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Total Return Securities Fund — Director's Dealing 2008
Mar 7, 2008
34335_dirs_2008-03-07_d9fae2e8-4cee-4e92-aaef-17fc91547a86.zip
Director's Dealing
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SEC Form 4/A — Form 4/A
Issuer: SWISS HELVETIA FUND, INC. (swz)
CIK: 0000813623
Period of Report: 2007-06-29
Reporting Person: WITT SAMUEL B (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2007-06-22 | Common Shares | X | 1117 | $16.6 | Acquired | 4470 | 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 | 2 | Disposed | 2007-06-22 | Common Stock (0) | Direct |
Footnotes
F1: The form 4 filed on July 3, 2007 inadvertently omitted disclosure of the sale of two remainder subscription rights in connection with Mr. Witt's purchase of 1,117 shares of the Fund's common stock as a result of the maximum exercise of his subscription rights in the Fund's 1-3 rights offering.
F2: 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).
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