AI assistant
Total Return Securities Fund — Director's Dealing 2018
Nov 23, 2018
34335_dirs_2018-11-23_f4dd21ef-c42d-493e-a770-bd038759c6d9.zip
Director's Dealing
Open in viewerOpens in your device viewer
SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: SWISS HELVETIA FUND, INC. (SWZ)
CIK: 0000813623
Period of Report: 2018-11-20
Reporting Person: Dakos Andrew (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2018-11-20 | Common Stock | D | 1782348 | $7.86 | Disposed | 104660 | Indirect |
| 2018-11-20 | Common Stock | D | 1095 | $7.86 | Disposed | 64 | Direct |
Footnotes
F1: Disposed of to The Swiss Helvetia Fund, Inc. (the "Fund") pursuant to an issuer tender offer.
F2: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares of the Fund's common stock deemed to be beneficially owned by Mr. Dakos as a result of his pecuniary interest therein. Mr. Dakos is a controlling member of Bulldog Investors, LLC, a principal of the general partner of certain of these private investment fund clients, and a limited partner in certain of these private fund clients. Mr. Dakos disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein.