:00 P.M., NEW YORK CITY T |
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| November 14, 2025 |
Total Return Securities Fund 12,990,705 Rights for 12,990,705 Shares of Common Stock PROSPECTUS Total Return Securities Fund 12,990,705 Rights for 12,990,705 Shares of Common Stock Total Return Securities Fund (f/k/a The Swiss Helvetia Fund) (the “Fund”) is issuing non-transferable rights (“Rights”) to its holders of record of shares of common stock (“Shares”) (such holders hereinafter referred to as “Shareholders”), which Rights will allow Shareholders to subscribe for new Shares (the “Offering”). |
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| August 20, 2025 |
SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 - SCHEDULE TO TENDER OFFER STATEMENT UNDER SECTION 14(d)(1) OR 13(e)(1) of the Securities Exchange Act of 1934 - TOTAL RETURN SECURITIES FUND (Name of Subject Company (Issuer)) TOTAL RETURN SECURITIES FUND (Name of Filing Persons (Offerors) Common Stock, Par Value $0.001 Per Share (Title of Class of Securities) 870875101 (CUSIP Number of Cl |
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| January 28, 2025 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE TO Tender Offer Statement Under Section 14(d)(1) or Section 13(e)(1) of the Securities Exchange Act of 1934 THE SWISS HELVETIA FUND, INC. (Name of Subject Company (Issuer) THE SWISS HELVETIA FUND, INC. (Name of Filing Person (Offeror) Common Stock, par value $0.001 per share (Title of Class of Securities) 870875101 (CUSIP Number of |
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| January 28, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defin |
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| January 27, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Defin |
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| January 22, 2025 |
TELEPHONE: 1-212-558-4000 FACSIMILE: 1-212-558-3588 TELEPHONE: 1-212-558-4000 FACSIMILE: 1-212-558-3588 WWW.SULLCROM.COM 125 Broad Street New York, New York 10004-2498 LOS ANGELES • PALO ALTO • WASHINGTON, D.C. BRUSSELS • FRANKFURT • LONDON • PARIS BEIJING • HONG KONG • TOKYO MELBOURNE • SYDNEY January 22, 2025 Via EDGAR and E-Mail David Orlic, Division of Investment Management, Securities and Exchange Commission, 100 F Street, N.E., Washington, D. |
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| January 10, 2025 |
TELEPHONE: 1-212-558-4000 FACSIMILE: 1-212-558-3588 TELEPHONE: 1-212-558-4000 FACSIMILE: 1-212-558-3588 WWW.SULLCROM.COM 125 Broad Street New York, New York 10004-2498 LOS ANGELES • PALO ALTO • WASHINGTON, D.C. BRUSSELS • FRANKFURT • LONDON • PARIS BEIJING • HONG KONG • TOKYO MELBOURNE • SYDNEY January 10, 2025 VIA EDGAR U.S. Securities and Exchange Commission Division of Investment Management 100 F. Street, N.E. Washington, D.C. 20549 RE: The Swis |
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| January 10, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defin |
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| January 10, 2025 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE TO Tender Offer Statement Under Section 14(d)(1) or Section 13(e)(1) of the Securities Exchange Act of 1934 THE SWISS HELVETIA FUND, INC. (Name of Subject Company (Issuer) THE SWISS HELVETIA FUND, INC. (Name of Filing Person (Offeror) Common Stock, par value $0.001 per share (Title of Class of Securities) 870875101 (CUSIP Number of |
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| January 10, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defin |
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| October 11, 2024 |
Portfolio Manager October 2024 Presentation to the Annual Meeting of Stockholders Portfolio and Performance ReviewThe Swiss Helvetia Fund, Inc. |
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| October 11, 2024 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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): October 11, 2024 THE SWISS HELVETIA FUND, INC. |
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| September 16, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Defin |
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| February 14, 2024 |
SWZ / The Swiss Helvetia Fund Inc. / LAZARD ASSET MANAGEMENT LLC Passive Investment SC 13G/A 1 r13gSwissHF.htm SCHEDULE 13G/A CUSIP No: 870875101 1) NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: Lazard Asset Management LLC 2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) o (b) x 3) SEC USE ONLY 4) CITIZENSHIP OR PLACE OF ORGANIZATION: Delaware NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 5) SOLE VOTING POWER: 783,055 6) S |
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| January 12, 2024 |
SWZ / The Swiss Helvetia Fund Inc. / Allspring Global Investments Holdings, LLC Passive Investment SC 13G/A 1 SwissHelv20231231.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3) SWISS HELVETIA FD INC (Name of Issuer) COM (Title of Class of Securities) 870875101 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule p |
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| November 21, 2023 |
THE SWISS HELVETIA FUND, INC. Schedule of Investments by Industry (Unaudited) September 30, 2023 Percent No. of of Net Shares Security Value Assets Common Stock — 96.29% Advertising — 0.47% 8,100 DKSH Holding AG 549,415 0.47% An international marketing and services group. The company offers a comprehensive package of services that includes organizing and running the entire value chain for any prod |
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| September 13, 2023 |
Exhibit 99.1 Presentation to the Annual General MeetingStefan Frischknecht, Fund Manager September 2023 Portfolio and Performance ReviewThe Swiss Helvetia Fund, Inc. Contents Source: Schroders 2 01 Performance 02 Portfolio positioning 03 Outlook 04 Case for Swiss Equities Performance Performance Q2 2023 and YTD August 2023 NAV and price performance in USD 4 Source: Bloomberg, JP Morgan, August 31, |
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| September 13, 2023 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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): September 13, 2023 THE SWISS HELVETIA FUND, INC. |
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| July 25, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Defin |
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| March 8, 2023 |
SWZ / Swiss Helvetia Fund Inc / LAZARD ASSET MANAGEMENT LLC Passive Investment SCHEDULE 13G/A CUSIP No: 870875101 1)NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: Lazard Asset Management LLC 2)CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a)o (b)o 3)SEC USE ONLY 4)CITIZENSHIP OR PLACE OF ORGANIZATION: Delaware NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 5)SOLE VOTING POWER: 796,896 6)SHARED VOTING POWER: - 7)SOLE DISPOS |
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| January 13, 2023 |
SWZ / Swiss Helvetia Fund, Inc. / Allspring Global Investments Holdings, LLC Passive Investment SC 13G/A 1 Swisshelvetia870875101.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2) SWISS HELVETIA FD INC (Name of Issuer) COM (Title of Class of Securities) 870875101 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the r |
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| December 7, 2022 |
SWZ / Swiss Helvetia Fund, Inc. / Allspring Global Investments Holdings, LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1) SWISS HELVETIA FD INC (Name of Issuer) COM (Title of Class of Securities) 870875101 (CUSIP Number) Novemeber 30, 2022 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule i |
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| September 22, 2022 |
SULLIVAN & CROMWELL LLP TELEPHONE: 1-212-558-4000 FACSIMILE: 1-212-558-3588 SULLIVAN & CROMWELL LLP TELEPHONE: 1-212-558-4000 FACSIMILE: 1-212-558-3588 WWW.SULLCROM.COM 125 Broad Street New York, New York 10004-2498 LOS ANGELES ? PALO ALTO ? WASHINGTON, D.C. BRUSSELS ? FRANKFURT ? LONDON ? PARIS BEIJING ? HONG KONG ? TOKYO MELBOURNE ? SYDNEY September 22, 2022 Via EDGAR and E-Mail Tony Burak Division of Investment Management, Securities and Exchange Commission, 100 F Stre |
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| September 14, 2022 |
Presentation to the Annual General MeetingStefan Frischknecht, Fund Manager Portfolio and Performance ReviewThe Swiss Helvetia Fund, Inc. |
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| September 14, 2022 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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): September 14, 2022 THE SWISS HELVETIA FUND, INC. |
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| August 10, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. ?2)* Swiss Helvetia Fund, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 870875101 (CUSIP Number) July 29, 2022 (Date of Event Which Requires Filing of This Statement) Check the appropriate box to designate the rule pursuant to which this |
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| July 27, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Defin |
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| May 17, 2022 |
THE SWISS HELVETIA FUND, INC. Schedule of Investments by Industry (Unaudited) March 31, 2022 Percent No. of of Net Shares Security Value Assets Common Stock — 98.03% Banks — 3.65% 99,580 Credit Suisse Group AG $ 794,259 0.57% A global diversified financial services company with significant activity in private banking, investment banking and asset management. (Cost $1,231,852) 216,000 UBS Group AG |
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| February 11, 2022 |
SWZ / Swiss Helvetia Fund, Inc. / LAZARD ASSET MANAGEMENT LLC Passive Investment SCHEDULE 13G/A CUSIP No: 870875101 1)NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: Lazard Asset Management LLC 2)CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a)o (b)o 3)SEC USE ONLY 4)CITIZENSHIP OR PLACE OF ORGANIZATION: Delaware NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 5)SOLE VOTING POWER: 795,629 6)SHARED VOTING POWER: - 7)SOLE DISPOS |
