SWZ

Swiss Helvetia Fund
SWZ

Overview Fund Activity

56 hedge funds and large institutions have $167M invested in Swiss Helvetia Fund in 2014 Q2 according to their latest regulatory filings, with 7 funds opening new positions, 15 increasing their positions, 13 reducing their positions, and 2 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
56
Holders Change
+5
Holders Change %
+9.8%
% of All Funds
1.61%
Holding in Top 10
1
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.03%
New
7
Increased
15
Reduced
13
Closed
2
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

1
RCM
Rivernorth Capital Management
Florida
$2.84M
2
WAM
Wolverine Asset Management
Illinois
$2.49M
3
KIM
Karpus Investment Management
New York
$14M
4
ALA
Atherton Lane Advisers
California
$963K
5
1CP
1607 Capital Partners
Virginia
$48.5M

Top Sellers

1
Lazard Asset Management
Lazard Asset Management
New York
$51.2M
2
Susquehanna International Group
Susquehanna International Group
Pennsylvania
$0
3
JPMorgan Chase & Co
JPMorgan Chase & Co
New York
$0
4
YCM
Yakira Capital Management
Connecticut
$211K
5
BC
Bartlett & Co
Ohio
$162K
Name Holding Trade Value Shares
Change 		Shares
Change %
Lazard Asset Management
1
Lazard Asset Management
New York
$51.2M -$8.72M -598,369 -15%
1CP
2
1607 Capital Partners
Virginia
$48.5M +$872K +59,826 +2%
Wells Fargo
3
Wells Fargo
California
$21.5M +$237K +16,261 +1%
KIM
4
Karpus Investment Management
New York
$14M +$1.16M +79,601 +9%
Grantham, Mayo, Van Otterloo & Co (GMO)
5
Grantham, Mayo, Van Otterloo & Co (GMO)
Massachusetts
$5.67M – – –
RCM
6
Rivernorth Capital Management
Florida
$2.84M +$2.84M +194,958 New
WAM
7
Wolverine Asset Management
Illinois
$2.49M +$1.82M +125,274 +275%
CCB
8
Cutter & Co Brokerage
Missouri
$1.73M +$42.3K +2,900 +3%
Bank of America
9
Bank of America
North Carolina
$1.55M -$84.7K -5,810 -5%
COLIM
10
City of London Investment Management
United Kingdom
$1.38M +$93.9K +6,440 +7%
Morgan Stanley
11
Morgan Stanley
New York
$1.26M +$293K +20,102 +30%
Royal Bank of Canada
12
Royal Bank of Canada
Ontario, Canada
$1.17M -$83.7K -5,749 -7%
GRQ
13
Gardner Russo & Quinn
Pennsylvania
$1.04M +$51.8K +3,554 +5%
ALA
14
Atherton Lane Advisers
California
$963K +$963K +66,062 New
CCM
15
Cutler Capital Management
Massachusetts
$937K – – –
RJA
16
Raymond James & Associates
Florida
$929K -$18.2K -1,247 -2%
CL
17
CSS LLC
Illinois
$867K – – –
PNC Financial Services Group
18
PNC Financial Services Group
Pennsylvania
$813K +$204K +13,964 +33%
SFS
19
Shaker Financial Services
Virginia
$745K +$22.8K +1,563 +3%
JGUA
20
John G. Ullman & Associates
New York
$688K -$99.1K -6,800 -13%
DA
21
Doliver Advisors
Texas
$606K -$120K -8,266 -17%
BNP Paribas Financial Markets
22
BNP Paribas Financial Markets
France
$598K +$5.83K +400 +1%
MIC
23
Meridian Investment Counsel
California
$481K -$13.1K -899 -3%
TC
24
TFS Capital
Pennsylvania
$471K +$127K +8,724 +37%
SRC
25
Shufro Rose & Co
New York
$424K -$5.24K -360 -1%
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