Total Return Securities Fund — Director's Dealing 2018

Jun 8, 2018

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: SWISS HELVETIA FUND, INC. (SWZ)
CIK: 0000813623
Period of Report: 2018-06-06

Reporting Person: Dakos Andrew (Director)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2018-06-06	Common Stock	J	54549	—	Disposed	1288630	Indirect

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	792	Direct

Footnotes

F1: These shares of SWZ are held in the account of a private investment fund client of Bulldog Investors, LLC. Bulldog Investors no longer is deemed to have a pecuniary interest in this account as of June 1, 2018, and, as a result, such shares no longer will be reported on Mr. Dakos' Form 4.

F2: Certain private investment fund clients of Bulldog Investors are the beneficial owners of these shares of SWZ 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, 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.