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| February 11, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. ?1)* Swiss Helvetia Fund, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 870875101 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of This Statement) Check the appropriate box to designate the rule pursuant to which t |
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| January 19, 2022 |
SWZ / Swiss Helvetia Fund, Inc. / Allspring Global Investments Holdings, LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. ) SWISS HELVETIA FD INC (Name of Issuer) COM (Title of Class of Securities) 870875101 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is |
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| December 8, 2021 |
SWZ / Swiss Helvetia Fund, Inc. / WELLS FARGO & COMPANY/MN Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 8) SWISS HELVETIA FD INC (Name of Issuer) COM (Title of Class of Securities) 870875101 (CUSIP Number) November 30, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is |
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| November 17, 2021 |
THE SWISS HELVETIA FUND, INC. Schedule of Investments by Industry (Unaudited) September 30, 2021 Percent No. of of Net Shares Security Value Assets Common Stock — 97.74% Banks — 4.37% 5,876 Cembra Money Bank AG 396,205 0.29 % Provides financial services. The company’s services include personal loans, vehicle financing, credit cards and savings and insurance services. (Cost $349,254) 221,000 Credit |
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| September 9, 2021 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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): September 9, 2021 THE SWISS HELVETIA FUND, INC. |
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| September 9, 2021 |
Exhibit 99.1 Presentation to the Annual General MeetingStefan Frischknecht, Fund Manager Portfolio and Performance ReviewThe Swiss Helvetia Fund, Inc. September 9, 2021 Agenda 1 01 Performance 02 Portfolio positioning 03 Outlook 04 Case for Swiss equities Performance Performance NAV and price performance in USD 3 Source: Schroders, fund performance as published on website (www.swzfund.com); July 3 |
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| August 19, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Defin |
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| July 26, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Defin |
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| July 14, 2021 |
SULLIVAN & CROMWELL LLP TELEPHONE: 1-212-558-4000 FACSIMILE: 1-212-558-3588 SULLIVAN & CROMWELL LLP TELEPHONE: 1-212-558-4000 FACSIMILE: 1-212-558-3588 WWW.SULLCROM.COM 125 Broad Street New York, New York 10004-2498 LOS ANGELES ? PALO ALTO ? WASHINGTON, D.C. BRUSSELS ? FRANKFURT ? LONDON ? PARIS BEIJING ? HONG KONG ? TOKYO MELBOURNE ? SYDNEY July 14, 2021 VIA EDGAR Securities and Exchange Commission, Division of Investment Management, 100 F Street, N.E., Washington, D.C. |
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| July 14, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Defin |
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| May 19, 2021 |
THE SWISS HELVETIA FUND, INC. Schedule of Investments by Industry (Unaudited) March 31, 2021 Percent No. of Fair of Net Shares Security Value Assets Common Stock — 98.00% Advertising — 0.48% 8,390 DKSH Holding AG $ 646,756 0.48 % An international marketing and services group. The company offers a comprehensive package of services that includes organizing and running the entire value chain for any |
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| February 16, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (AMENDMENT NO. 1)* THE SWISS HELVETIA FUND, INC. (Name of Issuer) Common (Title of Class of Securities) 870875101 (CUSIP Number) Marcus Collins RiverNorth Capital Management |
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| February 12, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 7) SWISS HELVETIA FD INC (Name of Issuer) COM (Title of Class of Securities) 870875101 (CUSIP Number) December 31, 2020 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is |
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| February 12, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 7) SWISS HELVETIA FD INC (Name of Issuer) COM (Title of Class of Securities) 870875101 (CUSIP Number) December 31, 2020 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is |
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| February 12, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Swiss Helvetia Fund, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 870875101 (CUSIP Number) December 31, 2020 (Date of Event Which Requires Filing of This Statement) Check the appropriate box to designate the rule pursuant to which |
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| February 9, 2021 |
SCHEDULE 13G CUSIP No: 870875101 1)NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: Lazard Asset Management LLC 2)CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a)o (b)o 3)SEC USE ONLY 4)CITIZENSHIP OR PLACE OF ORGANIZATION: Delaware NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 5)SOLE VOTING POWER: 833,862 6)SHARED VOTING POWER: - 7)SOLE DISPOSIT |
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| November 24, 2020 |
THE SWISS HELVETIA FUND, INC. Schedule of Investments by Industry (Unaudited) September 30, 2020 Percent No. of Fair of Net Shares Security Value Assets Common Stock — 93.82% Advertising — 0.98% 17,914 DKSH Holding AG $ 1,252,761 0.98 % An international marketing and services group. The company offers a comprehensive package of services that includes organizing and running the entire value chain f |
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| September 11, 2020 |
Regulation FD Disclosure, Financial Statements and Exhibits - INVESTOR NOTIFICATION UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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): September 11, 2020 THE SWISS HELVETIA FUND, INC. |
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| September 11, 2020 |
Exhibit 99.1 Presentation to the Annual General MeetingStefan Frischknecht, Fund Manager Portfolio and Performance ReviewThe Swiss Helvetia Fund, Inc. September 11, 2020 Agenda 1 01 Performance 02 Portfolio positioning 03 Outlook 04 Case for Swiss equities Performance Performance NAV and price performance in USD 3 Source: Schroders, fund performance as published on website (www.swzfund.com); July |
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| August 31, 2020 |
- DEFINITIVE ADDITIONAL PROXY SOLICITATION MATERIALS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☑ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defin |
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| July 24, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Defin |
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| May 19, 2020 |
THE SWISS HELVETIA FUND, INC. Schedule of Investments by Industry (Unaudited) March 31, 2020 Percent No. of Fair of Net Shares Security Value Assets Common Stock — 90.51% Advertising — 0.80% 17,914 DKSH Holding AG $ 889,081 0.80 % An international marketing and services group. The company offers a comprehensive package of services that includes organizing and running the entire value chain for any |
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| February 13, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Swiss Helvetia Fund, Inc. (Name of Issuer) Common (Title of Class of Securities) 870875101 (CUSIP Number) December 31, 2019 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Sche |
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| February 4, 2020 |
SWZ / Swiss Helvetia Fund, Inc. / WELLS FARGO & COMPANY/MN Passive Investment SC 13G 1 wfswisshelve-870875101.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. ) SWISS HELVETIA FD INC (Name of Issuer) COM (Title of Class of Securities) 870875101 (CUSIP Number) December 31, 2019 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule |
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| November 20, 2019 |
I, Andrew Dakos, certify that: CERTIFICATION I, Andrew Dakos, certify that: 1. I have reviewed this report on Form N-Q of The Swiss Helvetia Fund Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period c |
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| November 20, 2019 |
Swiss Helvetia Fund, Inc. - QUARTERLY NOTICE OF PORTFOLIO HOLDINGS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY 811-05128 Investment Company Act file number: The Swiss Helvetia Fund, Inc. (Exact name of registrant as specified in charter) c/o U.S. Bank Global Fund Services 615 East Michigan Street Milwaukee, WI 53202 (Address of principal execu |
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| October 8, 2019 |
SWZ / Swiss Helvetia Fund, Inc. DEFA14A - - ADDITIONAL SOLICITATION MATERIALS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defin |
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| October 4, 2019 |
SWZ / Swiss Helvetia Fund, Inc. SC TO-C - - SCHEDULE T/O - PRESS RELEASE SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE TO Tender Offer Statement Under Section 14(d)(1) or Section 13(e)(1) of the Securities Exchange Act of 1934 THE SWISS HELVETIA FUND, INC. (Name of Subject Company (Issuer)) THE SWISS HELVETIA FUND, INC. (Name of Filing Person (Offeror)) Common Stock, par value $0.001 per share (Title of Class of Securities) 870875101 (CUSIP Number |
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| October 4, 2019 |
SWZ / Swiss Helvetia Fund, Inc. DEFA14A - - ADDITIONAL SOLICITATION MATERIAL UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defin |
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| August 20, 2019 |
SWZ / Swiss Helvetia Fund, Inc. DEF 14A - - OTHER DEFINITIVE PROXY STATEMENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant X Filed by a Party other than the Registrant Check the appropriate box: Preliminary Proxy Statement Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) X Definitive |
