SEC Form 4 · accession 0000899243-19-000545
Total Return Securities Fund · SWZ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Andrew Dakos
Director
Period of report
Jan 2, 2019
Accepted (ET)
Jan 4, 2019 · 4:44 pm EST
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 StockF1 | Jan 2, 2019 | J | 104,660 | — | D | 0 | I | By Clients |
| Common Stock | holding | — | — | — | 64 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These shares of common stock of The Swiss Helvetia Fund, Inc. are held in the accounts of certain private investment fund clients of Bulldog Investors, LLC ("Bulldog Investors"). Mr. Dakos (the "Reporting Person") is a controlling member of Bulldog Investors, 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. Bulldog Investors and the Reporting Person are no longer deemed to have a pecuniary interest in such shares as of January 2, 2019 and as a result such shares will no longer be reported on the Reporting Person's Form 4.