Swiss Helvetia Fund Inc. (NYSE:SWZ): Phillip Goldstein, Andrew Dakos And Steven Samuels’ Bulldog Investors filed an amended 13D.
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You can access the original SEC filing by clicking here.
Ownership Summary Table
| Name | Sole Voting Power | Shared Voting Power | Sole Dispositive Power | Shared Dispositive Power | Aggregate Amount Owned Power | Percent of Class |
|---|---|---|---|---|---|---|
| Bulldog Investors | 980,798 | 1,150,504 | 980,798 | 1,150,504 | 8.42% | |
| Phillip Goldstein | 980,798 | 1,150,504 | 980,798 | 1,150,504 | 8.42% | |
| Andrew Dakos | 980,798 | 1,150,504 | 980,798 | 1,150,504 | 8.42% | |
| Steven Samuels | 980,798 | 1,150,504 | 980,798 | 1,150,504 | 8.42% |
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Page 1 of 3 – SEC Filing
SCHEDULE 13D/A
DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT
3/5/18
1. NAME OF REPORTING PERSON
Bulldog Investors, LLC
2. CHECK THE BOX IF MEMBER OF A GROUP a[ ]
b[]
3. SEC USE ONLY
4. SOURCE OF FUNDS
WC
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) AND 2(e) []
6. CITIZENSHIP OR PLACE OF ORGANIZATION
DE
___________________________________________________________
7. SOLE VOTING POWER
980,798
8. SHARED VOTING POWER
1,150,504
9. SOLE DISPOSITIVE POWER
980,798
_______________________________________________________
10. SHARED DISPOSITIVE POWER
1,150,504
11. AGGREGATE AMOUNT OWNED BY EACH REPORTING PERSON
2,131,302 (Footnote 1)
12. CHECK IF THE AGGREGATE AMOUNT EXCLUDES CERTAIN SHARES
[]
___________________________________________________________
13. PERCENT OF CLASS REPRESENTED BY ROW 11
8.42%
14. TYPE OF REPORTING PERSON
IA
___________________________________________________________
1. NAME OF REPORTING PERSON
Phillip Goldstein
2. CHECK THE BOX IF MEMBER OF A GROUP a[x]
b[]
3. SEC USE ONLY
4. SOURCE OF FUNDS
WC
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) AND 2(e) []
6. CITIZENSHIP OR PLACE OF ORGANIZATION
USA
___________________________________________________________
7. SOLE VOTING POWER
980,798
8. SHARED VOTING POWER
1,150,504
9. SOLE DISPOSITIVE POWER
980,798
_______________________________________________________
10. SHARED DISPOSITIVE POWER
1,150,504
11. AGGREGATE AMOUNT OWNED BY EACH REPORTING PERSON
2,131,302 (Footnote 1)
12. CHECK IF THE AGGREGATE AMOUNT EXCLUDES CERTAIN SHARES
[]
___________________________________________________________
13. PERCENT OF CLASS REPRESENTED BY ROW 11
8.42%
14. TYPE OF REPORTING PERSON
IN
___________________________________________________________
1. NAME OF REPORTING PERSON
Andrew Dakos
2. CHECK THE BOX IF MEMBER OF A GROUP a[x]
b[]
3. SEC USE ONLY
4. SOURCE OF FUNDS
WC
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) AND 2(e) []
6. CITIZENSHIP OR PLACE OF ORGANIZATION
USA
___________________________________________________________
7. SOLE VOTING POWER
980,798
8. SHARED VOTING POWER
1,150,504
9. SOLE DISPOSITIVE POWER
980,798
_______________________________________________________
10. SHARED DISPOSITIVE POWER
1,150,504
11. AGGREGATE AMOUNT OWNED BY EACH REPORTING PERSON
2,131,302 (Footnote 1)
12. CHECK IF THE AGGREGATE AMOUNT EXCLUDES CERTAIN SHARES
[]
___________________________________________________________
13. PERCENT OF CLASS REPRESENTED BY ROW 11
8.42%
14. TYPE OF REPORTING PERSON
IN
___________________________________________________________
1. NAME OF REPORTING PERSON
Steven Samuels