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| July 29, 2019 |
SWZ / Swiss Helvetia Fund, Inc. DEFA14A - - SCHEDULE 14A PRESS RELEASE UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defin |
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| July 29, 2019 |
SWZ / Swiss Helvetia Fund, Inc. PRE 14A - - PRELIMINARY PROXY STATEMENT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defin |
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| July 29, 2019 |
SWZ / Swiss Helvetia Fund, Inc. SC TO-C - - SCHEDULE T/O - PRESS RELEASE SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE TO Tender Offer Statement Under Section 14(d)(1) or Section 13(e)(1) of the Securities Exchange Act of 1934 THE SWISS HELVETIA FUND, INC. (Name of Filing Person (Offeror)) Common Stock, par value $0.001 per share (Title of Class of Securities) 870875101 (CUSIP Number of Class of Securities) Andrew Dakos Chairman and Chief Executive |
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| May 24, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY 811-05128 Investment Company Act file number: The Swiss Helvetia Fund, Inc. (Exact name of registrant as specified in charter) U.S. Bank Global Fund Services 615 East Michigan Street Milwaukee, WI 53202 (Address of principal executive |
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| May 24, 2019 |
EX-99.CERT 2 certs.htm OFFICER CERTIFICATIONS CERTIFICATION I, Andrew Dakos certify that: 1. I have reviewed this report on Form N-Q of The Swiss Helvetia Fund Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made |
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| December 10, 2018 |
SWZ / Swiss Helvetia Fund, Inc. / WELLS FARGO & COMPANY/MN Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 6) SWISS HELVETIA FD INC (Name of Issuer) COM (Title of Class of Securities) 870875101 (CUSIP Number) November 30, 2018 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is |
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| December 10, 2018 |
SWZ / Swiss Helvetia Fund, Inc. / 1607 Capital Partners, LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. |
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| December 7, 2018 |
SWZ / Swiss Helvetia Fund, Inc. / LAZARD ASSET MANAGEMENT LLC Passive Investment r13gaswisshelvetiafundinc SCHEDULE 13G/A CUSIP No: 870875101 1)NAME OF REPORTING PERSON S. |
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| November 29, 2018 |
THE SWISS HELVETIA FUND, INC. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-05128 The Swiss Helvetia Fund, Inc. (Exact name of registrant as specified in charter) 7 Bryant Park New York, NY 10018 (Address of principal executive offices) (Zip |
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| November 29, 2018 |
EX-99.CERT 2 d645285dex99cert.htm CERTIFICATION PURSUANT TO SECTION 302 CERTIFICATION PURSUANT TO RULE 30a-2(a) UNDER THE INVESTMENT COMPANY ACT OF 1940 AND SECTION 302 OF THE SARBANES OXLEY ACT OF 2002 I, Mark A. Hemenetz, certify that: 1. I have reviewed this report on Form N-Q of The Swiss Helvetia Fund, Inc. (the “registrant”); 2. Based on my knowledge, this report does not contain any untrue |
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| November 23, 2018 |
SWZ / Swiss Helvetia Fund, Inc. / Bulldog Investors, LLC Activist Investment SCHEDULE 13D/A DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT 11/21/18 1. NAME OF REPORTING PERSON Bulldog Investors, LLC 2. CHECK THE BOX IF MEMBER OF A GROUP a[ ] b[] 3. SEC USE ONLY 4. SOURCE OF FUNDS WC 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) AND 2(e) [] 6. CITIZENSHIP OR PLACE OF ORGANIZATION DE 7. SOLE VOTING POWER 74,899 8. SHARED VOTING POW |
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| November 20, 2018 |
SWZ / Swiss Helvetia Fund, Inc. SC TO-I/A SC TO-I/A As filed with the Securities and Exchange Commission, November 20, 2018 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| November 20, 2018 |
THE SWISS HELVETIA FUND, INC. ANNOUNCES FINAL RESULTS OF CASH TENDER OFFER EX-99.(a)(5)(v) Exhibit (a)(5)(v) THE SWISS HELVETIA FUND, INC. ANNOUNCES FINAL RESULTS OF CASH TENDER OFFER Press Release—For Immediate Release New York, New York—November 20, 2018 The Swiss Helvetia Fund, Inc. (NYSE: SWZ), a non-diversified registered closed-end investment company, announced today the final results of its tender offer (the “Offer”) to acquire up to 24,638,918 shares of the Fund’ |
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| November 19, 2018 |
SWZ / Swiss Helvetia Fund, Inc. SC TO-I/A SC TO-I/A As filed with the Securities and Exchange Commission, November 19, 2018 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| November 19, 2018 |
THE SWISS HELVETIA FUND, INC. ANNOUNCES EXPIRATION AND PRELIMINARY RESULTS OF CASH TENDER OFFER EX-99.(a)(5)(iv) Exhibit (a)(5)(iv) THE SWISS HELVETIA FUND, INC. ANNOUNCES EXPIRATION AND PRELIMINARY RESULTS OF CASH TENDER OFFER Press Release - For Immediate Release New York, New York - November 19, 2018 The Swiss Helvetia Fund, Inc. (NYSE: SWZ), a non-diversified registered closed-end investment company, announced today that its tender offer (the “Offer”) to acquire, in exchange for cash, up |
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| October 22, 2018 |
THE SWISS HELVETIA FUND, INC. ANNOUNCES COMMENCEMENT OF ONE-TIME CASH TENDER OFFER EX-99.(a)(5)(iii) Exhibit (a)(5)(iii) THE SWISS HELVETIA FUND, INC. ANNOUNCES COMMENCEMENT OF ONE-TIME CASH TENDER OFFER Press Release – For Immediate Release New York, New York—October 22, 2018 The Swiss Helvetia Fund, Inc. (NYSE: SWZ), a non-diversified registered closed-end investment company, announced today the commencement of a one-time tender offer (the “Offer”) on the terms and conditions |
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| October 22, 2018 |
SWZ / Swiss Helvetia Fund, Inc. SC TO-I SC TO-I As filed with the Securities and Exchange Commission, October 22, 2018 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| October 22, 2018 |
EX-99.(a)(1)(i) Exhibit (a)(1)(i) THE SWISS HELVETIA FUND, INC. 7 Bryant Park New York, New York 10018 (800) 730-2932 OFFER TO PURCHASE Up to 24,638,918 Shares of Common Stock At a Cash Purchase Price of 98% of Net Asset Value Per Share by THE SWISS HELVETIA FUND, INC. THE OFFER, PRORATION PERIOD AND WITHDRAWAL RIGHTS WILL EXPIRE AT 5:00 P.M., NEW YORK CITY TIME, ON NOVEMBER 16, 2018 UNLESS THE FU |
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| October 22, 2018 |
EX-99.(a)(1)(ii) Exhibit (a)(1)(ii) LETTER OF TRANSMITTAL For Tender of Shares of Common Stock of THE SWISS HELVETIA FUND, INC. (the “Fund”) Pursuant to the Offer to Purchase, dated October 22, 2018 THE OFFER, PRORATION PERIOD AND WITHDRAWAL RIGHTS WILL EXPIRE AT 5:00 P.M., NEW YORK CITY TIME, ON NOVEMBER 16, 2018, UNLESS THE FUND EXTENDS THE OFFER. The Depositary for the Offer is: If delivering b |
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| October 22, 2018 |
THE SWISS HELVETIA FUND, INC. 7 BRYANT PARK NEW YORK, NEW YORK 10018 EX-99.(a)(1)(v) Exhibit (a)(1)(v) THE SWISS HELVETIA FUND, INC. 7 BRYANT PARK NEW YORK, NEW YORK 10018 1-800-730-2932 October 22, 2018 Dear Stockholder: We are writing to inform you that The Swiss Helvetia Fund, Inc., a non-diversified, closed-end management investment company incorporated under the laws of the state of Delaware (the “Fund”), is offering to purchase for cash up to 24,638,918 (appr |
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| October 22, 2018 |
EX-99.(a)(1)(iv) Exhibit (a)(1)(iv) THE SWISS HELVETIA FUND, INC. 7 Bryant Park New York, New York 10018 1-800-730-2932 Offer to Purchase Up to 24,638,918 Shares of Common Stock At a Cash Purchase Price of 98% of Net Asset Value Per Share THE OFFER, PRORATION PERIOD AND WITHDRAWAL RIGHTS WILL EXPIRE AT 5:00 P.M., NEW YORK CITY TIME, ON NOVEMBER 16, 2018 UNLESS THE FUND EXTENDS THE OFFER. October 2 |
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| October 22, 2018 |
EX-99.(a)(1)(iii) Exhibit (a)(1)(iii) THE SWISS HELVETIA FUND, INC. 7 Bryant Park New York, New York 10018 1-800-730-2932 Offer to Purchase Up to 24,638,918 Shares of Common Stock At a Cash Purchase Price of 98% of Net Asset Value Per Share THE OFFER, PRORATION PERIOD AND WITHDRAWAL RIGHTS WILL EXPIRE AT 5:00 P.M., NEW YORK CITY TIME, ON NOVEMBER 16, 2018, UNLESS THE FUND EXTENDS THE OFFER. Octobe |
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| September 19, 2018 |
SWZ / Swiss Helvetia Fund, Inc. SC TO-C SC TO-C As filed with the Securities and Exchange Commission, September 19, 2018 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| September 7, 2018 |
SWZ / Swiss Helvetia Fund, Inc. SC TO-C SC TO-C As filed with the Securities and Exchange Commission, September 7, 2018 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| August 23, 2018 |
SWZ / Swiss Helvetia Fund, Inc. SC TO-C SC TO-C As filed with the Securities and Exchange Commission, August 23, 2018 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| June 18, 2018 |
EX-99.1 Stefan Frischknecht, Fund Manager Portfolio and Performance Review The Swiss Helvetia Fund, Inc. June 19, 2018 Agenda 01 Performance 02 Portfolio positioning 03 Outlook 04 Conclusion 05 Case for Swiss equities Performance Performance NAV and price performance in USD Source: Schroders, Citi and JPM for fund performance; Bloomberg for index performance, May 31, 2018; year-to-date performance |
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| June 18, 2018 |
Regulation FD Disclosure, Financial Statements and Exhibits Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): June 19, 2018 THE SWISS HELVETIA FUND, INC. |
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| June 8, 2018 |
SWZ / Swiss Helvetia Fund, Inc. DEFA14A DEFA14A SCHEDULE 14A (RULE 14A-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. |
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| June 7, 2018 |
