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SWZ

Swiss Helvetia Fund

Name Holding Trade Value Shares
Change
Change in
Stake
Wells Fargo
1
Wells Fargo
California
$39.7M +$946K +95,449 +3%
1CP
2
1607 Capital Partners
Virginia
$38.6M +$713K +71,999 +2%
Lazard Asset Management
3
Lazard Asset Management
New York
$33.4M -$264K -26,612 -0.8%
KIM
4
Karpus Investment Management
New York
$18.1M -$126K -12,760 -0.7%
BI
5
Bulldog Investors
New Jersey
$8.53M -$290K -29,265 -3%
GFM
6
Gramercy Funds Management
Connecticut
$4.25M
Bank of America
7
Bank of America
North Carolina
$1.88M +$620K +62,628 +51%
Commonwealth Equity Services
8
Commonwealth Equity Services
Massachusetts
$1.31M +$108K +10,916 +9%
CCM
9
Cutler Capital Management
Massachusetts
$1.22M +$36.2K +3,654 +3%
JGUA
10
John G. Ullman & Associates
New York
$1.21M +$611K +61,665 +108%
PNC Financial Services Group
11
PNC Financial Services Group
Pennsylvania
$1.07M
Royal Bank of Canada
12
Royal Bank of Canada
Ontario, Canada
$930K +$50.7K +5,116 +6%
CL
13
CSS LLC
Illinois
$747K
SI
14
SII Investments
Wisconsin
$689K +$20.1K +2,034 +3%
LCM
15
Landscape Capital Management
New Jersey
$658K +$360K +36,312 +128%
Citigroup
16
Citigroup
New York
$530K +$464K +46,858 +911%
CA
17
Cornerstone Advisors
North Carolina
$491K -$739K -74,635 -61%
GH
18
GAM Holding
Switzerland
$484K +$18.6K +1,874 +4%
GC
19
Guggenheim Capital
Illinois
$470K -$7.98K -806 -2%
AMI
20
Amica Mutual Insurance
Rhode Island
$465K
PAM
21
Peak Asset Management
Colorado
$422K +$45.3K +4,574 +12%
Morgan Stanley
22
Morgan Stanley
New York
$413K -$292K -29,474 -42%
ICM
23
Ionic Capital Management
New York
$346K -$5.59K -564 -2%
AA
24
AQR Arbitrage
Connecticut
$330K -$75.7K -7,640 -19%
JMPWA
25
JP Morgan Private Wealth Advisors
California
$324K +$13.7K +1,387 +5%