0000899243-18-029608.txt : 20181123 0000899243-18-029608.hdr.sgml : 20181123 20181123210604 ACCESSION NUMBER: 0000899243-18-029608 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181120 FILED AS OF DATE: 20181123 DATE AS OF CHANGE: 20181123 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GOLDSTEIN PHILLIP CENTRAL INDEX KEY: 0001067621 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-05128 FILM NUMBER: 181199882 MAIL ADDRESS: STREET 1: 60 HERITAGE DRIVE CITY: PLEASANTVILLE STATE: NY ZIP: 10570 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 2018-11-20 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 2018-11-20 4 D 0 1782348 7.86 D 104660 I By Clients Common Stock 2018-11-20 4 D 0 17633 7.86 D 1050 D Disposed of to The Swiss Helvetia Fund, Inc. (the "Fund") pursuant to an issuer tender offer. 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. 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. /s/ Reid B. Adams, Attorney-in-Fact 2018-11-23