0000899681-14-000633.txt : 20140905 0000899681-14-000633.hdr.sgml : 20140905 20140905094359 ACCESSION NUMBER: 0000899681-14-000633 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140904 FILED AS OF DATE: 20140905 DATE AS OF CHANGE: 20140905 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: Mandel Alan M. CENTRAL INDEX KEY: 0001613147 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-05128 FILM NUMBER: 141084697 MAIL ADDRESS: STREET 1: C/O SCHRODERS STREET 2: 875 THIRD AVENUE, 22ND FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 4 1 mandela-4_09042014.xml OWNERSHIP DOCUMENT X0306 4 2014-09-04 0 0000813623 SWISS HELVETIA FUND, INC. SWZ 0001613147 Mandel Alan M. C/O SCHRODERS 875 THIRD AVENUE, 22ND FLOOR NEW YORK NY 10022 0 1 0 0 Treas. & Princ. Fin. Officer Common Stock 2014-09-04 4 P 0 600 14.209 A 600 D Common Stock 2014-09-04 4 P 0 200 14.220 A 800 D Common Stock 2014-09-04 4 P 0 200 14.219 A 1000 D /s/ Abby Ingber, Attorney-in-fact 2014-09-05