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