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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
$59.1M -$22.8M -1,606,284 -28%
1CP
2
1607 Capital Partners
Virginia
$47M -$16.5M -1,165,477 -26%
BI
3
Bulldog Investors
New Jersey
$21.5M -$2.59M -182,830 -11%
Wells Fargo
4
Wells Fargo
California
$21M -$4.13M -291,400 -17%
KIM
5
Karpus Investment Management
New York
$12.7M -$5M -352,351 -28%
Grantham, Mayo, Van Otterloo & Co (GMO)
6
Grantham, Mayo, Van Otterloo & Co (GMO)
Massachusetts
$5.59M +$290K +20,447 +6%
Susquehanna International Group
7
Susquehanna International Group
Pennsylvania
$2.08M -$227K -15,981 -10%
JP Morgan Chase
8
JP Morgan Chase
New York
$1.68M +$1.66M +116,752 New
CCB
9
Cutter & Co Brokerage
Missouri
$1.66M +$10.7K +753 +0.7%
Bank of America
10
Bank of America
North Carolina
$1.62M +$88.9K +6,264 +6%
COLIM
11
City of London Investment Management
United Kingdom
$1.27M -$390K -27,469 -24%
Royal Bank of Canada
12
Royal Bank of Canada
Ontario, Canada
$1.23M +$363K +25,565 +42%
GRQ
13
Gardner Russo & Quinn
Pennsylvania
$971K +$163K +11,518 +21%
Morgan Stanley
14
Morgan Stanley
New York
$955K +$319K +22,488 +51%
RJA
15
Raymond James & Associates
Florida
$934K +$922K +64,983 New
CCM
16
Cutler Capital Management
Massachusetts
$925K +$61.1K +4,305 +7%
CL
17
CSS LLC
Illinois
$855K +$318K +22,445 +61%
JGUA
18
John G. Ullman & Associates
New York
$777K -$22K -1,550 -3%
DA
19
Doliver Advisors
Texas
$717K +$707K +49,850 New
SFS
20
Shaker Financial Services
Virginia
$713K +$703K +49,561 New
WAM
21
Wolverine Asset Management
Illinois
$655K -$324K -22,841 -33%
PNC Financial Services Group
22
PNC Financial Services Group
Pennsylvania
$601K -$103K -7,229 -15%
BNP Paribas Financial Markets
23
BNP Paribas Financial Markets
France
$586K +$263K +18,549 +84%
MIC
24
Meridian Investment Counsel
California
$488K +$1.18K +83 +0.2%
SRC
25
Shufro Rose & Co
New York
$424K