Swiss Helvetia Fund Inc

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Swiss Helvetia Fund Inc
TickerSWZ
CIK #0000813623
CUSIP870875101
Sector -
Addressc/o US Bank Global Fund Services 615 East Michigan Street, Milwaukee, WI 53202
Source [EDGAR]
CIK Filing 2011 - 2026
[0000813623] 3
[0000813623] 4
[0000813623] 5
[0000813623] 8-K
[0000813623] SC 13D
[0000813623] SC 13G
Form 13D/13G Filer Form 13D/13G Subject Filed % Owned
CSS LLC/IL Total Return Securities Fund [2025-12-03] 0.0
RiverNorth Capital Management LLC Total Return Securities Fund [2025-08-14] 0.0
Lazard Asset Management LLC Swiss Helvetia Fund Inc [2025-02-14] 0.0
Lazard Asset Management LLC Swiss Helvetia Fund Inc [2024-11-14] 0.0
Allspring Global Investments Holdings LLC Swiss Helvetia Fund Inc [2022-01-19] 8.84
City of London Investment Management Co Ltd Swiss Helvetia Fund Inc [2021-02-12] 5.2
Lazard Asset Management LLC Swiss Helvetia Fund Inc [2021-02-09] 6.34
RiverNorth Capital Management LLC Swiss Helvetia Fund Inc [2020-02-13] 6.64
Wells Fargo & Company/MN Swiss Helvetia Fund Inc [2020-02-04] 5.44
Karpus Management Inc Swiss Helvetia Fund Inc [2015-02-13] 40.0
Wells Fargo & Company/MN Swiss Helvetia Fund Inc [2015-02-10] 8.39
Wells Fargo & Company/MN Swiss Helvetia Fund Inc [2014-01-27] 5.65
Bulldog Investors LLC Swiss Helvetia Fund Inc [2013-08-08] 11.0
Form 3/4/5 Filer 2011 - 2026
Goldstein Phillip
Total Return Securities Fund
Dakos Andrew
Sell Moritz A
Harris Ben H
Das Rajeev P
Hellerman Gerald
CSS LLC/IL
Brooklyn Capital Management LLC
Antonucci Thomas
Darling Stephanie
Dayan Richard
Calhoun Joseph S III
Hoysradt Jean
Berris Brian A
WITT Samuel B
Helbig Claus
Ricciardi Fred J
Bock David
Brealey Richard
Boillat Jean-Marc
Adams Reid B
Mandel Alan M
Ingber Abby L
Cannella Margaret M
Hooper R Clark
DeTore Stephen M
Patnaik Shanak
Hemenetz Mark A
Dasher Karl
Lenz Daniel
Lanier Angel
Sauer William P
Muhlbaum Carin F
Marshall David James
Frischknecht Stefan
Chislett Paul
Bruderer Philipp
Berthelon Yves
Benz Caspar
Schroder Investment Management North America Ltd
Schroder Investment Management North America INC/ de
Hottinger Capital Corp
Banque Hottinger & Cie SA
Takacsy Alexandre
Hottinger Bank Trust Ltd
Millisits Rudolf
Comby Philippe
West Stephen K
Kraynak Michael Jr
Insider Transaction (Form 3/4/5) Date Action Shares Price Value ($)
Dakos Andrew
Common Stock
2026-03-30 Buy 5,300 $5.91 31,323
Dakos Andrew
Common Stock
2026-03-27 Buy 5,900 $5.92 34,928
Dakos Andrew
Common Stock
2026-03-24 Buy 5,000 $5.96 29,800
Dakos Andrew
Common Stock
2026-03-24 Buy 1,000 $5.95 5,950
Goldstein Phillip
Common Stock
2026-03-18 Buy 10,000 $5.98 59,800
Dakos Andrew
Common Stock
2026-03-12 Buy 3,324 $6.00 19,944
Dakos Andrew
Common Stock
2026-03-11 Buy 1,700 $6.00 10,200
Dakos Andrew
Common Stock
2026-03-06 Buy 12,500 $5.97 74,625
Dakos Andrew
Common Stock
2026-03-05 Buy 12,000 $6.01 72,120
Goldstein Phillip
Common Stock
2026-03-05 Buy 10,000 $5.99 59,900
Goldstein Phillip
Common Stock
2026-03-03 Buy 5,000 $6.01 30,050
Dakos Andrew
Common Stock
2026-03-02 Buy 9,918 $5.95 59,012
Dakos Andrew
Common Stock
2026-03-02 Buy 5,000 $6.15 30,750
Goldstein Phillip
Common Stock
2026-02-27 Small acquisition 68 $6.16 419
Dakos Andrew
Common Stock
2026-02-27 Buy 2,000 $6.20 12,400
Goldstein Phillip
Common Stock
2026-02-26 Small acquisition 256 $6.16 1,577
Dakos Andrew
Common Stock
2026-02-26 Buy 5,000 $6.17 30,850
Dakos Andrew
Common Stock
2026-02-24 Buy 1,348 $6.17 8,317
Dakos Andrew
Common Stock
2026-02-24 Buy 326 $6.14 2,002
Dakos Andrew
Common Stock
2026-02-23 Buy 2,000 $6.13 12,260
showing 20 of 182 most recent transactions
13F Ownership Over TimeHoldersShares Held
2026-03-31 42 4,953,845
2025-12-31 41 8,325,383
2025-09-30 42 6,502,105
2025-06-30 40 5,358,817
2025-03-31 38 4,433,822
2024-12-31 39 5,211,188
2024-09-30 39 5,165,111
2024-06-30 43 4,947,966
2024-03-31 37 4,754,296
2023-12-31 34 4,649,821
2023-09-30 33 4,380,651
2023-06-30 34 4,057,899
Form 13F Holdings
Firm Period DFND Voting Shares
Shaker Financial Services LLC [2026-06-30] SOLE 392,896 393,170
Uncommon Cents Investing LLC [2026-06-30] SOLE 0 85,036
Noble Wealth Management PBC [2026-06-30] SOLE 42,882 42,882
Integris Wealth Management LLC [2026-06-30] SOLE 0 10,053
Allied Private Wealth LLC [2026-06-30] SOLE 619 619
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