0001012975-17-000660.txt : 20170824
0001012975-17-000660.hdr.sgml : 20170824
20170824181818
ACCESSION NUMBER: 0001012975-17-000660
CONFORMED SUBMISSION TYPE: 3
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20170818
FILED AS OF DATE: 20170824
DATE AS OF CHANGE: 20170824
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Dakos Andrew
CENTRAL INDEX KEY: 0001341021
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 811-05128
FILM NUMBER: 171050181
MAIL ADDRESS:
STREET 1: PARK 80 WEST
STREET 2: 250 PEHLE AVE. STE 708
CITY: SADDLE BROOK
STATE: NJ
ZIP: 07663
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
3
1
edgar.xml
PRIMARY DOCUMENT
X0206
3
2017-08-18
0
0000813623
SWISS HELVETIA FUND, INC.
SWZ
0001341021
Dakos Andrew
250 PEHLE AVENUE, SUITE 708
SADDLE BROOK
NJ
07663
1
0
0
0
Common Stock
1209598
I
By Clients
Andrew Dakos' term of office as the Class II Director of SWZ commenced as of the close of business on August 18, 2017.
Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of the 1,209,598 shares of SWZ stock deemed to be beneficially owned by Mr. Dakos as a result of his pecuniary interest therein. Mr. Dakos is a controlling member of Bulldog Investors, LLC, a principal of the general partner of certain of these private investment fund clients, and a limited partner in certain of these private fund clients. Mr. Dakos disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein.
Index of Exhibits: Exhibit 24.1 - Power of Attorney
/s/ Andrew Dakos
2017-08-24
EX-24
2
dakospower.txt
POWER OF ATTORNEY
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
24th day of August 2017.
/s/ Andrew Dakos
---------------------------------------
Andrew Dakos
Director, The Swiss Helvetia Fund, Inc.