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SWZ

Swiss Helvetia Fund

Name Holding Trade Value Shares
Change
Change in
Stake
1CP
1
1607 Capital Partners
Virginia
$42.4M +$643K +52,804 +1%
Lazard Asset Management
2
Lazard Asset Management
New York
$41.3M +$1.18M +96,600 +3%
Wells Fargo
3
Wells Fargo
California
$34.4M +$2.92M +239,436 +9%
KIM
4
Karpus Investment Management
New York
$20.2M +$2.06M +168,923 +11%
BI
5
Bulldog Investors
New Jersey
$11.2M -$319K -26,229 -3%
GFM
6
Gramercy Funds Management
Connecticut
$4.63M +$1.54M +126,793 +47%
CA
7
Cornerstone Advisors
North Carolina
$3.1M +$328K +26,940 +11%
Bank of America
8
Bank of America
North Carolina
$1.33M -$73.4K -6,032 -5%
CCM
9
Cutler Capital Management
Massachusetts
$1.23M +$477K +39,182 +57%
WAM
10
Weiss Asset Management
Massachusetts
$1.17M -$1.53M -125,906 -56%
PNC Financial Services Group
11
PNC Financial Services Group
Pennsylvania
$1.14M
Royal Bank of Canada
12
Royal Bank of Canada
Ontario, Canada
$1.03M -$390 -32 -0%
Morgan Stanley
13
Morgan Stanley
New York
$993K -$356K -29,204 -26%
CL
14
CSS LLC
Illinois
$840K
SI
15
SII Investments
Wisconsin
$703K +$132K +10,850 +22%
SFS
16
Shaker Financial Services
Virginia
$568K +$185K +15,200 +46%
Commonwealth Equity Services
17
Commonwealth Equity Services
Massachusetts
$560K +$583K +47,875 New
RJA
18
Raymond James & Associates
Florida
$551K -$9.27K -761 -2%
COLIM
19
City of London Investment Management
United Kingdom
$512K +$533K +43,800 New
PAM
20
Peak Asset Management
Colorado
$415K +$237K +19,440 +121%
AA
21
AQR Arbitrage
Connecticut
$402K +$52.9K +4,346 +14%
MIC
22
Meridian Investment Counsel
California
$397K
LCM
23
Landscape Capital Management
New Jersey
$350K +$161K +13,256 +79%
SRC
24
Shufro Rose & Co
New York
$315K -$14.9K -1,227 -4%
ICM
25
Ionic Capital Management
New York
$314K +$327K +26,832 New