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SWZ

Swiss Helvetia Fund
SWZ

51 hedge funds and large institutions have $147M invested in Swiss Helvetia Fund in 2014 Q4 according to their latest regulatory filings, with 10 funds opening new positions, 12 increasing their positions, 10 reducing their positions, and 9 closing their positions.

New
Increased
Maintained
Reduced
Closed

100% more funds holding in top 10

Funds holding in top 10: 1 → 2 (+1)

20% more repeat investments, than reductions

Existing positions increased: 12 | Existing positions reduced: 10

11% more first-time investments, than exits

New positions opened: 10 | Existing positions closed: 9

4.26% more ownership

Funds ownership: 45.44% → 49.7% (+4.3%)

2% less funds holding

Funds holding: 52 → 51 (-1)

10% less capital invested

Capital invested by funds: $163M → $147M (-$16.1M)

Holders
51
Holders Change
-1
Holders Change %
-1.92%
% of All Funds
1.36%
Holding in Top 10
2
Holding in Top 10 Change
+1
Holding in Top 10 Change %
+100%
% of All Funds
0.05%
New
10
Increased
12
Reduced
10
Closed
9
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

Rank Fund Capital Flow
1
WAM
Weiss Asset Management
Massachusetts
+$9.76M
2
Wells Fargo
Wells Fargo
California
+$5.89M
3
TC
TFS Capital
Pennsylvania
+$1.66M
4
KIM
Karpus Investment Management
New York
+$1.42M
5
SG Americas Securities
SG Americas Securities
New York
+$404K

Top Sellers

Rank Fund Capital Flow
1
WAM
Wolverine Asset Management
Illinois
-$2.14M
2
CCB
Cutter & Co Brokerage
Missouri
-$1.58M
3
SFS
Shaker Financial Services
Virginia
-$553K
4
CCM
Cutler Capital Management
Massachusetts
-$246K
5
Truist Financial
Truist Financial
North Carolina
-$242K
Name Holding Trade Value Shares
Change 		Change in
Stake
JGUA
26
John G. Ullman & Associates
New York
$326K -$31.1K -2,400 -8%
SRC
27
Shufro Rose & Co
New York
$319K -$3.24K -250 -0.9%
BBHC
28
Brown Brothers Harriman & Co
New York
$222K – – –
TAM
29
Tocqueville Asset Management
New York
$217K +$253K +19,519 New
SI
30
SII Investments
Wisconsin
$213K – – –
UBS Group
31
UBS Group
Switzerland
$202K +$235K +18,147 New
AA
32
Ancora Advisors
Ohio
$194K – – –
LCM
33
Landscape Capital Management
New Jersey
$170K +$198K +15,293 New
PAM
34
Peak Asset Management
Colorado
$167K +$194K +14,968 New
SSWM
35
Smith Salley Wealth Management
North Carolina
$161K +$6.1K +471 +3%
BBPWM
36
Blue Bell Private Wealth Management
Pennsylvania
$156K -$31.8K -2,456 -15%
SCM
37
SOL Capital Management
Maryland
$136K – – –
AP
38
Advisor Partners
California
$134K – – –
WSFS
39
Wilmington Savings Fund Society
Delaware
$131K – – –
Geode Capital Management
40
Geode Capital Management
Massachusetts
$118K – – –
Citigroup
41
Citigroup
New York
$47K +$9.73K +751 +21%
First Manhattan
42
First Manhattan
New York
$32K – – –
TJHA
43
Thomas J. Herzfeld Advisors
Florida
$29K – – –
WA
44
WFG Advisors
Texas
$22K – – –
PAM
45
Panagora Asset Management
Massachusetts
$19K +$22.3K +1,723 New
CFSG
46
Community Financial Services Group
Vermont
$18K – – –
MA
47
MUFG Americas
New York
$14K +$3.89K +300 +30%
US Bancorp
48
US Bancorp
Minnesota
$8K – – –
NSIM
49
North Star Investment Management
Illinois
$6K – – –
BC
50
Bartlett & Co
Ohio
$3K – – –
1
2
3

SWZ Hedge Fund Activity: Q4 2014 in Review

51 of the 3,750 institutional investors tracked by Wall St. Rank reported a position in Swiss Helvetia Fund (SWZ) for Q4 2014, worth a combined $147M — down 9.9% from $163M a quarter earlier.

Buyers outnumbered sellers: 10 funds opened new SWZ positions and 9 closed out — a net gain of 1 holder — while 12 added to existing stakes and 10 trimmed.

The largest buyer was Weiss Asset Management, opening a new position worth an estimated $9.76M. The largest seller was Wolverine Asset Management, cutting an estimated $2.14M.

  • 51 institutional investors held Swiss Helvetia Fund (SWZ) as of Q4 2014, down from 52 in Q3 2014.
  • Funds reported $147M of Swiss Helvetia Fund stock for Q4 2014, down 9.9% quarter-over-quarter.
  • 10 funds opened new Swiss Helvetia Fund positions in Q4 2014 and 9 closed out, a net change of +1 holder.
  • The largest Swiss Helvetia Fund buyer in Q4 2014 was Weiss Asset Management, an estimated $9.76M added.
  • The largest Swiss Helvetia Fund seller in Q4 2014 was Wolverine Asset Management, an estimated $2.14M sold.

Based on aggregated 13F filings for Q4 2014.