AI assistant
Total Return Securities Fund — Director's Dealing 2019
Jan 4, 2019
34335_dirs_2019-01-04_def7f07f-a817-4fe2-8fc8-104ec7daac6a.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: 2019-01-02
Reporting Person: Dakos Andrew (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2019-01-02 | Common Stock | J | 104660 | — | Disposed | 0 | Indirect |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 64 | Direct |
Footnotes
F1: These shares of common stock of The Swiss Helvetia Fund, Inc. are held in the accounts of certain private investment fund clients of Bulldog Investors, LLC ("Bulldog Investors"). Mr. Dakos (the "Reporting Person") 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. Bulldog Investors and the Reporting Person are no longer deemed to have a pecuniary interest in such shares as of January 2, 2019 and as a result such shares will no longer be reported on the Reporting Person's Form 4.