SWZ / Swiss Helvetia Fund, Inc. DFAN14A SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant [ ] Filed by a Party other than the Registrant [x] Bulldog Investors, LLC Attn: Phillip Goldstein 250 Pehle Avenue, Suite 708 Saddle Brook, NJ 07663 Phone: 201 881-7100 Fax: 201 556-0097 Check the appropriate box: Preliminary Proxy Statement Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) Definitive Proxy Statement Definitive Additional Materials [x] Soliciting Material Pursuant to ss. |
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| May 31, 2018 |
SWZ / Swiss Helvetia Fund, Inc. DEFA14A DEFA14A SCHEDULE 14A (RULE 14A-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. |
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| May 21, 2018 |
THE SWISS HELVETIA FUND, INC. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-05128 The Swiss Helvetia Fund, Inc. (Exact name of registrant as specified in charter) 7 Bryant Park New York, NY 10018 (Address of principal executive offices) (Zip |
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| May 21, 2018 |
EX-99.CERT 2 d515771dex99cert.htm CERTIFICATION PURSUANT TO SECTION 302 CERTIFICATION PURSUANT TO RULE 30a-2(a) UNDER THE INVESTMENT COMPANY ACT OF 1940 AND SECTION 302 OF THE SARBANES OXLEY ACT OF 2002 I, Mark A. Hemenetz, certify that: 1. I have reviewed this report on Form N-Q of The Swiss Helvetia Fund, Inc. (the “registrant”); 2. Based on my knowledge, this report does not contain any untrue |
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| May 7, 2018 |
SWZ / Swiss Helvetia Fund, Inc. DEFC14A SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. |
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| May 4, 2018 |
SWZ / Swiss Helvetia Fund, Inc. DEF 14A DEF 14A SCHEDULE 14A (RULE 14A-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. |
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| April 23, 2018 |
SWZ / Swiss Helvetia Fund, Inc. PREN14A SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. |
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| April 20, 2018 |
SWZ / Swiss Helvetia Fund, Inc. PRE 14A PRE 14A SCHEDULE 14A (RULE 14A-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. |
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| March 6, 2018 |
SWZ / Swiss Helvetia Fund, Inc. / Bulldog Investors, LLC Activist Investment SCHEDULE 13D/A DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT 3/5/18 1. NAME OF REPORTING PERSON Bulldog Investors, LLC 2. CHECK THE BOX IF MEMBER OF A GROUP a[ ] b[] 3. SEC USE ONLY 4. SOURCE OF FUNDS WC 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) AND 2(e) [] 6. CITIZENSHIP OR PLACE OF ORGANIZATION DE 7. SOLE VOTING POWER 980,798 8. SHARED VOTING POWE |
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| February 23, 2018 |
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Shareholders and Board of Directors The Swiss Helvetia Fund, Inc. |
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| February 23, 2018 |
AMENDED AND RESTATED BY-LAWS OF THE SWISS HELVETIA FUND, INC. As of December 4, 2017 ARTICLE I Stockholders SECTION 1. Annual Meeting. The annual meeting of the stockholders of the Corporation shall be held on such date, at such time and at such place, if any, within or without the State of Delaware as may be designated by the Board of Directors, for the purpose of electing Directors and for the t |
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| February 23, 2018 |
Exhibit 77Q2 Section 16(a) Beneficial Ownership Reporting Compliance Section 16(a) of the Securities Exchange Act of 1934, as amended, and Section 30(h) of the Investment Company Act 1940, as amended, require the Fund's directors, its executive (and certain other) officers, Schroder Investment Management North America Inc. |
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| February 14, 2018 |
SWZ / Swiss Helvetia Fund, Inc. / Karpus Management, Inc. Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13 G Under the Securities Exchange Act of 1934 (Amendment No. 3) Swiss Helvetia Fund (SWZ) (Name of Issuer) Common Stock (Title of Class of Securities) 870875101 (CUSIP Number) December 31, 2017 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which th |
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| February 14, 2018 |
SWZ / Swiss Helvetia Fund, Inc. / 1607 Capital Partners, LLC - 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. |
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| February 12, 2018 |
SWZ / Swiss Helvetia Fund, Inc. / WELLS FARGO & COMPANY/MN - 3G/A (Passive Investment) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 5) SWISS HELVETIA FD INC (Name of Issuer) COM (Title of Class of Securities) 870875101 (CUSIP Number) January 31, 2018 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is |
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| February 8, 2018 |
SWZ / Swiss Helvetia Fund, Inc. / LAZARD ASSET MANAGEMENT LLC Passive Investment r13gaswisshelvetiafundinc SCHEDULE 13G/A CUSIP No: 870875101 1)NAME OF REPORTING PERSON S. |
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| December 7, 2017 |
AMENDED AND RESTATED BY-LAWS THE SWISS HELVETIA FUND, INC. As of December 4, 2017 ARTICLE I AMENDED AND RESTATED BY-LAWS OF THE SWISS HELVETIA FUND, INC. As of December 4, 2017 ARTICLE I Stockholders SECTION 1. Annual Meeting. The annual meeting of the stockholders of the Corporation shall be held on such date, at such time and at such place, if any, within or without the State of Delaware as may be designated by the Board of Directors, for the purpose of electing Directors and for the t |
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| December 7, 2017 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): December 4, 2017 THE SWISS HELVETIA FUND, INC. |
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| November 21, 2017 |
Certification Pursuant to Section 302 CERTIFICATION PURSUANT TO RULE 30a-2(a) UNDER THE INVESTMENT COMPANY ACT OF 1940 AND SECTION 302 OF THE SARBANES OXLEY ACT OF 2002 I, Mark A. |
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| November 21, 2017 |
Swiss Helvetia Fund, Inc. - THE SWISS HELVETIA FUND, INC. THE SWISS HELVETIA FUND, INC. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-05128 The Swiss Helvetia Fund, Inc. (Exact name of registrant as specified in charter) 7 Bryant Park New York, NY 10018 (Address of principal executive offices) (Zip |
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| August 28, 2017 |
THE SWISS HELVETIA FUND, INC. VOTING RESULTS 2017 ANNUAL STOCKHOLDER MEETING As of May 1, 2017, the record date for the Fund's 2017 Annual Meeting of Stockholders held on June 27, 2017, there were 25,313,872 shares of the Fund's common stock eligible to vote. At the Meeting, a quorum was present in person or by proxy, and the Fund's shares were voted on the proposals presented to the Fund's stockh |
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| August 28, 2017 |
CERTIFICATE OF AMENDMENT OF CERTIFICATE OF INCORPORATION OF THE SWISS HELVETIA FUND, INC. |
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| June 27, 2017 |
Regulation FD Disclosure, Financial Statements and Exhibits Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): June 27, 2017 THE SWISS HELVETIA FUND, INC. |
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| June 27, 2017 |
Stefan Frischknecht, Fund Manager EX-99.1 Stefan Frischknecht, Fund Manager Portfolio and Performance Review The Swiss Helvetia Fund, Inc. June 27, 2017 Agenda 1 01 Performance 02 Portfolio positioning 03 Outlook 04 05 Conclusion Is a Swiss only focus still opportune? Performance Performance overview NAV and price performance in USD 3 Source: Schroders, Citi and JPM for Fund performance, Bloomberg for index performance, 31 May 201 |
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| June 20, 2017 |
SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. |
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| June 19, 2017 |
DEFA14A SCHEDULE 14A (RULE 14A-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. |
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| June 7, 2017 |
DEFA14A SCHEDULE 14A (RULE 14A-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| June 1, 2017 |
DEFA14A SCHEDULE 14A (RULE 14A-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. |
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| May 26, 2017 |
Swiss Helvetia Fund, Inc. - THE SWISS HELVETIA FUND, INC. THE SWISS HELVETIA FUND, INC. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-05128 The Swiss Helvetia Fund, Inc. (Exact name of registrant as specified in charter) 7 Bryant Park New York, NY 10018 (Address of principal executive offices) (Zip |
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| May 26, 2017 |
Certification Pursuant to Section 302 CERTIFICATION PURSUANT TO RULE 30a-2(a) UNDER THE INVESTMENT COMPANY ACT OF 1940 AND SECTION 302 OF THE SARBANES OXLEY ACT OF 2002 I, Mark A. |
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| May 23, 2017 |
SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. |
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| May 12, 2017 |
DEF 14A SCHEDULE 14A (RULE 14A-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. |
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| May 11, 2017 |
SWZ / Swiss Helvetia Fund, Inc. CORRESP - - CORRESP Proskauer Rose LLP Eleven Times Square New York, NY 10036-8299 May 11, 2017 VIA EDGAR Securities and Exchange Commission 100 F Street, N. |
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| May 8, 2017 |
SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. |
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| April 28, 2017 |
PROSKAUER ROSE LLP Eleven Times Square New York, New York 10036 COVER PROSKAUER ROSE LLP Eleven Times Square New York, New York 10036 April 28, 2017 VIA EDGAR Securities and Exchange Commission 100 F Street, N. |
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| April 28, 2017 |
PRE 14A SCHEDULE 14A (RULE 14A-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. |
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| April 26, 2017 |
SC TO-I/A 1 fp0025362sctoia.htm As filed with the Securities and Exchange Commission, April 26, 2017 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Amendment No. 2 to SCHEDULE TO TENDER OFFER STATEMENT UNDER SECTION 14(d)(1) OR 13(e)(1) OF THE SECURITIES EXCHANGE ACT OF 1934 The Swiss Helvetia Fund, Inc. (Name of Subject Company (Issuer)) The Swiss Helvetia Fund, Inc. (Nam |
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| April 26, 2017 |
THE SWISS HELVETIA FUND, INC. ANNOUNCES FINAL RESULTS OF ONE-TIME CASH TENDER OFFER THE SWISS HELVETIA FUND, INC. ANNOUNCES FINAL RESULTS OF ONE-TIME CASH TENDER OFFER Press Release ? For Immediate Release New York, New York?April 26, 2017 The Swiss Helvetia Fund, Inc. (NYSE: SWZ), a non-diversified registered closed-end investment company, announced today the final results of its one-time tender offer to acquire, in exchange for cash, up to 2,812,653 of its issued and outstandin |
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| April 25, 2017 |
THE SWISS HELVETIA FUND, INC. ANNOUNCES EXPIRATION AND PRELIMINARY RESULTS OF ONE-TIME CASH TENDER OFFER Press Release ? For Immediate Release New York, New York?April 25, 2017 The Swiss Helvetia Fund, Inc. (NYSE: SWZ), a non-diversified registered closed-end investment company, announced today the expiration and preliminary results of its one-time tender offer to acquire, in exchange for cash, up |
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| April 25, 2017 |
SC TO-I/A 1 fp0025319sctoia.htm As filed with the Securities and Exchange Commission, April 25, 2017 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Amendment No. 1 to SCHEDULE TO TENDER OFFER STATEMENT UNDER SECTION 14(d)(1) OR 13(e)(1) OF THE SECURITIES EXCHANGE ACT OF 1934 The Swiss Helvetia Fund, Inc. (Name of Subject Company (Issuer)) The Swiss Helvetia Fund, Inc. (Nam |
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| March 28, 2017 |
THE SWISS HELVETIA FUND, INC. ANNOUNCES ONE-TIME CASH TENDER OFFER THE SWISS HELVETIA FUND, INC. ANNOUNCES ONE-TIME CASH TENDER OFFER Press Release ? For Immediate Release New York, New York?March 22, 2017 The Swiss Helvetia Fund, Inc. (NYSE: SWZ), a non-diversified registered closed-end investment company, announced today that its Board of Directors has approved a one-time tender offer to acquire, in exchange for cash, up to 10% of the Fund?s outstanding shares |
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| March 28, 2017 |
THE SWISS HELVETIA FUND, INC. ANNOUNCES COMMENCEMENT OF ONE-TIME CASH TENDER OFFER THE SWISS HELVETIA FUND, INC. ANNOUNCES COMMENCEMENT OF ONE-TIME CASH TENDER OFFER Press Release ? For Immediate Release New York, New York?March 28, 2017 The Swiss Helvetia Fund, Inc. (NYSE: SWZ), a non-diversified registered closed-end investment company, announced today the commencement of a one-time tender offer (the ?Offer?) on the terms and conditions set forth in the Fund?s offer to purchas |
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| March 28, 2017 |
THE SWISS HELVETIA FUND, INC. 875 THIRD AVENUE, 22ND FLOOR NEW YORK, NEW YORK 10022 1-800-730-2932 THE SWISS HELVETIA FUND, INC. 875 THIRD AVENUE, 22ND FLOOR NEW YORK, NEW YORK 10022 1-800-730-2932 March 28, 2017 Dear Stockholder: We are pleased to inform you that The Swiss Helvetia Fund, Inc., a non-diversified, closed-end management investment company incorporated under the laws of the state of Delaware (the ?Fund?), is offering to purchase for cash up to 2,812,653 (approximately 10%) of its |
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| March 28, 2017 |
THE SWISS HELVETIA FUND, INC. 875 Third Avenue, 22nd Floor New York, New York 10022 1-800-730-2932 OFFER TO PURCHASE Up to 2,812,653 Shares of Common Stock At a Cash Purchase Price of 98% of Net Asset Value Per Share by THE SWISS HELVETIA FUND, INC. THE OFFER, PRORATION PERIOD AND WITHDRAWAL RIGHTS WILL EXPIRE AT 5:00 P.M., NEW YORK CITY TIME, ON APRIL 24, 2017 UNLESS THE FUND EXTENDS THE OFFER. T |
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| March 28, 2017 |
THE SWISS HELVETIA FUND, INC. 875 Third Avenue, 22nd Floor New York, New York 10022 1-800-730-2932 Offer to Purchase Up to 2,812,653 Shares of Common Stock At a Cash Purchase Price of 98% of Net Asset Value Per Share THE OFFER, PRORATION PERIOD AND WITHDRAWAL RIGHTS WILL EXPIRE AT 5:00 P.M., NEW YORK CITY TIME, ON APRIL 24, 2017, UNLESS THE FUND EXTENDS THE OFFER. March 28, 2017 To Brokers, Dealer |
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| March 28, 2017 |
LETTER OF TRANSMITTAL For Tender of Shares of Common Stock of THE SWISS HELVETIA FUND, INC. |
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| March 28, 2017 |
THE SWISS HELVETIA FUND, INC. 875 Third Avenue, 22nd Floor New York, New York 10022 1-800-730-2932 Offer to Purchase Up to 2,812,653 Shares of Common Stock At a Cash Purchase Price of 98% of Net Asset Value Per Share THE OFFER, PRORATION PERIOD AND WITHDRAWAL RIGHTS WILL EXPIRE AT 5:00 P.M., NEW YORK CITY TIME, ON APRIL 24, 2017 UNLESS THE FUND EXTENDS THE OFFER. March 28, 2017 To Our Clients: Enc |
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| March 28, 2017 |
As filed with the Securities and Exchange Commission, March 28, 2017 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| March 14, 2017 |
SWZ / Swiss Helvetia Fund, Inc. / Bulldog Investors, LLC Activist Investment SCHEDULE 13D/A DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT 3/13/17 1. NAME OF REPORTING PERSON Bulldog Investors, LLC 2. CHECK THE BOX IF MEMBER OF A GROUP a[ ] b[] 3. SEC USE ONLY 4. SOURCE OF FUNDS WC 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) AND 2(e) [] 6. CITIZENSHIP OR PLACE OF ORGANIZATION DE 7. SOLE VOTING POWER 984,643 8. SHARED VOTING POW |
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| March 6, 2017 |
SWZ / Swiss Helvetia Fund, Inc. / Bulldog Investors, LLC Activist Investment SCHEDULE 13D/A DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT 3/6/17 1. NAME OF REPORTING PERSON Bulldog Investors, LLC 2. CHECK THE BOX IF MEMBER OF A GROUP a[ ] b[] 3. SEC USE ONLY 4. SOURCE OF FUNDS WC 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) AND 2(e) [] 6. CITIZENSHIP OR PLACE OF ORGANIZATION DE 7. SOLE VOTING POWER 967,054 8. SHARED VOTING POWE |
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| February 28, 2017 |
The Swiss Helvetia Fund, Inc. (?SWZ?) Exhibit 77 Q(2) Section 16(a) Beneficial Ownership Reporting Compliance Section 16(a) of the Securities Exchange Act of 1934, as amended and Section 30(h) of the Investment Company Act 1940, as amended require each Fund's directors and executive officers, certain persons affiliated with Schroder Investment Management North America Inc. and persons who benefici |
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| February 28, 2017 |
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Shareholders and Board of Directors The Swiss Helvetia Fund, Inc. |
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| February 28, 2017 |
Change in Independent Registered Public Accounting Firm On December 21, 2016, PricewaterhouseCoopers LLP (?PwC?) resigned as the independent registered public accounting firm of the Fund, in light of the existence of certain lending relationships relevant to the Fund thought to bear on independence considerations associated with Rule 2-01(c)(1)(ii)(A) of Regulation S-X or the ?Loan Rule. |
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| February 28, 2017 |
AMENDED AND RESTATED BY-LAWS OF THE SWISS HELVETIA FUND, INC. As of February 22, 2017 ARTICLE I Stockholders SECTION 1. Annual Meeting. The annual meeting of the stockholders of the Corporation shall be held on such date, at such time and at such place within or without the State of Delaware as may be designated by the Board of Directors, for the purpose of electing Directors and for the transacti |
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| February 28, 2017 |
SWZ / Swiss Helvetia Fund, Inc. / Bulldog Investors, LLC Activist Investment SCHEDULE 13D/A DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT 2/28/17 1. NAME OF REPORTING PERSON Bulldog Investors, LLC 2. CHECK THE BOX IF MEMBER OF A GROUP a[ ] b[] 3. SEC USE ONLY 4. SOURCE OF FUNDS WC 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) AND 2(e) [] 6. CITIZENSHIP OR PLACE OF ORGANIZATION DE 7. SOLE VOTING POWER 947,910 8. SHARED VOTING POW |
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| February 16, 2017 |
SWZ / Swiss Helvetia Fund, Inc. / Bulldog Investors, LLC Activist Investment SCHEDULE 13D/A DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT 2/15/17 1. NAME OF REPORTING PERSON Bulldog Investors, LLC 2. CHECK THE BOX IF MEMBER OF A GROUP a[ ] b[] 3. SEC USE ONLY 4. SOURCE OF FUNDS WC 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) AND 2(e) [] 6. CITIZENSHIP OR PLACE OF ORGANIZATION DE 7. SOLE VOTING POWER 943,272 8. SHARED VOTING POW |
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| February 14, 2017 |
SWZ / Swiss Helvetia Fund, Inc. / Karpus Management, Inc. Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13 G Under the Securities Exchange Act of 1934 (Amendment No. 2) Swiss Helvetia Fund Inc/The (SWZ) (Name of Issuer) Common Stock (Title of Class of Securities) 870875101 (CUSIP Number) December 31, 2016 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to |
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| February 13, 2017 |
SWZ / Swiss Helvetia Fund, Inc. / 1607 Capital Partners, LLC - 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. |
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| February 10, 2017 |
SWZ / Swiss Helvetia Fund, Inc. / LAZARD ASSET MANAGEMENT LLC Passive Investment r13gaswisshelvetiafundinc SCHEDULE 13G/A CUSIP No: 870875101 1)NAME OF REPORTING PERSON S. |
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| January 24, 2017 |
SWZ / Swiss Helvetia Fund, Inc. / WELLS FARGO & COMPANY/MN Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4) SWISS HELVETIA FD INC (Name of Issuer) COM (Title of Class of Securities) 870875101 (CUSIP Number) December 31, 2016 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is |
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| December 23, 2016 |
