SCHEDULE 13D/A
DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT
10/25/14
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
812,704
8. SHARED VOTING POWER
912,128
9. SOLE DISPOSITIVE POWER
812,704
_______________________________________________________
10. SHARED DISPOSITIVE POWER
912,128
11. AGGREGATE AMOUNT OWNED BY EACH REPORTING PERSON
1,724,832 (Footnote 1)
12. CHECK IF THE AGGREGATE AMOUNT EXCLUDES CERTAIN SHARES
[]
___________________________________________________________
13. PERCENT OF CLASS REPRESENTED BY ROW 11
6.14%
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
812,704
8. SHARED VOTING POWER
912,128
9. SOLE DISPOSITIVE POWER
812,704
_______________________________________________________
10. SHARED DISPOSITIVE POWER
912,128
11. AGGREGATE AMOUNT OWNED BY EACH REPORTING PERSON
1,724,832 (Footnote 1)
12. CHECK IF THE AGGREGATE AMOUNT EXCLUDES CERTAIN SHARES
[]
___________________________________________________________
13. PERCENT OF CLASS REPRESENTED BY ROW 11
6.14%
14. TYPE OF REPORTING PERSON
IN
___________________________________________________________
1. NAME OF REPORTING PERSON
Andrew Dakos
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
USA
___________________________________________________________
7. SOLE VOTING POWER
812,704
8. SHARED VOTING POWER
912,128
9. SOLE DISPOSITIVE POWER
812,704
_______________________________________________________
10. SHARED DISPOSITIVE POWER
912,128
11. AGGREGATE AMOUNT OWNED BY EACH REPORTING PERSON
1,724,832 (Footnote 1)
12. CHECK IF THE AGGREGATE AMOUNT EXCLUDES CERTAIN SHARES
[]
___________________________________________________________
13. PERCENT OF CLASS REPRESENTED BY ROW 11
6.14%
14. TYPE OF REPORTING PERSON
IN
___________________________________________________________
1. NAME OF REPORTING PERSON
Steven Samuels
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
USA
___________________________________________________________
7. SOLE VOTING POWER
812,704
8. SHARED VOTING POWER
912,128
9. SOLE DISPOSITIVE POWER
812,704
_______________________________________________________
10. SHARED DISPOSITIVE POWER
912,128
11. AGGREGATE AMOUNT OWNED BY EACH REPORTING PERSON
1,724,832 (Footnote 1)
12. CHECK IF THE AGGREGATE AMOUNT EXCLUDES CERTAIN SHARES
[]
___________________________________________________________
13. PERCENT OF CLASS REPRESENTED BY ROW 11
6.14%
14. TYPE OF REPORTING PERSON
IN
_______________________________________________________
Item 1. SECURITY AND ISSUER
This statement constitutes Amendment #1 to the schedule 13d
filed September 23, 2016. Except as specifically set forth
herein, the Schedule 13d remains unmodified.
ITEM 4. PURPOSE OF TRANSACTION
The filing persons intend to send the solicitation in Exhibit A
to not more than ten stockholders.
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER
(a) As per the N-CSRS filed on 9/2/16, there were 28,081,712 shares of
common stock outstanding as of 6/30/16. 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 October 24, 2016, Bulldog Investors, LLC is deemed to be the beneficial
owner of 1,724,832 shares of SWZ (representing 6.14% 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 1,724,832 shares of SWZ include 812,704
shares (representing 2.89% of SWZ's outstanding shares) that are beneficially
owned by: Mr. Goldstein 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
Offshore Fund, Ltd., Full Value Partners, LP, and MCM Opportunity Partners, LP,
Opportunity Income Plus, LP (collectively,"Bulldog Investors Group of Funds").
Bulldog Investors Group of Funds and Mr. Goldstein may be deemed to constitute
a group. All other shares included in the aforementioned 1,724,832 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 912,128 shares (representing 3.25% of SWZ's
outstanding shares).
(b) Bulldog Investors, LLC has sole power to dispose of and vote 812,704 shares.
Bulldog Investors, LLC has shared power to dispose of and vote 912,128 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) Since the last filing on 9/23/16 the following shares of SWZ were bought:
Date Shares Price
09/23/16 62,204 10.6819
09/26/16 3,100 10.6592
10/03/16 500 10.6600
10/04/16 400 10.7200
d) Clients of Bulldog Investors, LLC are entitled to receive any dividends or
sales proceeds.
e) NA
ITEM 6. CONTRACTS,ARRANGEMENTS,UNDERSTANDINGS OR RELATIONSHIPS
WITH RESPECT TO SECURITIES OF THE ISSUER.
N/A
ITEM 7. MATERIAL TO BE FILED AS EXHIBITS
Exhibit A
After reasonable inquiry and to the best of my knowledge
and belief, I certify that the information set forth in this
statement is true, complete and correct.
Dated: 10/25/2016
By: /S/ Phillip Goldstein
Name: Phillip Goldstein
By: /S/ Andrew Dakos
Name: Andrew Dakos
By: /S/ Steven Samuels
Name: Steven Samuels
Bulldog Investors, LLC
By: /s/ Andrew Dakos
Andrew Dakos, Member
Footnote 1: The reporting persons disclaim beneficial ownership except
to the extent of any pecuniary interest therein.
Exhibit A:
Bulldog Investors, LLC, 250 Pehle Ave., Suite 708, Saddle Brook, NJ 07663
(914) 747-5262 Fax: (914) 747-2150 // pgoldstein@bulldoginvestors.com
SOLICITATION FOR WRITTEN REQUEST OF (OR ON BEHALF OF) STOCKHOLDER(S)
OF THE SWISS HELVETIA FUND, INC. FOR SPECIAL MEETING
The bylaws of The Swiss Helvetia Fund, Inc. (the "Fund") require a special
meeting of stockholders to be held upon receipt by the Fund of requests in
writing from stockholders holding a total of at least 25% of the Fund's
outstanding shares. Bulldog Investors, LLC is soliciting the undersigned, a
stockholder (or an investment advisor for one or more stockholders with the
power to direct the vote of such stockholder(s)' shares) of the Fund to request
that a special meeting of stockholders be promptly held to vote on the
following proposals:
1. To amend the Fund's bylaws to declassify the Board of Directors so that
each director shall be elected annually.
2. To authorize a self-tender offer for all outstanding shares of the Fund
at or close to net asset value. If more than 50% of the Fund's
outstanding shares are submitted for tender, the tender offer should be
cancelled and the Board should take the steps necessary to convert the
Fund into an ETF or an open-end mutual fund or to liquidate it.
IMPORTANT: THE UNDERSIGNED HAS NO OBLIGATION TO VOTE IN ACCORDANCE WITH THE
RECOMMENDATIONS OF BULLDOG INVESTORS, LLC WITH RESPECT TO ANY PROPOSAL.
Please check only one of the boxes below, complete and sign this form and scan
it and return it by email, or fax or mail it to Bulldog Investors.
[ ] THE UNDERSIGNED REQUESTS A SPECIAL MEETING OF STOCKHOLDERS.
[ ] THE UNDERSIGNED DOES NOT REQUEST A SPECIAL MEETING OF STOCKHOLDERS.
Print Name: ______________________________
Signature: ______________________________
Title (if shares are held by an entity) ______________________________
Number of Shares Authorized to Vote as of October 21, 2016: __________
Dated: ____________________