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.