December 23, 2016 Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Commissioners: We have read the statements made by The Swiss Helvetia Fund, Inc. (copy attached), which we understand will be filed with the Securities and Exchange Commission, pursuant to Item 4.01 of Form 8-K, as part of the Form 8-K of The Swiss Helvetia Fund, Inc. dated December 23, 2016. We agree with |
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| December 23, 2016 |
Financial Statements and Exhibits, Changes in Registrant's Certifying Accountant UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): December 21, 2016 THE SWISS HELVETIA FUND, INC. |
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| December 22, 2016 |
SWZ / Swiss Helvetia Fund, Inc. / Bulldog Investors, LLC Activist Investment SCHEDULE 13D/A DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT 12/22/16 1. NAME OF REPORTING PERSON Bulldog Investors, LLC 2. CHECK THE BOX IF MEMBER OF A GROUP a[ ] b[] 3. SEC USE ONLY 4. SOURCE OF FUNDS WC 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) AND 2(e) [] 6. CITIZENSHIP OR PLACE OF ORGANIZATION DE 7. SOLE VOTING POWER 812,544 8. SHARED VOTING PO |
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| December 19, 2016 |
SWZ / Swiss Helvetia Fund, Inc. / Bulldog Investors, LLC Activist Investment SCHEDULE 13D/A DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT 12/19/16 1. NAME OF REPORTING PERSON Bulldog Investors, LLC 2. CHECK THE BOX IF MEMBER OF A GROUP a[ ] b[] 3. SEC USE ONLY 4. SOURCE OF FUNDS WC 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) AND 2(e) [] 6. CITIZENSHIP OR PLACE OF ORGANIZATION DE 7. SOLE VOTING POWER 795,013 8. SHARED VOTING PO |
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| December 7, 2016 |
EX-24.1 2 p16-0481ex241.htm POWER OF ATTORNEY Exhibit 24.1 POWER OF ATTORNEY KNOW ALL MEN BY THESE PRESENTS, that the person whose name appears below nominates, constitutes and appoints Alan M. Mandel, Shanak Patnaik, Carin F. Muhlbaum, Abby L. Ingber and Reid B. Adams, and each of them (with full power to act alone), his true and lawful attorney-in-fact and agent, for his and on his behalf and in |
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| November 29, 2016 |
Swiss Helvetia Fund THE SWISS HELVETIA FUND, INC. (Quarterly Schedule of Portfolio Holdings) THE SWISS HELVETIA FUND, INC. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-05128 The Swiss Helvetia Fund, Inc. (Exact name of registrant as specified in charter) 875 Third Avenue, 22nd Floor New York, NY 10022 (Address of principal executive |
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| November 29, 2016 |
CERTIFICATION PURSUANT TO RULE 30a-2(a) UNDER THE INVESTMENT COMPANY ACT OF 1940 AND SECTION 302 OF THE SARBANES OXLEY ACT OF 2002 I, Mark A. |
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| November 3, 2016 |
November 3, 2016 Phillip Goldstein Bulldog Investors, LLC 250 Pehle Ave., Suite 708 Saddle Brook, NJ 07663 Re: Swiss Helvetia Fund, Inc. Schedule 13D filing made by Bulldog Investors, LLC et al. Amendments filed October 25, 2016 and November 1, 2016 File No. 005-53317 Dear Mr. Goldstein: We have reviewed the above-captioned filings and have the following comment. In our comment, we ask for informa |
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| November 1, 2016 |
SWZ / Swiss Helvetia Fund, Inc. / Bulldog Investors, LLC Activist Investment SCHEDULE 13D/A DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT 10/31/16 1. NAME OF REPORTING PERSON Bulldog Investors, LLC 2. CHECK THE BOX IF MEMBER OF A GROUP a[ ] b[] 3. SEC USE ONLY 4. SOURCE OF FUNDS WC 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) AND 2(e) [] 6. CITIZENSHIP OR PLACE OF ORGANIZATION DE 7. SOLE VOTING POWER 816,234 8. SHARED VOTING PO |
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| October 25, 2016 |
SWZ / Swiss Helvetia Fund, Inc. / Bulldog Investors, LLC Activist Investment SCHEDULE 13D/A DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT 10/25/14 1. NAME OF REPORTING PERSON Bulldog Investors, LLC 2. CHECK THE BOX IF MEMBER OF A GROUP a[ ] b[] 3. SEC USE ONLY 4. SOURCE OF FUNDS WC 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) AND 2(e) [] 6. CITIZENSHIP OR PLACE OF ORGANIZATION DE 7. SOLE VOTING POWER 812,704 8. SHARED VOTING PO |
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| September 23, 2016 |
SWZ / Swiss Helvetia Fund, Inc. / Bulldog Investors, LLC Activist Investment SCHEDULE 13D DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT 9/13/16 1. NAME OF REPORTING PERSON Bulldog Investors, LLC 2. CHECK THE BOX IF MEMBER OF A GROUP a[ ] b[] 3. SEC USE ONLY 4. SOURCE OF FUNDS WC 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) AND 2(e) [] 6. CITIZENSHIP OR PLACE OF ORGANIZATION DE 7. SOLE VOTING POWER 789,464 8. SHARED VOTING POWER |
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| August 26, 2016 |
THE SWISS HELVETIA FUND, INC. VOTING RESULTS 2016 ANNUAL STOCKHOLDER MEETING As of April 28, 2016, the record date for the Fund's 2016 Annual Meeting of Stockholders held on June 23, 2016, there were 28,167,077 shares of the Fund's common stock eligible to vote. At the Meeting, a quorum was present in person or by proxy and the Fund's shares were voted on the Proposals presented to the Fund's stoc |
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| June 30, 2016 |
Report of Independent Registered Public Accounting Firm To the Board of Directors and Shareholders Of The Swiss Helvetia Fund, Inc. |
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| June 29, 2016 |
Exhibit 24.1 POWER OF ATTORNEY KNOW ALL MEN BY THESE PRESENTS, that the person whose name appears below nominates, constitutes and appoints Alan M. Mandel, Shanak Patnaik, Carin F. Muhlbaum, Abby L. Ingber and Reid B. Adams, and each of them (with full power to act alone), her true and lawful attorney-in-fact and agent, for her and on her behalf and in her place and stead in any and all capacities |
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| June 20, 2016 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): June 20, 2016 THE SWISS HELVETIA FUND, INC. |
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| June 20, 2016 |
EX-99.1 2 p16-0303exh991.htm PRESENTATION FOR ANNUAL MEETING OF STOCKHOLDERS ON JUNE 23, 2016 Portfolio and Performance ReviewThe Swiss Helvetia Fund, Inc. Date: June 23, 2016 November 2014 | For professional investors only. This material is not suitable for retail clients Stefan Frischknecht, CFA Fund Manager Agenda The case for Swiss equitiesWhy consider The Swiss Helvetia Fund, Inc.PerformanceP |
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| June 17, 2016 |
SCHEDULE 14A (RULE 14A-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. |
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| May 23, 2016 |
CERTIFICATION PURSUANT TO RULE 30a-2(a) UNDER THE INVESTMENT COMPANY ACT OF 1940 AND SECTION 302 OF THE SARBANES OXLEY ACT OF 2002 I, Mark A. |
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| May 23, 2016 |
Swiss Helvetia Fund THE SWISS HELVETIA FUND, INC. (Quarterly Schedule of Portfolio Holdings) THE SWISS HELVETIA FUND, INC. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-05128 The Swiss Helvetia Fund, Inc. (Exact name of registrant as specified in charter) 875 Third Avenue, 22nd Floor New York, NY 10022 (Address of principal executive |
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| May 3, 2016 |
DEF 14A SCHEDULE 14A (RULE 14A-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| February 29, 2016 |
Report of Independent Registered Public Accounting Firm To the Board of Directors and Shareholders Of The Swiss Helvetia Fund, Inc. |
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| February 16, 2016 |
SWZ / Swiss Helvetia Fund, Inc. / 1607 Capital Partners, LLC - 13G AMENDMENT Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. |
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| February 12, 2016 |
SWZ / Swiss Helvetia Fund, Inc. / Karpus Management, Inc. Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1) Swiss Helvetia Fund, Inc. (SWZ) (Name of Issuer) Common Stock (Title of Class of Securities) 870875101 (CUSIP Number) December 31, 2015 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to w |
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| February 11, 2016 |
SWZ / Swiss Helvetia Fund, Inc. / LAZARD ASSET MANAGEMENT LLC Passive Investment r13gaswisshelvetiafundinc SCHEDULE 13G/A CUSIP No: 870875101 1)NAME OF REPORTING PERSON S. |
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| January 27, 2016 |
SWZ / Swiss Helvetia Fund, Inc. / WELLS FARGO & COMPANY/MN Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3) SWISS HELVETIA FD INC (Name of Issuer) COM (Title of Class of Securities) 870875101 (CUSIP Number) December 31, 2015 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is |
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| October 27, 2015 |
I, Mark A. Hemenetz, certify that: Certification Pursuant to Section 302 CERTIFICATIONS I, Mark A. Hemenetz, certify that: 1. I have reviewed this report on Form N-Q of The Swiss Helvetia Fund, Inc. (the ?registrant?); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such st |
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| October 27, 2015 |
I, Mark A. Hemenetz, certify that: Certification Pursuant to Section 302 CERTIFICATIONS I, Mark A. Hemenetz, certify that: 1. I have reviewed this report on Form N-Q of The Swiss Helvetia Fund, Inc. (the ?registrant?); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such st |
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| October 27, 2015 |
p15-0349ex991.htm The Swiss Helvetia Fund, Inc. Invest in Switzerland Stefan Frischknecht, CFA Fund Manager October 27, 2015 THE SWISS HELVETIA FUND, INC. Agenda n Case for Swiss equities n Description of ?The Swiss Helvetia Fund, Inc.? (SWZ US) n The Adviser: Schroders n Investment Philosophy and Process n Performance n Portfolio positioning and changes n Outlook n Conclusion n Appendix 1 Source: |
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| October 27, 2015 |
