Total Return Securities Fund — Director's Dealing 2019

Dec 3, 2019

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: SWISS HELVETIA FUND, INC. (SWZ)
CIK: 0000813623
Period of Report: 2019-11-29

Reporting Person: GOLDSTEIN PHILLIP (Director)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2019-11-29	Common Stock	P	1791	$8.12	Acquired	2828	Direct
2019-12-02	Common Stock	P	10000	$8.09	Acquired	12828	Direct
2019-12-02	Common Stock	P	10000	$8.10	Acquired	22828	Direct
2019-12-02	Common Stock	P	8209	$8.12	Acquired	31037	Direct

Footnotes

F1: The Form 4 filed on behalf of Mr. Goldstein on November 23, 2018 incorrectly reported the number of shares disposed of pursuant to an issuer tender offer as 17,633 shares. The correct number of shares tendered is 17,646 shares, and the amount of shares in which he had a Direct beneficial interest subsequent to the tender offer is 1,037 shares.