0001012975-17-000950.txt : 20171221 0001012975-17-000950.hdr.sgml : 20171221 20171221144133 ACCESSION NUMBER: 0001012975-17-000950 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20171219 FILED AS OF DATE: 20171221 DATE AS OF CHANGE: 20171221 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Dakos Andrew CENTRAL INDEX KEY: 0001341021 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-05128 FILM NUMBER: 171269111 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 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2017-12-19 0000813623 SWISS HELVETIA FUND, INC. SWZ 0001341021 Dakos Andrew 250 PEHLE AVENUE, SUITE 708 SADDLE BROOK NJ 07663 1 0 0 0 Common Stock 2017-12-19 4 P 0 3300 12.5538 A 1232508 I By Clients Common Stock 2017-12-20 4 P 0 3163 12.41 A 1235671 I By Clients Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares of SWZ 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, 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. /s/ Reid B. Adams, Attorney-in-Fact 2017-12-21