-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, UbiR1rzwDcp6udNC76gy65EZsTwNiWmDWgCrscH5Y9E4Lzoc4/YVwbEugqnr7q+f 99Rvdy096jKXMQtcceSBUA== 0001339034-07-000003.txt : 20070702 0001339034-07-000003.hdr.sgml : 20070702 20070702170816 ACCESSION NUMBER: 0001339034-07-000003 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070628 FILED AS OF DATE: 20070702 DATE AS OF CHANGE: 20070702 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: 1270 AVENUE OF THE AMERICAS STREET 2: SUITE 400 CITY: NEW YORK STATE: NY ZIP: 10111-0001 BUSINESS PHONE: 2128677660 MAIL ADDRESS: STREET 1: 1270 AVENUE OF THE AMERICAS STREET 2: SUITE 400 CITY: NEW YORK STATE: NY ZIP: 10111-0001 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: Kraynak Michael Jr CENTRAL INDEX KEY: 0001339034 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-05128 FILM NUMBER: 07956237 BUSINESS ADDRESS: BUSINESS PHONE: (212) 867-7660 MAIL ADDRESS: STREET 1: 1270 AVENUE OF THE AMERICAS STREET 2: SUITE 400 CITY: NEW YORK STATE: NY ZIP: 10111 4 1 primary_doc.xml PRIMARY DOCUMENT X0202 4 2007-06-28 0 0000813623 SWISS HELVETIA FUND, INC. SWZ 0001339034 Kraynak Michael Jr 1270 AVENUE OF THE AMERICAS SUITE 400 NEW YORK NY 10111 1 0 0 0 Common Stock 2007-06-22 2007-06-29 4 X 0 834 16.6 A 3334 D Common Stock 2007-06-22 2007-06-29 4 X 0 476 16.6 A 3810 D Common Stock 2007-06-29 4 P 0 1300 17.65 A 5110 D Common Stock 2007-07-02 4 P 0 4890 17.9374 A 10000 D Subscription Rights (right to buy) 16.6 2007-06-22 2007-06-29 4 X 0 2502 0 D 2007-05-24 2007-06-22 Common Stock 834 0 D Subscription Rights (right to buy) 16.6 2007-06-12 4 P 0 2 0.46 A 2007-05-24 2007-06-29 Common Stock 0 2 D Subscription Price determined by 92.5% of the average of the last reported sales price per share on the NYSED for the five trading days ended June 22, 2007 (the Expiration Date). Record Date Stockholders who fully exercised their rights were entitled to an over-subscription privilege under which they were permitted to subscribe for additional shares of Common Stock at the Subscription Price. The shares of Common Stock under Item 4 of Table I were acquired through subscription in the Fund's 1-for-3 rights offering. Shares of Common Stock issued pursuant to the exercise of 2502 rights issued to Mr. Kraynak were acquired on June 28, 2007. These rights were purchased on 6/12/07. The Broker could not determine the price charged Mr. Kraynak for these rights; the price used is the highest trading price of 6/12/07. Rudolf Millisits 2007-07-02 -----END PRIVACY-ENHANCED MESSAGE-----