X0206 3 2018-07-03 0 0000813623 SWISS HELVETIA FUND, INC. SWZ 0001067621 GOLDSTEIN PHILLIP 250 PEHLE AVENUE, SUITE 708 SADDLE BROOK NJ 07663 1 0 0 0 Common Stock 12759 D Common Stock 1288630 I By Clients Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares of SWZ deemed to be beneficially owned by Mr. Goldstein as a result of his pecuniary interest therein. Mr. Goldstein is a controlling member of Bulldog Investors, LLC, a principal of the general partner of certain of these private investment fund clients, and a limited partner in certain of these private fund clients. Mr. Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Mr. Goldstein was elected by stockholders as a Class III Director of SWZ at the Annual Meeting of Stockholders of SWZ held on June 19, 2018 (the "Annual Meeting"). However, Mr. Goldstein's election by stockholders was not final or effective until the results of the election were certified by the independent inspector of election of the Annual Meeting on July 3, 2018. Index of Exhibits: Exhibit 24.1 - Power of Attorney /s/ Phillip Goldstein 2018-07-06