Swiss Helvetia Fund 8-K (Current Report/Significant Event) p15-03498k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): October 27, 2015 THE SWISS HELVETIA FUND, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 005-53317 13 341 0232 (State or other jurisdiction of (Comm |
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| October 27, 2015 |
Swiss Helvetia Fund THE SWISS HELVETIA FUND, INC. (Quarterly Schedule of Portfolio Holdings) N-Q/A 1 d43361dnqa.htm THE SWISS HELVETIA FUND, INC. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-05128 The Swiss Helvetia Fund, Inc. 875 Third Avenue, 22nd Floor New York, NY 10022 Carin F. Muhlbaum Schroder Investment Management North Amer |
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| October 27, 2015 |
Swiss Helvetia Fund THE SWISS HELVETIA FUND, INC. (Quarterly Schedule of Portfolio Holdings) N-Q 1 d43361dnq.htm THE SWISS HELVETIA FUND, INC. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-05128 The Swiss Helvetia Fund, Inc. 875 Third Avenue, 22nd Floor New York, NY 10022 Carin F. Muhlbaum Schroder Investment Management North America |
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| August 27, 2015 |
SUB-ITEM 77C: Submission of matters to a vote of security holders As of April 28, 2015, the record date for the Fund's 2015 Annual Meeting of Stockholders held on June 25, 2015 (the "Meeting"), there were 27,843,053 shares of the Fund's common stock eligible to vote. |
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| June 25, 2015 |
p15-0242exh991.htm Portfolio and Performance Review The Swiss Helvetia Fund, Inc. Date: June 25, 2015 Stefan Frischknecht, CFA Fund Manager Agenda Source: Schroders n Case for Swiss equities n Performance n Portfolio positioning n Outlook n Conclusion n Q & A n Appendix 1 Switzerland leading in global competitiveness Top position maintained for several consecutive years 2 Source: World Economic Fo |
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| June 25, 2015 |
Swiss Helvetia Fund 8K (Current Report/Significant Event) p15-02428k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): June 25, 2015 THE SWISS HELVETIA FUND, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 005-53317 13 341 0232 (State or other jurisdiction of (Commiss |
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| June 1, 2015 |
Swiss Helvetia Fund THE SWISS HELVETIA FUND, INC. (Quarterly Schedule of Portfolio Holdings) THE SWISS HELVETIA FUND, INC. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-05128 The Swiss Helvetia Fund, Inc. 875 Third Avenue, 22nd Floor New York, NY 10022 Carin F. Muhlbaum Schroder Investment Management North America Inc. 875 Third Aven |
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| June 1, 2015 |
I, Mark A. Hemenetz, certify that: Certification Pursuant to Section 302 CERTIFICATIONS I, Mark A. Hemenetz, certify that: 1. I have reviewed this report on Form N-Q of The Swiss Helvetia Fund, Inc. (the registrant); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such st |
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| May 4, 2015 |
DEF14A SCHEDULE 14A (RULE 14A-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. |
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| April 10, 2015 |
SWZ / Swiss Helvetia Fund, Inc. / WELLS FARGO & COMPANY/MN Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2) SWISS HELVETIA FD INC (Name of Issuer) COM (Title of Class of Securities) 870875101 (CUSIP Number) March 31, 2015 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is fi |
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| February 17, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. |
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| February 13, 2015 |
SWZ / Swiss Helvetia Fund, Inc. / Karpus Management, Inc. Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Swiss Helvetia Fund, Inc. (SWZ) (Name of Issuer) Common Stock (Title of Class of Securities) 870875101 (CUSIP Number) December 31, 2014 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule i |
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| February 10, 2015 |
SWZ / Swiss Helvetia Fund, Inc. / WELLS FARGO & COMPANY/MN Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. ) SWISS HELVETIA FD INC (Name of Issuer) COM (Title of Class of Securities) 870875101 (CUSIP Number) December 31, 2014 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is |
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| February 10, 2015 |
SWZ / Swiss Helvetia Fund, Inc. / LAZARD ASSET MANAGEMENT LLC Passive Investment r13gaswisshelvetiafundinc SCHEDULE 13G/A CUSIP No: 870875101 1)NAME OF REPORTING PERSON S. |
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| January 23, 2015 |
THE SWISS HELVETIA FUND, INC. ANNOUNCES CONFERENCE CALL TO DISCUSS RECENT MARKET EVENTS EX-99.1 2 p15-0021ex991.htm PRESS RELEASE DATED JANUARY 22, 2015 Exhibit 99.1 THE SWISS HELVETIA FUND, INC. ANNOUNCES CONFERENCE CALL TO DISCUSS RECENT MARKET EVENTS Press Release – For Immediate Release New York, New York—January 22, 2015 On Wednesday, January 28, 2015, from 8:30 am to 9:30 am Eastern Standard Time, Stefan Frischknecht, Portfolio Manager of The Swiss Helvetia Fund, Inc., will hos |
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| January 23, 2015 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): January 22, 2015 THE SWISS HELVETIA FUND, INC. |
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| December 8, 2014 |
SWZ / Swiss Helvetia Fund, Inc. / Bulldog Investors, LLC Activist Investment SCHEDULE 13D/A DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT 12/5/14 1. NAME OF REPORTING PERSON Bulldog Investors, LLC 2. CHECK THE BOX IF MEMBER OF A GROUP a[ ] b[] 3. SEC USE ONLY 4. SOURCE OF FUNDS WC 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) AND 2(e) [] 6. CITIZENSHIP OR PLACE OF ORGANIZATION DE 7. SOLE VOTING POWER 592,082 8. SHARED VOTING POW |
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| November 28, 2014 |
Swiss Helvetia Fund, Inc. - THE SWISS HELVETIA FUND, INC. THE SWISS HELVETIA FUND, INC. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-05128 The Swiss Helvetia Fund, Inc. 875 Third Avenue, 22nd Floor New York, NY 10022 Mark Hemenetz Schroder Investment Management North America Inc. 875 Third Avenue, |
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| November 28, 2014 |
I, Mark A. Hemenetz, certify that: Certification Pursuant to Section 302 CERTIFICATIONS I, Mark A. Hemenetz, certify that: 1. I have reviewed this report on Form N-Q of The Swiss Helvetia Fund, Inc. (the “registrant”); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such st |
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| August 29, 2014 |
EX-99.77C VOTES 2 Exhibit77C.txt SUB-ITEM 77C: Submission of matters to a vote of security holders As of April 30, 2014, the record date for the Fund's 2014 Annual Meeting of Stockholders held on June 27, 2014 (the "Meeting"), there were 26,557,389 shares of the Fund's common stock eligible to vote. At the Meeting, a quorum was present in person or by proxy and the Fund's shares were voted on the |
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| August 29, 2014 |
EX-99.77K CHNG ACCNT 3 Exhibit77K.txt SUB-ITEM 77K: Changes in registrant's certifying accountant On June 3, 2014, the Board of the Fund approved the dismissal of Deloitte & Touche LLP ("Deloitte") as the Fund's independent registered public accounting firm in the event Schroders commenced providing investment advisory services to the Fund. The Board's decision to approve the contingent dismissal |
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| August 29, 2014 |
EX-99.77Q1 OTHR EXHB 4 Exhibit77Q1E.txt INVESTMENT ADVISORY AGREEMENT AGREEMENT, dated as of July 1, 2014 between The Swiss Helvetia Fund, Inc., a Delaware corporation (the "Fund"), and Schroder Investment Management North America Inc., a Delaware corporation ("Schroders"). WHEREAS, the Fund is a non-diversified closed-end investment management company registered under the Investment Company Act o |
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| August 29, 2014 |
SWZ / Swiss Helvetia Fund, Inc. NSAR-A - - PAGE 1 000 A000000 06/30/2014 000 C000000 0000813623 000 D000000 N 000 E000000 NF 000 F000000 Y 000 G000000 N 000 H000000 N 000 I000000 6. |
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| July 10, 2014 |
SWZ / Swiss Helvetia Fund, Inc. / LAZARD ASSET MANAGEMENT LLC Passive Investment r13gaswisshelvetiafundinc SCHEDULE 13G/A CUSIP No: 870875101 1)NAME OF REPORTING PERSON S. |
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| July 7, 2014 |
Exhibit 16.1 July 1, 2014 Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-7561 Dear Sirs/Madams: We have read Item 4 of The Swiss Helvetia Fund, Inc.’s Form 8-K dated July 1, 2014, and we agree with the statements made therein. Yours truly, /s/ Deloitte & Touche LLP New York, New York |
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| July 7, 2014 |
Financial Statements and Exhibits, Changes in Registrant's Certifying Accountant UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): July 1, 2014 THE SWISS HELVETIA FUND, INC. |
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| June 27, 2014 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): June 27, 2014 THE SWISS HELVETIA FUND, INC. |
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| June 27, 2014 |
Schroder Swiss Equities for The Swiss Helvetia Fund, Inc. Chris Moran Head of US Sub-Advisory, New York June 27, 2014 Stefan Frischknecht, CFA Head of Swiss Equities, Zurich Mark Hemenetz Chief Operating Officer, New York Focus Why Schroders? A worldwide team - dedicated to asset management n Asset management is our sole business Experience and independence n Over 200 years of financial services e |
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| June 10, 2014 |
- DEFINITIVE ADDITIONAL MATERIALS SCHEDULE 14A (RULE 14A-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. |
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| May 29, 2014 |
