SWZ

Swiss Helvetia Fund
SWZ

Overview Fund Activity

58 hedge funds and large institutions have $163M invested in Swiss Helvetia Fund in 2016 Q4 according to their latest regulatory filings, with 9 funds opening new positions, 15 increasing their positions, 14 reducing their positions, and 6 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
58
Holders Change
+3
Holders Change %
+5.45%
% of All Funds
1.45%
Holding in Top 10
1
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.03%
New
9
Increased
15
Reduced
14
Closed
6
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

1
IA
1
Icon Advisers
Colorado
$2.79M
2
Wells Fargo
2
Wells Fargo
California
$42.9M
3
RCM
3
Rivernorth Capital Management
Florida
$1.24M
4
ICM
4
Ionic Capital Management
New York
$1.22M
5
1CP
5
1607 Capital Partners
Virginia
$39.9M

Top Sellers

1
Lazard Asset Management
1
Lazard Asset Management
New York
$24.7M
2
KIM
2
Karpus Investment Management
New York
$14.7M
3
GFM
3
Gramercy Funds Management
Connecticut
$0
4
PNC Financial Services Group
4
PNC Financial Services Group
Pennsylvania
$801K
5
AA
5
AQR Arbitrage
Connecticut
$0
Name Holding Trade Value Shares
Change 		Shares
Change %
Wells Fargo
1
Wells Fargo
California
$42.9M +$2.16M +211,131 +5%
1CP
2
1607 Capital Partners
Virginia
$39.9M +$829K +81,208 +2%
Lazard Asset Management
3
Lazard Asset Management
New York
$24.7M -$4.54M -444,447 -16%
BI
4
Bulldog Investors
New Jersey
$18.2M +$822K +80,479 +5%
KIM
5
Karpus Investment Management
New York
$14.7M -$2.94M -287,612 -17%
IA
6
Icon Advisers
Colorado
$2.79M +$2.51M +246,080 +904%
JGUA
7
John G. Ullman & Associates
New York
$2.08M -$137K -13,375 -6%
Bank of America
8
Bank of America
North Carolina
$1.7M -$112K -10,939 -6%
Commonwealth Equity Services
9
Commonwealth Equity Services
Massachusetts
$1.49M +$63.5K +6,219 +4%
RCM
10
Rivernorth Capital Management
Florida
$1.24M +$1.24M +121,835 New
ICM
11
Ionic Capital Management
New York
$1.22M +$1.22M +119,200 New
CCM
12
Cutler Capital Management
Massachusetts
$1.15M -$116K -11,376 -9%
Royal Bank of Canada
13
Royal Bank of Canada
Ontario, Canada
$862K +$90.5K +8,858 +12%
PNC Financial Services Group
14
PNC Financial Services Group
Pennsylvania
$801K -$276K -27,077 -26%
CL
15
CSS LLC
Illinois
$764K – – –
CA
16
Cornerstone Advisors
North Carolina
$736K +$106K +10,364 +17%
AMI
17
Amica Mutual Insurance
Rhode Island
$705K +$42.5K +4,160 +6%
SI
18
SII Investments
Wisconsin
$697K – – –
GC
19
Guggenheim Capital
Illinois
$496K +$29.5K +2,891 +6%
GH
20
GAM Holding
Switzerland
$495K – – –
SFS
21
Shaker Financial Services
Virginia
$491K +$159K +15,544 +48%
AGM
22
Alpine Global Management
New York
$428K +$428K +41,929 New
LCM
23
Landscape Capital Management
New Jersey
$425K +$425K +41,609 New
AA
24
Ancora Advisors
Ohio
$406K +$225K +22,000 +124%
JPMPWA
25
J.P. Morgan Private Wealth Advisors
California
$325K – – –
1
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