2. CHECK THE BOX IF MEMBER OF A GROUP a[x]
b[]
3. SEC USE ONLY
4. SOURCE OF FUNDS
WC
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) AND 2(e) []
6. CITIZENSHIP OR PLACE OF ORGANIZATION
USA
___________________________________________________________
7. SOLE VOTING POWER
980,798
8. SHARED VOTING POWER
1,150,504
9. SOLE DISPOSITIVE POWER
980,798
_______________________________________________________
10. SHARED DISPOSITIVE POWER
1,150,504
11. AGGREGATE AMOUNT OWNED BY EACH REPORTING PERSON
2,131,302 (Footnote 1)
12. CHECK IF THE AGGREGATE AMOUNT EXCLUDES CERTAIN SHARES
[]
___________________________________________________________
13. PERCENT OF CLASS REPRESENTED BY ROW 11
8.42%
14. TYPE OF REPORTING PERSON
IN
_______________________________________________________
Item 1. SECURITY AND ISSUER
This statement constitutes Amendment #9 to the schedule 13d
filed September 23, 2016. Except as specifically set forth
herein, the Schedule 13d remains unmodified.
ITEM 4. PURPOSE OF TRANSACTION
See exhibit A – Letter to the Company Secretary.
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER
(a) As per the N-CSRS filed on 3/2/18, there were 25,313,872 shares of
common stock outstanding as of 12/31/17. The percentages set forth
herein were derived using such number. Phillip Goldstein, Andrew Dakos and
Steven Samuels own Bulldog Investors, LLC, a registered investment advisor.
As of March 05, 2018, Bulldog Investors, LLC is deemed to be the beneficial
owner of 2,131,302 shares of SWZ (representing 8.42% of SWZ’s outstanding
shares) solely by virtue of Bulldog Investors LLC’s power to direct the vote
of, and dispose of, these shares. These 2,131,302 shares of SWZ include 980,798
shares (representing 3.88% of SWZ’s outstanding shares) that are beneficially
owned by: Messrs. Goldstein, Dakos, and Samuels and the following entities over
which Messrs. Goldstein, Dakos and Mr. Samuels exercise control: Opportunity
Partners LP, Calapasas West Partners, LP, Full Value Special Situations Fund,
LP, Full Value Partners, LP, MCM Opportunity Partners, LP, and Opportunity
Income Plus, LP (collectively,”Bulldog Investors Group of Funds”).
Bulldog Investors Group of Funds and Messrs. Goldstein, Dakos and Samuels may be
deemed to constitute a group. All other shares included in the aforementioned
2,131,302 shares of SWZ beneficially owned by Bulldog Investors, LLC (solely by
virtue of its power to sell or direct the vote of these shares) are also
beneficially owned by clients of Bulldog Investors, LLC who are not members of
any group. The total number of these “non-group” shares is 1,150,504 shares
(representing 4.54% of SWZ’s outstanding shares).
(b) Bulldog Investors, LLC has sole power to dispose of and vote 980,798 shares.
Bulldog Investors, LLC has shared power to dispose of and vote 1,150,504 shares.
Certain of Bulldog Investors, LLC’s clients (none of whom beneficially own more
than 5% of SWZ’s shares) share this power with Bulldog Investors, LLC. Messrs.
Goldstein, Dakos and Samuels are control persons of Bulldog Investors, LLC.
c) During the last 60 days the following shares of SWZ were bought:
Date Shares Price
01/08/18 2,058 12.9351
01/09/18 9,668 12.9250
01/18/18 3,328 13.1000
01/19/18 25,000 13.1522
01/22/18 635 13.1600
01/30/18 7,700 13.4510
02/01/18 2,101 13.3988
02/05/18 10,000 12.8796
02/12/18 5,900 12.3533
02/13/18 8,400 12.3500
02/15/18 880 12.6800
02/16/18 5,000 12.8443
02/20/18 5,700 12.7382
