0000899681-15-000061.txt : 20150123 0000899681-15-000061.hdr.sgml : 20150123 20150122192227 ACCESSION NUMBER: 0000899681-15-000061 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20150122 ITEM INFORMATION: Regulation FD Disclosure ITEM INFORMATION: Financial Statements and Exhibits FILED AS OF DATE: 20150123 DATE AS OF CHANGE: 20150122 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SWISS HELVETIA FUND, INC. CENTRAL INDEX KEY: 0000813623 IRS NUMBER: 000000000 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 811-05128 FILM NUMBER: 15543079 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 8-K 1 p15-0021_8k.htm CURRENT REPORT p15-0021_8k.htm
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
 
WASHINGTON, DC  20549
 
     
     
  FORM 8-K  
     
 
 
 
CURRENT REPORT
PURSUANT TO SECTION 13 OR 15(D) OF THE
SECURITIES EXCHANGE ACT OF 1934
 
Date of Report (Date of earliest event reported): January 22, 2015
 

 
THE SWISS HELVETIA FUND, INC.
(Exact Name of Registrant as Specified in its Charter)
 
Delaware
005-53317
13 341 0232
(State or other jurisdiction of
(Commission File Number)
(I.R.S. Employer
incorporation or organization)
 
Identification No.)

875 Third Avenue, 22nd Floor
 
New York, New York
10021
(Address of Principal Executive Offices)
(Zip Code)
   
Registrant's telephone number, including area code:   1-800-730-2932
 
     
 
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
 
o Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
   
o Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
   
o Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
   
o Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
 
Item 7.01.  Regulation FD Disclosure.
 
On January 22, 2015, The Swiss Helvetia Fund, Inc. (the "Fund") issued a press release announcing an open conference call during which portfolio management will discuss the market effects of the recent actions of the Swiss National Bank with respect to the Swiss franc.  A copy of the press release is furnished as Exhibit 99.1 to this report, pursuant to Item 7.01 and Regulation FD.
 
In accordance with General Instruction B.2 of Form 8-K, the information set forth in this Item 7.01, including Exhibit 99.1, is furnished pursuant to Item 7.01 and shall not be deemed "filed" for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or otherwise subject to the liabilities under that section, nor shall such information be deemed incorporated by reference in any filing under the Securities Act of 1933, as amended (the "Securities Act"), or the Exchange Act, except as shall be expressly set forth by specific reference in such a filing. The information set forth in this Item 7.01 shall not be deemed an admission as to the materiality of any information in this report on Form 8-K that is required to be disclosed solely to satisfy the requirements of Regulation FD.
 
Caution Concerning Forward-Looking Statements
 
Statements included in this Current Report on Form 8-K (including information incorporated by reference herein) and other statements that the Fund may make may contain "forward-looking statements" within the meaning of Section 27A of the Securities Act and Section 21E of the Exchange Act.  Statements other than statements of historical facts included in this press release may constitute forward-looking statements and are not guarantees of future performance or results and involve a number of risks and uncertainties.  Actual results may differ materially from those in the forward-looking statements as a result of a number of factors, including those described from time to time in filings with the Securities and Exchange Commission.  The Fund undertakes no duty to update any forward-looking statement made herein.  All forward-looking statements speak only as of the date of the press release filed as Exhibit 99.1 to this report.
 
Item 9.01.  Exhibits.
 
(d)             Exhibit.
 
99.1—Press Release of The Swiss Helvetia Fund, Inc. dated January 22, 2015
 
 
SIGNATURE
 
Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
 
 
THE SWISS HELVETIA FUND, INC.
   
   
Date:  January 22, 2015
By:        /s/ Abby L. Ingber
 
Name:   Abby L. Ingber
 
Title:     Secretary
   

EXHIBIT INDEX
 
The following exhibits are filed herewith:
 
 
Exhibit
 
Exhibit Description
   
99.1
Press Release of The Swiss Helvetia Fund, Inc. dated January 22, 2015

 
EX-99.1 2 p15-0021_ex991.htm PRESS RELEASE DATED JANUARY 22, 2015 p15-0021_ex991.htm
 
Exhibit 99.1
 
 
THE SWISS HELVETIA FUND, INC. ANNOUNCES CONFERENCE CALL
TO DISCUSS RECENT MARKET EVENTS
 
Press Release – For Immediate Release

New York, New York—January 22, 2015
 
On Wednesday, January 28, 2015, from 8:30 am to 9:30 am Eastern Standard Time, Stefan Frischknecht, Portfolio Manager of The Swiss Helvetia Fund, Inc., will host a live conference call to discuss the market effects of the recent actions by the Swiss National Bank (SNB) concerning the Swiss franc.  The conference call will conclude with a question and answer session.
 
To dial into this event, please call (888) 339-2688, passcode 69744552.
 
A commentary by Mr. Frischknecht regarding the recent appreciation of the Swiss franc as a result of the SNB's actions, dated January 16, 2015, is available on the Fund's website (www.swzfund.com).
 
*           *           *           *           *

About The Swiss Helvetia Fund, Inc.

The Fund (www.swzfund.com) is a non-diversified, closed-end investment company seeking long-term capital appreciation through investment in equity and equity-linked securities of Swiss companies.  Its shares are listed on the NYSE under the symbol "SWZ."  The Fund seeks to achieve its investment objective by investing generally in Swiss equity and equity-linked securities that are traded on a Swiss stock exchange, traded at the pre-bourse level of one or more Swiss stock exchanges, traded through a market maker or traded over the counter in Switzerland.  The Fund also may invest in Swiss equity and equity-linked securities of Swiss companies that are traded on other major European stock exchanges.

Closed-end funds, unlike open-end funds, are not continuously offered.  Typically, shares of closed-end funds are sold in the open market through a stock exchange.  Shares of closed-end funds frequently trade at a discount to net asset value.  The price of the Fund's shares is determined by a number of factors, several of which are beyond the control of the Fund.  Therefore, the Fund cannot predict whether its shares will trade at, below or above net asset value.
 
The Fund is managed by Schroder Investment Management North America Inc. and Schroder Investment Management North America Limited.

About Schroder Investment Management North America Inc.

Schroder Investment Management North America Inc. and Schroder Investment Management North America Limited, investment advisors registered with the U.S. SEC, are units of Schroders plc (SDR.L), a global asset management company with approximately $447.7 billion under management as of September 30, 2014.  Schroder's clients include major financial institutions including banks and insurance companies, as well as local and public authorities, public and private pension funds, endowments and foundations, intermediaries and advisors, as well as high net worth individuals and retail investors.  The firm has built one of the largest networks of offices of any dedicated asset management company with more than 400 portfolio managers and analysts covering the world's investment markets, offering a comprehensive range of products and services.

Schroder Investment Management North America Inc. provides asset management products and services to clients in the U.S. and Canada.  Schroder Investment Management North America Inc. is an indirect, wholly-owned subsidiary of Schroders plc, a U.K. public company with shares listed on the London Stock Exchange.

This press release shall not constitute an offer to sell or a solicitation to buy, nor shall there be any sale of the Fund's shares in any state or jurisdiction in which such offer or solicitation or sale would be unlawful prior to registration or qualification under the laws of such state or jurisdiction.