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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
$51.2M -$8.6M -598,369 -15%
1CP
2
1607 Capital Partners
Virginia
$48.5M +$860K +59,826 +2%
BI
3
Bulldog Investors
New Jersey
$25.3M +$3.53M +245,650 +16%
Wells Fargo
4
Wells Fargo
California
$21.5M +$234K +16,261 +1%
KIM
5
Karpus Investment Management
New York
$14M +$1.14M +79,601 +9%
Grantham, Mayo, Van Otterloo & Co (GMO)
6
Grantham, Mayo, Van Otterloo & Co (GMO)
Massachusetts
$5.67M
RCM
7
Rivernorth Capital Management
Florida
$2.84M +$2.8M +194,958 New
WAM
8
Wolverine Asset Management
Illinois
$2.49M +$1.8M +125,274 +275%
CCB
9
Cutter & Co Brokerage
Missouri
$1.73M +$41.7K +2,900 +3%
Bank of America
10
Bank of America
North Carolina
$1.55M -$83.5K -5,810 -5%
COLIM
11
City of London Investment Management
United Kingdom
$1.38M +$92.6K +6,440 +7%
Morgan Stanley
12
Morgan Stanley
New York
$1.26M +$289K +20,102 +30%
Royal Bank of Canada
13
Royal Bank of Canada
Ontario, Canada
$1.17M -$82.6K -5,749 -7%
GRQ
14
Gardner Russo & Quinn
Pennsylvania
$1.04M +$51.1K +3,554 +5%
ALA
15
Atherton Lane Advisers
California
$963K +$950K +66,062 New
CCM
16
Cutler Capital Management
Massachusetts
$937K
RJA
17
Raymond James & Associates
Florida
$929K -$17.9K -1,247 -2%
CL
18
CSS LLC
Illinois
$867K
PNC Financial Services Group
19
PNC Financial Services Group
Pennsylvania
$813K +$201K +13,964 +33%
SFS
20
Shaker Financial Services
Virginia
$745K +$22.5K +1,563 +3%
JGUA
21
John G. Ullman & Associates
New York
$688K -$97.7K -6,800 -13%
DA
22
Doliver Advisors
Texas
$606K -$119K -8,266 -17%
BNP Paribas Financial Markets
23
BNP Paribas Financial Markets
France
$598K +$5.75K +400 +1%
MIC
24
Meridian Investment Counsel
California
$481K -$12.9K -899 -3%
TC
25
TFS Capital
Pennsylvania
$471K +$125K +8,724 +37%