I, Philippe R. Comby, certify that: EX-99.CERT 2 d727330dex99cert.htm CERTIFICATION PURSUANT TO SECTION 302 CERTIFICATIONS I, Philippe R. Comby, certify that: 1. I have reviewed this report on Form N-Q of The Swiss Helvetia Fund, Inc. (the “registrant”); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of th |
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| May 29, 2014 |
Quarterly Schedule of Portfolio Holdings - THE SWISS HELVETIA FUND, INC. THE SWISS HELVETIA FUND, INC. UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-05128 THE SWISS HELVETIA FUND, INC. (Exact name of registrant as specified in charter) 1270 Avenue of the Americas, Suite 400 New York, NY 10020 (Address of principle |
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| May 21, 2014 |
SWZ / Swiss Helvetia Fund, Inc. / Bulldog Investors, LLC Activist Investment SCHEDULE 13D/A DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT 5/20/14 1. NAME OF REPORTING PERSON Bulldog Investors, LLC 2. CHECK THE BOX IF MEMBER OF A GROUP a[ ] b[] 3. SEC USE ONLY 4. SOURCE OF FUNDS WC 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) AND 2(e) [] 6. CITIZENSHIP OR PLACE OF ORGANIZATION DE 7. SOLE VOTING POWER 908,438 8. SHARED VOTING POW |
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| May 1, 2014 |
DEF 14A SCHEDULE 14A (RULE 14A-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(A) of the Securities Exchange Act of 1934 (Amendment No. |
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| April 18, 2014 |
SCHEDULE 14A (RULE 14A-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. |
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| April 18, 2014 |
SCHEDULE 14A (RULE 14A-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. |
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| April 10, 2014 |
SWZ / Swiss Helvetia Fund, Inc. / WELLS FARGO & COMPANY/MN Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1) SWISS HELVETIA FD INC (Name of Issuer) COM (Title of Class of Securities) 870875101 (CUSIP Number) March 31, 2014 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is fi |
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| February 14, 2014 |
SWZ / Swiss Helvetia Fund, Inc. / LAZARD ASSET MANAGEMENT LLC Passive Investment r13gaswisshelvetiafundinc SCHEDULE 13G/A CUSIP No: 870875101 1)NAME OF REPORTING PERSON S. |
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| February 14, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. |
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| February 13, 2014 |
THE SWISS HELVETIA FUND, INC. ANNOUNCES FINAL RESULTS OF TENDER OFFER PRESS RELEASE ISSUED BY THE FUND, DATED FEBRUARY 13, 2014 THE SWISS HELVETIA FUND, INC. |
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| February 13, 2014 |
- THE SWISS HELVETICA FUND, INC. THE SWISS HELVETICA FUND, INC. As filed with the Securities and Exchange Commission, February 13, 2014 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Amendment No. 2 to SCHEDULE TO TENDER OFFER STATEMENT UNDER SECTION 14(d)(1) OR 13(e)(1) OF THE SECURITIES EXCHANGE ACT OF 1934 The Swiss Helvetia Fund, Inc. (Name of Subject Company (Issuer)) The Swiss Helvetia Fund, Inc. (N |
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| February 12, 2014 |
THE SWISS HELVETIA FUND, INC. ANNOUNCES EXPIRATION AND PRELIMINARY RESULTS OF TENDER OFFER PRESS RELEASE ISSUED BY THE FUND, DATED FEBRUARY 12, 2014 THE SWISS HELVETIA FUND, INC. |
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| February 12, 2014 |
- THE SWISS HELVETICA FUND, INC. THE SWISS HELVETICA FUND, INC. As filed with the Securities and Exchange Commission, February 12, 2014 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Amendment No. 1 to SCHEDULE TO TENDER OFFER STATEMENT UNDER SECTION 14(d)(1) OR 13(e)(1) OF THE SECURITIES EXCHANGE ACT OF 1934 The Swiss Helvetia Fund, Inc. (Name of Subject Company (Issuer)) The Swiss Helvetia Fund, Inc. (N |
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| January 27, 2014 |
SWZ / Swiss Helvetia Fund, Inc. / WELLS FARGO & COMPANY/MN Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. ) SWISS HELVETIA FD INC (Name of Issuer) COM (Title of Class of Securities) 870875101 (CUSIP Number) December 31, 2013 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is |
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| January 13, 2014 |
EX-99.(A)(5)(I) 7 d654376dex99a5i.htm PRESS RELEASE ISSUED BY THE FUND, DATED DECEMBER 3, 2013 THE SWISS HELVETIA FUND, INC. ANNOUNCES ONE-TIME CASH TENDER OFFER AND DECLARES INCOME AND CAPITAL GAIN DISTRIBUTIONS Press Release – For Immediate Release New York, New York—December 3, 2013 The Swiss Helvetia Fund, Inc. (NYSE: SWZ), a non-diversified registered closed-end investment company, announced |
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| January 13, 2014 |
OFFER TO PURCHASE, DATED JANUARY 13, 2014 THE SWISS HELVETIA FUND, INC. 1270 Avenue of the Americas Suite 400 New York, New York 10020 1-888-SWISS-00 (1-888-794-7700) OFFER TO PURCHASE Up to 4,579,480 Shares of Common Stock At a Cash Purchase Price of 95% of Net Asset Value Per Share by THE SWISS HELVETIA FUND INC. THE OFFER, PRORATION PERIOD AND WITHDRAWAL RIGHTS WILL EXPIRE AT 5:00 P.M., NEW YOR |
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| January 13, 2014 |
FORM OF LETTER TO CLIENTS THE SWISS HELVETIA FUND, INC. 1270 AVENUE OF THE AMERICAS, SUITE 400 NEW YORK, NEW YORK 10020 1-888-SWISS-00 (1-888-794-7700) Offer to Purchase Up to 4,579,480 Shares of Common Stock At a Cash Purchase Price of 95% of Net Asset Value Per Share THE OFFER, PRORATION PERIOD AND WITHDRAWAL RIGHTS WILL EXPIRE AT 5:00 P.M., NEW YORK CITY TIME, ON FEBRUARY 11, 2014, UNLESS THE F |
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| January 13, 2014 |
FORM OF LETTER OF TRANSMITTAL LETTER OF TRANSMITTAL For Tender of Shares of Common Stock of THE SWISS HELVETIA FUND, INC. |
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| January 13, 2014 |
TEXT OF LETTER TO STOCKHOLDERS OF THE FUND, DATED JANUARY 13, 2014 THE SWISS HELVETIA FUND, INC. |
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| January 13, 2014 |
- THE SWISS HELVETICA FUND, INC. THE SWISS HELVETICA FUND, INC. As filed with the Securities and Exchange Commission, January, 13, 2014 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE TO TENDER OFFER STATEMENT UNDER SECTION 14(d)(1) OR 13(e)(1) OF THE SECURITIES EXCHANGE ACT OF 1934 The Swiss Helvetia Fund, Inc. (Name of Subject Company (Issuer)) The Swiss Helvetia Fund, Inc. (Name of Filing Perso |
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| January 13, 2014 |
THE SWISS HELVETIA FUND, INC. ANNOUNCES COMMENCEMENT OF TENDER OFFER PRESS RELEASE ISSUED BY THE FUND, DATED JANUARY 13, 2014 THE SWISS HELVETIA FUND, INC. |
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| January 13, 2014 |
FORM OF LETTER TO BROKERS THE SWISS HELVETIA FUND, INC. 1270 AVENUE OF THE AMERICAS, SUITE 400 NEW YORK, NEW YORK 10020 1-888-SWISS-00 (1-888-794-7700) Offer to Purchase Up to 4,579,480 Shares of Common Stock At a Cash Purchase Price of 95% of Net Asset Value Per Share THE OFFER, PRORATION PERIOD AND WITHDRAWAL RIGHTS WILL EXPIRE AT 5:00 P.M., NEW YORK CITY TIME, ON FEBRUARY 11, 2014, UNLESS THE F |
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| November 26, 2013 |
I, Philippe R. Comby, certify that: CERTIFICATIONS I, Philippe R. Comby, certify that: 1. I have reviewed this report on Form N-Q of The Swiss Helvetia Fund, Inc. (the “registrant”); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading wi |
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| November 26, 2013 |
Quarterly Schedule of Portfolio Holdings - THE SWISS HELVETIA FUND, INC. THE SWISS HELVETIA FUND, INC. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-05128 THE SWISS HELVETIA FUND, INC. (Exact name of registrant as specified in charter) 1270 Avenue of the Americas, Suite 400 New York, NY 10020 (Address of principle |
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| August 8, 2013 |
SWZ / Swiss Helvetia Fund, Inc. / Bulldog Investors, LLC Activist Investment SCHEDULE 13D DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT 7/29/13 1. NAME OF REPORTING PERSON Bulldog Investors, LLC, Phillip Goldstein, Andrew Dakos, Steven Samuels 2. CHECK THE BOX IF MEMBER OF A GROUP a[ ] b[] 3. SEC USE ONLY 4. SOURCE OF FUNDS WC 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) AND 2(e) [X] 6. CITIZENSHIP OR PLACE OF ORGANIZATION DE 7 |
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| June 18, 2013 |
Regulation FD Disclosure, Financial Statements and Exhibits - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): June 18, 2013 THE SWISS HELVETIA FUND, INC. |
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| June 18, 2013 |
EX-99.1 2 swisshelv-ex991061813.htm SHAREHOLDERS MEETING * This information and opinions included herein are provided by Hottinger Capital Corp. to assist investors in the Fund. It does not constitute investment advice or an offer to invest, to buy or sell any security or to provide investment management services and while current as of the date hereof is subject to correction, completion and amen |
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| May 28, 2013 |
I, Philippe R. Comby, certify that: Certification Pursuant to Section 302 CERTIFICATIONS I, Philippe R. Comby, certify that: 1. I have reviewed this report on Form N-Q of The Swiss Helvetia Fund, Inc. (the “registrant”); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such s |
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| May 28, 2013 |
Quarterly Schedule of Portfolio Holdings - THE SWISS HELVETIA FUND, INC. THE SWISS HELVETIA FUND, INC. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-05128 THE SWISS HELVETIA FUND, INC. (Exact name of registrant as specified in charter) 1270 Avenue of the Americas, Suite 400 New York, NY 10020 (Address of principle |
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| May 3, 2013 |
DEF 14A SCHEDULE 14A (RULE 14A-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. |
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| February 14, 2013 |
SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. |
