0001398344-19-021941.txt : 20191203
0001398344-19-021941.hdr.sgml : 20191203
20191203153707
ACCESSION NUMBER: 0001398344-19-021941
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20191129
FILED AS OF DATE: 20191203
DATE AS OF CHANGE: 20191203
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: GOLDSTEIN PHILLIP
CENTRAL INDEX KEY: 0001067621
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 811-05128
FILM NUMBER: 191265737
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: C/O U.S. BANK GLOBAL FUND SERVICES
STREET 2: 615 EAST MICHIGAN STREET
CITY: MILWAUKEE
STATE: WI
ZIP: 53202
BUSINESS PHONE: 8007302932
MAIL ADDRESS:
STREET 1: C/O U.S. BANK GLOBAL FUND SERVICES
STREET 2: 615 EAST MICHIGAN STREET
CITY: MILWAUKEE
STATE: WI
ZIP: 53202
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
fp0048316_4.xml
X0306
4
2019-11-29
0
0000813623
SWISS HELVETIA FUND, INC.
SWZ
0001067621
GOLDSTEIN PHILLIP
60 HERITAGE DRIVE
PLEASANTVILLE
NY
10570
1
0
0
0
Common Stock
2019-11-29
4
P
0
1791
8.12
A
2828
D
Common Stock
2019-12-02
4
P
0
10000
8.09
A
12828
D
Common Stock
2019-12-02
4
P
0
10000
8.10
A
22828
D
Common Stock
2019-12-02
4
P
0
8209
8.12
A
31037
D
The Form 4 filed on behalf of Mr. Goldstein on November 23, 2018 incorrectly reported the number of shares disposed of pursuant to an issuer tender offer as 17,633 shares. The correct number of shares tendered is 17,646 shares, and the amount of shares in which he had a Direct beneficial interest subsequent to the tender offer is 1,037 shares.
/s/ Phillip Goldstein
2019-12-03