0001241762-14-000001.txt : 20140310 0001241762-14-000001.hdr.sgml : 20140310 20140310151334 ACCESSION NUMBER: 0001241762-14-000001 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140214 FILED AS OF DATE: 20140310 DATE AS OF CHANGE: 20140310 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: SWISS HELVETIA FUND, INC. CENTRAL INDEX KEY: 0000813623 IRS NUMBER: 000000000 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1270 AVENUE OF THE AMERICAS STREET 2: SUITE 400 CITY: NEW YORK STATE: NY ZIP: 10111-0001 BUSINESS PHONE: 2128677660 MAIL ADDRESS: STREET 1: 1270 AVENUE OF THE AMERICAS STREET 2: SUITE 400 CITY: NEW YORK STATE: NY ZIP: 10111-0001 FORMER COMPANY: FORMER CONFORMED NAME: SWISS HELVETIA FUND INC DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: HELVETIA FUND INC DATE OF NAME CHANGE: 19900820 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HOTTINGER CAPITAL CORP CENTRAL INDEX KEY: 0001241762 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-05128 FILM NUMBER: 14680562 MAIL ADDRESS: STREET 1: 1270 AVE OF THE AMERICAS STE 400 STREET 2: C/O SWISS HELVETIA FUND INC CITY: NEW YORK STATE: NY ZIP: 10020 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2014-02-14 0 0000813623 SWISS HELVETIA FUND, INC. SWZ 0001241762 HOTTINGER CAPITAL CORP 1270 AVE OF THE AMERICAS STE 400 C/O SWISS HELVETIA FUND INC NEW YORK NY 10020 0 0 0 1 Investment Advisor Common Stock 2014-02-14 4 P 0 22348 14.93 D 98699 D Immediately prior to February 14, 2014, Hottinger Capital Corp ("HCC") owned 121,047 shares of SWZ common stock, 1,825 of which it received on January 24, 2014 in consideration for the payment of SWZ's previously-announced year-end distribution. The shares of SWZ owned by HCC were tendered in SWZ's cash tender offer for up to 4,579,480 of its issued and outstanding shares of common stock, which expired at 5:00 p.m., Eastern Time, on February 11, 2014 (the "Offer"). As the total number of shares tendered by SWZ's stockholders in the Offer exceeded the number of shares SWZ offered to purchase, SWZ purchased its shares from tendering stockholders on a pro-rated basis pursuant to the terms of the Offer. HCC had 22,348 shares accepted by SWZ for purchase in the Offer, at a price of $14.93 per share (95% of SWZ's net asset value per share as of the close of regular trading session of the New York Stock Exchange on February 12, 2014). Barbara Gordon 2014-03-10