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.