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Total Return Securities Fund — Director's Dealing 2007
Jul 3, 2007
34335_dirs_2007-07-03_1054ef9e-6dfd-4fda-bbc7-437572ddd2c4.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: SWISS HELVETIA FUND, INC. (SWZ)
CIK: 0000813623
Period of Report: 2007-06-29
Reporting Person: HOTTINGER MILLISITS RUDOLF (Sr. Vice President)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2007-06-22 | Common Stock | X | 2656 | $16.6 | Acquired | 10630 | Direct |
| 2007-06-22 | Common Stock | X | 1010 | $16.6 | Acquired | 11640 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2007-06-22 | Subscription Rights (right to buy) | $16.6 | X | 7968 | Disposed | 2007-06-22 | Common Stock (2656) | Direct |
Footnotes
F1: Subscription Price determined by 92.5% of the average of the last reported sales price per share on the NYSE for the five trading days ended June 22, 2007 (the Expiration Date).
F2: Record Date stockholders who fully exercised their rights were entitiled to an over-subscription privilege under which they were permitted to subscribe for additional shares of Common Stock at the subscription price.
F3: The shares of Common Stock under Item 4 of Table I were acquired through subscription in the Fund's 1-for-3 rights offering. Shares of Common Stock issued pursuant to the exercise of 7968 rights issued to Mr. Millisits were acquired on June 29, 2007.