0000899681-14-000554.txt : 20140710 0000899681-14-000554.hdr.sgml : 20140710 20140710165953 ACCESSION NUMBER: 0000899681-14-000554 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140701 FILED AS OF DATE: 20140710 DATE AS OF CHANGE: 20140710 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: 1270 AVENUE OF THE AMERICAS STREET 2: SUITE 400 CITY: NEW YORK STATE: NY ZIP: 10111-0001 BUSINESS PHONE: 2128677660 MAIL ADDRESS: STREET 1: 1270 AVENUE OF THE AMERICAS STREET 2: SUITE 400 CITY: NEW YORK STATE: NY ZIP: 10111-0001 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA INC/ DE CENTRAL INDEX KEY: 0001105005 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 811-05128 FILM NUMBER: 14970120 BUSINESS ADDRESS: STREET 1: 875 THIRD AVENUE, 22ND FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-641-3800 MAIL ADDRESS: STREET 1: 875 THIRD AVENUE, 22ND FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 3 1 schroderinc-3_070914.xml OWNERSHIP DOCUMENT X0206 3 2014-07-01 1 0000813623 SWISS HELVETIA FUND, INC. SWZ 0001105005 SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA INC/ DE 875 THIRD AVENUE, 22ND FLOOR NEW YORK NY 10022 0 0 0 1 Investment Adviser /s/ Mark A. Hemenetz, Authorized Signatory 2014-07-10