0001012975-17-000332.txt : 20170419 0001012975-17-000332.hdr.sgml : 20170419 20170419120621 ACCESSION NUMBER: 0001012975-17-000332 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170417 FILED AS OF DATE: 20170419 DATE AS OF CHANGE: 20170419 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Ricciardi Fred J CENTRAL INDEX KEY: 0001621707 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 811-05128 FILM NUMBER: 17769295 MAIL ADDRESS: STREET 1: 60 STATE STREET CITY: BOSTON STATE: MA ZIP: 02109 3 1 edgar.xml PRIMARY DOCUMENT X0206 3 2017-04-17 1 0000813623 SWISS HELVETIA FUND, INC. SWZ 0001621707 Ricciardi Fred J C/O SCHRODERS 875 THIRD AVENUE, 22ND FLOOR NEW YORK NY 10022 1 0 0 0 On April 17, 2017, Mr. Ricciardi was nominated by the Board of Directors of SWZ as a non-interested Class I Director of SWZ, to stand for election by stockholders at SWZ's 2017 Annual Meeting of Stockholders. Mr. Ricciardi also was appointed by the Board as a non-interested Class I Director of SWZ, and will serve until the 2019 Annual Meeting if elected by stockholders at the 2017 Annual Meeting. Index of Exhibits: Exhibit 24.1 - Power of Attorney /s/ Fred J. Ricciardi 2017-04-18 EX-24 2 ricciardipower.txt POWER OF ATTORNEY Exhibit 24.1 POWER OF ATTORNEY KNOW ALL MEN BY THESE PRESENTS, that the person whose name appears below nominates, constitutes and appoints Reid B. Adams, David J. Marshall, Carin F. Muhlbaum and Shanak Patnaik, and each of them (with full power to act alone), his true and lawful attorney-in-fact and agent, for him and on his behalf and in his place and stead in any and all capacities, to execute any and all filings on Form 3 (Initial Statement of Beneficial Ownership of Securities), Form 4 (Statement of Changes in Beneficial Ownership of Securities) or Form 5 (Annual Statement of Changes in Beneficial Ownership of Securities) pursuant to Section 16(a) of the Securities Exchange Act of 1934, as amended, and Section 30(h) of the Investment Company Act of 1940, as amended ("Form 3, Form 4 and Form 5 Filings"), with respect to changes of beneficial ownership of securities of THE SWISS HELVETIA FUND, INC. (the "Fund"), and to file with the Securities and Exchange Commission, The New York Stock Exchange and the Fund such Form 3, Form 4 and Form 5 Filings, granting unto said attorney, full power and authority to do and perform certain acts and things requisite and necessary to be done in and about the premises as fully to all intents and purposes as the undersigned himself might or could do. IN WITNESS WHEREOF, the undersigned has hereunto set his hand this 18th day of April 2017. /s/ Fred J. Ricciardi ---------------------- Fred J. Ricciardi Director, The Swiss Helvetia Fund, Inc.