0001478182-11-000001.txt : 20111116 0001478182-11-000001.hdr.sgml : 20111116 20111116115136 ACCESSION NUMBER: 0001478182-11-000001 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110830 FILED AS OF DATE: 20111116 DATE AS OF CHANGE: 20111116 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Brealey Richard CENTRAL INDEX KEY: 0001478182 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-05128 FILM NUMBER: 111209215 MAIL ADDRESS: STREET 1: 1270 AVENUE OF THE AMERICAS STREET 2: SUITE 400 CITY: NEW YORK STATE: NY ZIP: 10020 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 4 1 primary_doc.xml PRIMARY DOCUMENT X0304 4 2011-08-30 0 0000813623 SWISS HELVETIA FUND, INC. SWZ 0001478182 Brealey Richard C/O HOTTINGER CAPITAL CORP 1270 AVENUE OF THE AMERICAS, SUITE 400 NEW YORK NY 10020 1 0 0 0 Common Stock 2011-08-30 2011-08-30 4 P 0 770 12.47 A 13788 D Mr.Brealey acquired shares of common stock of SWZ in connection with the Fund's spillback distribution. This distribution, which was paid on August 29, 2011 to stockholders of record on July 25, 2011, was in the form of stock, with an option to take cash. Mr. Brealey did not elect to receive a cash payment and, as a result, his brokerage account was credited with 770 shares of SWZ's common stock on August 30, 2011. Mr. Brealey's report on Form 4 was not filed within two business days of the payment date of August 29, 2011 as a result of an administrative oversight. Mr. Brealey has not acquired or disposed of any shares of SWZ's common stock since that time. Barbara Gordon 2011-11-16