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SWZ

Swiss Helvetia Fund

Name Holding Trade Value Shares
Change
Change in
Stake
Lazard Asset Management
1
Lazard Asset Management
New York
$65.4M +$66.4M +5,306,908 New
1CP
2
1607 Capital Partners
Virginia
$56.2M +$57.1M +4,564,002 New
Wells Fargo
3
Wells Fargo
California
$17.5M +$17.8M +1,420,531 New
BI
4
Bulldog Investors
New Jersey
$13.7M +$13.9M +1,111,606 New
KIM
5
Karpus Investment Management
New York
$13.5M +$13.7M +1,099,519 New
DT
6
Diversified Trust
Tennessee
$3.42M +$3.47M +277,290 New
BlackRock
7
BlackRock
New York
$2.64M +$2.68M +214,600 New
SFS
8
Shaker Financial Services
Virginia
$1.95M +$1.98M +158,442 New
CA
9
Cornerstone Advisors
North Carolina
$1.68M +$1.7M +136,212 New
CCB
10
Cutter & Co Brokerage
Missouri
$1.42M +$1.44M +115,035 New
Bank of America
11
Bank of America
North Carolina
$1.37M +$1.39M +111,087 New
WAM
12
Wolverine Asset Management
Illinois
$1.3M +$1.32M +105,367 New
JP Morgan Chase
13
JP Morgan Chase
New York
$1.03M +$1.05M +83,754 New
TC
14
TFS Capital
Pennsylvania
$797K +$809K +64,694 New
Royal Bank of Canada
15
Royal Bank of Canada
Ontario, Canada
$764K +$776K +62,023 New
JGUA
16
John G. Ullman & Associates
New York
$757K +$768K +61,450 New
CCM
17
Cutler Capital Management
Massachusetts
$675K +$686K +54,826 New
GRQ
18
Gardner Russo & Quinn
Pennsylvania
$629K +$638K +51,025 New
DA
19
Doliver Advisors
Texas
$607K +$616K +49,271 New
AWM
20
Altavista Wealth Management
North Carolina
$582K +$590K +47,201 New
SRC
21
Shufro Rose & Co
New York
$579K +$588K +47,000 New
Morgan Stanley
22
Morgan Stanley
New York
$574K +$583K +46,583 New
U
23
UBS
Switzerland
$307K +$312K +24,947 New
GC
24
Guggenheim Capital
Illinois
$294K +$298K +23,863 New
AA
25
Ancora Advisors
Ohio
$282K +$286K +22,870 New