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SWZ

Swiss Helvetia Fund

Name Holding Trade Value Shares
Change
Change in
Stake
1CP
1
1607 Capital Partners
Virginia
$41.2M +$2.72M +239,758 +7%
Lazard Asset Management
2
Lazard Asset Management
New York
$39.7M -$569K -50,100 -1%
Wells Fargo
3
Wells Fargo
California
$31.2M +$5.39M +474,194 +21%
KIM
4
Karpus Investment Management
New York
$18M +$1.21M +106,903 +7%
BI
5
Bulldog Investors
New Jersey
$11.3M +$292K +25,695 +3%
GFM
6
Gramercy Funds Management
Connecticut
$3.11M +$2.15M +188,853 +235%
CA
7
Cornerstone Advisors
North Carolina
$2.74M +$1.9M +167,352 +238%
WAM
8
Weiss Asset Management
Massachusetts
$2.61M -$5.99M -527,378 -70%
WAM
9
Wolverine Asset Management
Illinois
$2.23M +$1.57M +138,024 +249%
Bank of America
10
Bank of America
North Carolina
$1.38M +$279K +24,581 +26%
Morgan Stanley
11
Morgan Stanley
New York
$1.31M +$177K +15,588 +16%
PNC Financial Services Group
12
PNC Financial Services Group
Pennsylvania
$1.13M +$403K +35,441 +57%
Royal Bank of Canada
13
Royal Bank of Canada
Ontario, Canada
$1.02M +$61.6K +5,423 +7%
CL
14
CSS LLC
Illinois
$828K +$131K +11,527 +19%
CCM
15
Cutler Capital Management
Massachusetts
$797K +$244K +21,450 +45%
DA
16
Doliver Advisors
Texas
$726K -$303K -26,628 -30%
SI
17
SII Investments
Wisconsin
$569K +$344K +30,268 +158%
RJA
18
Raymond James & Associates
Florida
$552K -$122K -10,719 -18%
BNP Paribas Financial Markets
19
BNP Paribas Financial Markets
France
$487K -$194K -17,089 -29%
MIC
20
Meridian Investment Counsel
California
$392K +$2.78K +245 +0.7%
SFS
21
Shaker Financial Services
Virginia
$385K +$379K +33,335 New
AA
22
AQR Arbitrage
Connecticut
$347K +$341K +30,047 New
JGUA
23
John G. Ullman & Associates
New York
$326K -$11.4K -1,000 -3%
SRC
24
Shufro Rose & Co
New York
$325K -$5.1K -449 -2%
Geode Capital Management
25
Geode Capital Management
Massachusetts
$324K