SEC Form 4 · accession 0000899243-18-027306
Total Return Securities Fund · SWZ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Andrew Dakos
Director
Period of report
Oct 19, 2018
Accepted (ET)
Oct 23, 2018 · 5:54 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000813623
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2 | Oct 19, 2018 | J | 598,378 | $0.00 | A | 1,887,008 | I | By Clients |
| Common Stock | Oct 19, 2018 | J | 367 | $0.00 | A | 1,159 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents shares of common stock of The Swiss Helvetia Fund, Inc. (the "Fund") received pursuant to a stock dividend with a cash election feature, payable on October 19, 2018, that was declared by the Fund's Board of Directors on September 7, 2018 to all common stockholders of record as of the close of business on September 18, 2018.
- F2Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares of the Fund's common stock deemed to be beneficially owned by Mr. Dakos as a result of his pecuniary interest therein. Mr. Dakos is a controlling member of Bulldog Investors, LLC, a principal of the general partner of certain of these private investment fund clients, and a limited partner in certain of these private fund clients. Mr. Dakos disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein.