The Fund is a non-diversified, closed-end investment company seeking long-term capital appreciation through investment in equity and equity-linked securities of Swiss companies. The Fund seeks to achieve its investment objective by investing generally in Swiss equity and equity-linked securities that are traded on a Swiss stock exchange, traded at the pre-bourse level of one or more Swiss stock exchanges, traded through a market maker or traded over the counter in Switzerland. The Fund also may invest in Swiss equity and equity-linked securities of Swiss companies that are traded on other major European stock exchanges.

Company profile
Ticker
SWZ
Exchange
Website
CEO
Andrew Dakos
Employees
Location
Fiscal year end
Former names
SWISS HELVETIA FUND INC
SEC CIK
Corporate docs
SWZ stock data
Funds
Series | Ticker | %Monthly Return ? | $Assets | #Holdings | As of | ||
---|---|---|---|---|---|---|---|
SWISS HELVETIA FUND, INC. | – | -6.94 | -1.28 | -5.13 | 116.71M | 48 | Jun 2022 |
Calendar
8 Mar 22
18 Aug 22
31 Dec 22
Recent insider trades
Date | Owner | Security | Transaction | Code | Indirect | 10b5-1 | $Price | #Shares | $Value | #Remaining |
---|---|---|---|---|---|---|---|---|---|---|
3 Mar 22 | Andrew Dakos | Common Stock | Buy | Acquire P | Yes | No | 8.82 | 1,000 | 8.82K | 3,000 |
2 Mar 22 | Gerald Hellerman | Common Stock | Buy | Acquire P | No | No | 8.84 | 498 | 4.4K | 5,324 |
2 Mar 22 | Gerald Hellerman | Common Stock | Buy | Acquire P | No | No | 8.85 | 235 | 2.08K | 4,826 |
2 Mar 22 | Gerald Hellerman | Common Stock | Buy | Acquire P | No | No | 8.87 | 267 | 2.37K | 4,591 |
3 Feb 22 | Andrew Dakos | Common Stock | Buy | Acquire P | Yes | No | 9.31 | 572 | 5.33K | 2,000 |
2 Feb 22 | Andrew Dakos | Common Stock | Buy | Acquire P | Yes | No | 9.38 | 428 | 4.01K | 1,428 |
2 Jul 21 | Goldstein Phillip | Common Stock | Sell | Dispose S | No | No | 9.79 | 1,212 | 11.87K | 16,783 |
4 Jun 21 | Goldstein Phillip | Common Stock | Sell | Dispose S | No | No | 9.7 | 9,899 | 96.02K | 17,995 |
4 Jun 21 | Goldstein Phillip | Common Stock | Sell | Dispose S | No | No | 9.475 | 67,059 | 635.38K | 27,894 |
Institutional ownership, Q1 2022
36.9% owned by funds/institutions
13F holders | Current |
---|---|
Total holders | 33 |
Opened positions | 1 |
Closed positions | 3 |
Increased positions | 10 |
Reduced positions | 6 |
13F shares | Current |
---|---|
Total value | 44.87M |
Total shares | 4.87M |
Total puts | 0 |
Total calls | 0 |
Total put/call ratio | – |
Largest owners | Shares | Value |
---|---|---|
Allspring Global Investments | 1.18M | $10.89M |
Lazard Asset Management | 805.39K | $7.43M |
City Of London Investment Management | 721.39K | $6.63M |
CSS | 343.82K | $3.17M |
1607 Capital Partners | 330.87K | $3.05M |
Gardner Russo & Gardner | 239.08K | $2.2M |
Bulldog Investors | 237.47K | $2.19M |
Shaker Financial Services | 161.01K | $1.49M |
Commonwealth Equity Services | 154.56K | $1.43M |
Blue Bell Private Wealth Management | 111.74K | $1.03M |
Financial reports
N-CEN
Annual report (registered investment company)
8 Mar 22
N-CSR
Certified annual shareholder report (management investment company)
3 Mar 22
N-CSRS
Certified semi-annual shareholder report (management investment company)
31 Aug 21
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
Current reports
8-K
Agenda 1 01 Performance 02 Portfolio positioning 03 Outlook 04 Case for Swiss equities
9 Sep 21
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
Registration and prospectus
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
N-PX
Annual report of proxy voting record
30 Aug 21
DEFA14A
Additional proxy soliciting materials
19 Aug 21
PRE 14A
Preliminary proxy
14 Jul 21
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
Other
CORRESP
Correspondence with SEC
13 Jul 21
CORRESP
Correspondence with SEC
10 May 17
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
SC 13G/A
SWISS HELVETIA FUND / CITY OF LONDON INVESTMENT MANAGEMENT ownership change
10 Aug 22
NPORT-P
Swiss Helvetia Fund, Inc. (Jun 2022 report)
13 Jul 22
NPORT-P
Swiss Helvetia Fund, Inc. (Mar 2022 report)
17 May 22
4
SWISS HELVETIA FUND / Andrew Dakos ownership change
4 Mar 22
4
SWISS HELVETIA FUND / GERALD HELLERMAN ownership change
3 Mar 22
SC 13G/A
SWISS HELVETIA FUND / CITY OF LONDON INVESTMENT MANAGEMENT ownership change
10 Feb 22
SC 13G/A
SWISS HELVETIA FUND / LAZARD ASSET MANAGEMENT ownership change
10 Feb 22
4
SWISS HELVETIA FUND / Andrew Dakos ownership change
4 Feb 22
NPORT-P
Swiss Helvetia Fund, Inc. (Dec 2021 report)
21 Jan 22
SC 13G
SWISS HELVETIA FUND / Allspring Global Investments ownership change
19 Jan 22
Reddit threads
EU Luxury Stocks
14 Jul 22
Daily Discussion Thread - June 17th, 2022
17 Jun 22
Daily Discussion Thread - June 16th, 2022
16 Jun 22
Daily Discussion Thread - June 15th, 2022
15 Jun 22
Daily Discussion Thread - June 14th, 2022
14 Jun 22
Daily Discussion Thread - March 21st, 2022
21 Mar 22
Daily Discussion Thread - March 18th, 2022
18 Mar 22
Undervalued Stocks Dropping Like a BRIC?
10 Mar 22
Daily Discussion Thread - December 20th, 2021
20 Dec 21
Daily Discussion Thread - December 17th, 2021
17 Dec 21