0000899243-18-027306.txt : 20181023
0000899243-18-027306.hdr.sgml : 20181023
20181023175414
ACCESSION NUMBER: 0000899243-18-027306
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20181019
FILED AS OF DATE: 20181023
DATE AS OF CHANGE: 20181023
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Dakos Andrew
CENTRAL INDEX KEY: 0001341021
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 811-05128
FILM NUMBER: 181134974
MAIL ADDRESS:
STREET 1: PARK 80 WEST
STREET 2: 250 PEHLE AVE. STE 708
CITY: SADDLE BROOK
STATE: NJ
ZIP: 07663
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: SWISS HELVETIA FUND, INC.
CENTRAL INDEX KEY: 0000813623
IRS NUMBER: 000000000
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 875 THIRD AVENUE
STREET 2: 22ND FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: 8007302932
MAIL ADDRESS:
STREET 1: 875 THIRD AVENUE
STREET 2: 22ND FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
FORMER COMPANY:
FORMER CONFORMED NAME: SWISS HELVETIA FUND INC
DATE OF NAME CHANGE: 19920703
FORMER COMPANY:
FORMER CONFORMED NAME: HELVETIA FUND INC
DATE OF NAME CHANGE: 19900820
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2018-10-19
0
0000813623
SWISS HELVETIA FUND, INC.
SWZ
0001341021
Dakos Andrew
250 PEHLE AVENUE, SUITE 708
SADDLE BROOK
NJ
07663
1
0
0
0
Common Stock
2018-10-19
4
J
0
598378
0.00
A
1887008
I
By Clients
Common Stock
2018-10-19
4
J
0
367
0.00
A
1159
D
Represents shares of common stock of The Swiss Helvetia Fund, Inc. (the "Fund") received pursuant to a stock dividend with a cash election feature, payable on October 19, 2018, that was declared by the Fund's Board of Directors on September 7, 2018 to all common stockholders of record as of the close of business on September 18, 2018.
Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares of the Fund's common stock deemed to be beneficially owned by Mr. Dakos as a result of his pecuniary interest therein. Mr. Dakos 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. Dakos disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein.
/s/ Reid B. Adams, Attorney-in-Fact
2018-10-23