Edgar Filing: SWISS HELVETIA FUND, INC.

Ownership Submission

FORM 4

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940

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(Print or Type Responses)

1. Name and Address of Reporting Person ^*

HOTTINGER CAPITAL CORP

2. Issuer Name and Ticker or Trading Symbol
SWISS HELVETIA FUND, INC. [SWZ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

_____ Director	_____ 10% Owner
_____ Officer (give title below)	__X__ Other (specify below)
Investment Advisor

(Last)

(First)

(Middle)

1270 AVE OF THE AMERICAS STE 400, C/O SWISS HELVETIA FUND INC

3. Date of Earliest Transaction (Month/Day/Year)
02/14/2014

(Street)

NEW YORK, NY 10020

4. If Amendment, Date Original Filed(Month/Day/Year)

6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

(City)

(State)

(Zip)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned

1.Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Common Stock	02/14/2014		P		22,348	D	$ 14.93	98,699	D

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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)

1. Title of Derivative Security
(Instr. 3)

2. Conversion or Exercise Price of Derivative Security

3. Transaction Date (Month/Day/Year)

3A. Deemed Execution Date, if any (Month/Day/Year)

4. Transaction Code
(Instr. 8)

5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4, and 5)

6. Date Exercisable and Expiration Date
(Month/Day/Year)

7. Title and Amount of Underlying Securities
(Instr. 3 and 4)

8. Price of Derivative Security
(Instr. 5)

9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 4)

10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)

11. Nature of Indirect Beneficial Ownership
(Instr. 4)

Code

(A)

(D)

Date Exercisable

Expiration Date

Title

Amount or Number of Shares

Reporting Owners

Reporting Owner Name / Address	Relationships
Reporting Owner Name / Address	Director	10% Owner	Officer	Other
HOTTINGER CAPITAL CORP 1270 AVE OF THE AMERICAS STE 400 C/O SWISS HELVETIA FUND INC NEW YORK, NY 10020				Investment Advisor

Signatures

Barbara Gordon		03/10/2014
^**Signature of Reporting Person		Date

Explanation of Responses:

*	If the form is filed by more than one reporting person, see Instruction 4(b)(v).
**	Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Remarks: 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).

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