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