Total Return Securities Fund — Director's Dealing 2018

Oct 23, 2018

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: SWISS HELVETIA FUND, INC. (SWZ)
CIK: 0000813623
Period of Report: 2018-10-19

Reporting Person: Dakos Andrew (Director)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2018-10-19	Common Stock	J	598378	$0.00	Acquired	1887008	Indirect
2018-10-19	Common Stock	J	367	$0.00	Acquired	1159	Direct

Footnotes

F1: Represents shares of common stock of The Swiss Helvetia Fund, Inc. (the "Fund") received pursuant to a stock dividend with a cash election feature, payable on October 19, 2018, that was declared by the Fund's Board of Directors on September 7, 2018 to all common stockholders of record as of the close of business on September 18, 2018.

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.