SWZ

Swiss Helvetia Fund
SWZ

Overview Fund Activity

44 hedge funds and large institutions have $209M invested in Swiss Helvetia Fund in 2013 Q3 according to their latest regulatory filings, with 6 funds opening new positions, 11 increasing their positions, 9 reducing their positions, and 10 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
44
Holders Change
-5
Holders Change %
-10.2%
% of All Funds
1.43%
Holding in Top 10
1
Holding in Top 10 Change
-1
Holding in Top 10 Change %
-50%
% of All Funds
0.03%
New
6
Increased
11
Reduced
9
Closed
10
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

1
Lazard Asset Management
1
Lazard Asset Management
New York
$81.8M
2
Wells Fargo
2
Wells Fargo
California
$24.6M
3
KIM
3
Karpus Investment Management
New York
$17.8M
4
Grantham, Mayo, Van Otterloo & Co (GMO)
4
Grantham, Mayo, Van Otterloo & Co (GMO)
Massachusetts
$1.15M
5
DT
5
Diversified Trust
Tennessee
$4.87M

Top Sellers

1
BI
1
Bulldog Investors
New Jersey
$0
2
BlackRock
2
BlackRock
New York
$0
3
SFS
3
Shaker Financial Services
Virginia
$0
4
1CP
4
1607 Capital Partners
Virginia
$63.5M
5
JPMorgan Chase & Co
5
JPMorgan Chase & Co
New York
$0
Name Holding Trade Value Shares
Change 		Shares
Change %
Lazard Asset Management
1
Lazard Asset Management
New York
$81.8M +$6.34M +446,150 +8%
1CP
2
1607 Capital Partners
Virginia
$63.5M -$1.41M -99,281 -2%
Wells Fargo
3
Wells Fargo
California
$24.6M +$4.39M +308,649 +22%
KIM
4
Karpus Investment Management
New York
$17.8M +$2.12M +148,841 +14%
DT
5
Diversified Trust
Tennessee
$4.87M +$929K +65,300 +24%
Bank of America
6
Bank of America
North Carolina
$1.82M +$235K +16,545 +15%
WAM
7
Wolverine Asset Management
Illinois
$1.75M +$253K +17,827 +17%
CCB
8
Cutter & Co Brokerage
Missouri
$1.64M +$3.58K +252 +0.2%
CA
9
Cornerstone Advisors
North Carolina
$1.39M -$552K -38,800 -28%
Grantham, Mayo, Van Otterloo & Co (GMO)
10
Grantham, Mayo, Van Otterloo & Co (GMO)
Massachusetts
$1.15M +$1.15M +80,915 New
Royal Bank of Canada
11
Royal Bank of Canada
Ontario, Canada
$873K -$8.54K -601 -1%
CCM
12
Cutler Capital Management
Massachusetts
$853K +$73.6K +5,174 +9%
JGUA
13
John G. Ullman & Associates
New York
$843K -$31.3K -2,200 -4%
COLIM
14
City of London Investment Management
United Kingdom
$827K +$827K +57,683 New
GRQ
15
Gardner Russo & Quinn
Pennsylvania
$726K – – –
Morgan Stanley
16
Morgan Stanley
New York
$677K +$14.3K +1,008 +2%
SRC
17
Shufro Rose & Co
New York
$433K -$235K -16,515 -35%
GC
18
Guggenheim Capital
Illinois
$339K – – –
AA
19
Ancora Advisors
Ohio
$325K – – –
BC
20
Bartlett & Co
Ohio
$278K – – –
PNC Financial Services Group
21
PNC Financial Services Group
Pennsylvania
$265K -$29.2K -2,054 -10%
Truist Financial
22
Truist Financial
North Carolina
$235K – – –
TAM
23
Tocqueville Asset Management
New York
$217K – – –
Bank of New York Mellon
24
Bank of New York Mellon
New York
$214K -$33.3K -2,344 -13%
U
25
UBS
Switzerland
$204K -$151K -10,604 -43%
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