Total Return Securities Fund — Director's Dealing 2018

Jul 6, 2018

SEC Form 3 — Initial Statement of Beneficial Ownership

Issuer: SWISS HELVETIA FUND, INC. (SWZ)
CIK: 0000813623
Period of Report: 2018-07-03

Reporting Person: GOLDSTEIN PHILLIP (Director)

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	12759	Direct
Common Stock	1288630	Indirect

Footnotes

F1: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares of SWZ deemed to be beneficially owned by Mr. Goldstein as a result of his pecuniary interest therein. Mr. Goldstein 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. Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein.