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SWZ Swiss Helvetia Fund

Swiss Helvetia Fund, Inc. operates as a non-diversified, closed end investment fund. It intends to seek long-term capital appreciation through investment in equity and equity-linked securities of Swiss companies and it also intends to acquire and hold equity and equity-linked securities of non-Swiss companies in limited instances. The company was founded on October 24, 1986 and is headquartered in Milwaukee, WI.

Company profile

Ticker
SWZ
Exchange
NYSE
Website
www.schroders.com/en/us/swz-fund
CEO
Andrew Dakos
Employees
Location
Wisconsin
Fiscal year end
Dec 31
Sector
Miscellaneous > Investment Trusts/Mutual Funds
Former names
SWISS HELVETIA FUND INC
SEC CIK
0000813623
Corporate docs

SWZ stock data

(
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Press releases

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The Swiss Helvetia Fund, Inc. Declares Quarterly Distribution Of $0.13755 Per Share
12 Mar 21
NEW YORK, March 12, 2021 /PRNewswire/ -- The Swiss Helvetia Fund, Inc. (NYSE:SWZ), a non-diversified registered closed-end investment company (the "Fund"), announced today a quarterly distribution of $0.13755 per

Funds

Data from SEC filings
Series Ticker %Monthly Return ? $Assets As of
SWISS HELVETIA FUND, INC. – -7.37 11.08 6.55 138.04M Dec 2020

Calendar

12 Mar 21
13 Apr 21
31 Dec 21

Recent insider trades

SWZ insider ownership history Insider history
Date Owner Security Transaction Code Indirect 10b5-1 $Price #Shares $Value #Remaining
2 Oct 20 Moritz A Sell Common Stock Sell Dispose S No No 8.37 2,000 16.74K 3,330
30 Apr 20 Goldstein Phillip Common Stock Buy Aquire P No No 7.37 500 3.69K 115,747
23 Apr 20 Goldstein Phillip Common Stock Buy Aquire P No No 7.35 5,000 36.75K 115,247
3 Apr 20 Gerald Hellerman Common Stock Buy Aquire P No No 6.9 1,000 6.9K 4,067
16 Mar 20 Moritz A Sell Common Stock Buy Aquire P No No 6.13 1,017 6.23K 5,050
Data from 3, 4 and 5 filings. Stock values as filed, not updated for current price.

Institutional ownership Q1 2021

SWZ institutional ownership history Ownership history

Data for the last complete 13F reporting period. To see the most recent changes to ownership, click the ownership history button above.

5.2% owned by funds/institutions
13F holders
 Current Prev Q Change
Total holders 1 1 –
Opened positions 0 0
Closed positions 0 35 EXIT
Increased positions 0 1 EXIT
Reduced positions 0 0
13F shares
 Current Prev Q Change
Total value 6.15M 6.15M –
Total shares 688.01K 688.01K –
Total puts 0 0
Total calls 0 0
Total put/call ratio – – –
Largest owners
 Shares Value Change
City Of London Investment Management 688.01K $6.15M 0.0%
Largest transactions
 Shares Bought/sold Change
City Of London Investment Management 688.01K 0 0.0%
Rivernorth Capital Management 0 0
Data from 13F filings. Stock values as filed, not updated for current price. Long positions only.

Financial reports

View all
N-CSR/A
Certified annual shareholder report (management investment company) (amended)
12 Mar 21
N-CEN
Annual report (registered investment company)
11 Mar 21
N-CSR
Certified annual shareholder report (management investment company)
8 Mar 21
N-CSRS
Certified semi-annual shareholder report (management investment company)
3 Sep 20
N-CEN
Annual report (registered investment company)
13 Mar 20
N-CSR
Certified annual shareholder report (management investment company)
11 Mar 20
N-CSRS
Certified semi-annual shareholder report (management investment company)
4 Sep 19
N-CEN
Annual report (registered investment company)
15 Mar 19
N-CSR
Certified annual shareholder report (management investment company)
8 Mar 19
N-CSRS
Certified semi-annual shareholder report (management investment company)
28 Aug 18

Current reports

View all
8-K
Agenda    1    01  Performance          02  Portfolio positioning          03  Outlook          04  Case for Swiss equities
11 Sep 20
8-K
Agenda 01 Performance 02 Portfolio positioning 03 Outlook 04 Conclusion 05 Case for Swiss equities
18 Jun 18
8-K
Other Events
6 Dec 17
8-K
Regulation FD Disclosure
26 Jun 17
8-K
Changes in Registrant's Certifying Accountant
22 Dec 16
8-K
Regulation FD Disclosure
19 Jun 16
8-K
Regulation FD Disclosure
26 Oct 15
8-K
Regulation FD Disclosure
24 Jun 15
8-K
The Swiss Helvetia Fund, Inc. Announces Conference Call
22 Jan 15
8-K
Changes in Registrant's Certifying Accountant
6 Jul 14

Registration and prospectus

View all
SC TO-C
Information about tender offer
4 Oct 19
SC TO-C
Information about tender offer
29 Jul 19
SC TO-I/A
Issuer tender offer statement (amended)
20 Nov 18
SC TO-I/A
Issuer tender offer statement (amended)
19 Nov 18
SC TO-I
Issuer tender offer statement
22 Oct 18
SC TO-C
Information about tender offer
19 Sep 18
SC TO-C
Information about tender offer
6 Sep 18
SC TO-C
Information about tender offer
22 Aug 18
SC TO-I/A
Issuer tender offer statement (amended)
25 Apr 17
SC TO-I/A
Issuer tender offer statement (amended)
24 Apr 17

Proxies

View all
DEFA14A
Additional proxy soliciting materials
31 Aug 20
N-PX
Annual report of proxy voting record
20 Aug 20
DEF 14A
Definitive proxy
24 Jul 20
DEFA14A
Additional proxy soliciting materials
8 Oct 19
DEFA14A
Additional proxy soliciting materials
4 Oct 19
DEF 14A
Definitive proxy
20 Aug 19
N-PX
Annual report of proxy voting record
20 Aug 19
DEFA14A
Additional proxy soliciting materials
29 Jul 19
PRE 14A
Preliminary proxy
29 Jul 19
N-PX
Annual report of proxy voting record
23 Aug 18

Other

UPLOAD
Letter from SEC
2 Nov 16
NO ACT
No action letter
4 May 10
EFFECT
Notice of effectiveness
17 May 07
CORRESP
Correspondence with SEC
16 May 07
CORRESP
Correspondence with SEC
2 May 07
CORRESP
Correspondence with SEC
16 Apr 06

Ownership

View all
SC 13G/A
SWISS HELVETIA FUND / RIVERNORTH CAPITAL MANAGEMENT ownership change
16 Feb 21
SC 13G
SWISS HELVETIA FUND / CITY OF LONDON INVESTMENT MANAGEMENT ownership change
12 Feb 21
SC 13G/A
SWISS HELVETIA FUND / WELLS FARGO & COMPANY ownership change
12 Feb 21
SC 13G/A
SWISS HELVETIA FUND / WELLS FARGO & COMPANY ownership change
12 Feb 21
SC 13G
SWISS HELVETIA FUND / LAZARD ASSET MANAGEMENT ownership change
9 Feb 21
NPORT-P
Swiss Helvetia Fund, Inc. (Dec 2020 report)
21 Jan 21
NPORT-P
Swiss Helvetia Fund, Inc. (Sep 2020 report)
24 Nov 20
4
SWISS HELVETIA FUND / MORITZ A SELL ownership change
2 Oct 20
NPORT-P
Swiss Helvetia Fund, Inc. (Jun 2020 report)
28 Jul 20
NPORT-P
Swiss Helvetia Fund, Inc. (Mar 2020 report)
19 May 20

Reddit threads

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