0001012975-18-000890.txt : 20180706 0001012975-18-000890.hdr.sgml : 20180706 20180706173124 ACCESSION NUMBER: 0001012975-18-000890 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180703 FILED AS OF DATE: 20180706 DATE AS OF CHANGE: 20180706 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GOLDSTEIN PHILLIP CENTRAL INDEX KEY: 0001067621 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 811-05128 FILM NUMBER: 18943084 MAIL ADDRESS: STREET 1: 60 HERITAGE DRIVE CITY: PLEASANTVILLE STATE: NY ZIP: 10570 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 2018-07-03 0 0000813623 SWISS HELVETIA FUND, INC. SWZ 0001067621 GOLDSTEIN PHILLIP 250 PEHLE AVENUE, SUITE 708 SADDLE BROOK NJ 07663 1 0 0 0 Common Stock 12759 D Common Stock 1288630 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. Goldstein as a result of his pecuniary interest therein. Mr. Goldstein 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. Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Mr. Goldstein was elected by stockholders as a Class III Director of SWZ at the Annual Meeting of Stockholders of SWZ held on June 19, 2018 (the "Annual Meeting"). However, Mr. Goldstein's election by stockholders was not final or effective until the results of the election were certified by the independent inspector of election of the Annual Meeting on July 3, 2018. Index of Exhibits: Exhibit 24.1 - Power of Attorney /s/ Phillip Goldstein 2018-07-06 EX-24 2 swzpoa.htm 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 5th day of July 2018.





/s/ Phillip Goldstein

Phillip Goldstein

Director, The Swiss Helvetia Fund, Inc.