Last 12 months
Inside the activity.
73 purchase rows · 24 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 0 |
| Dec 2025 | 0 | 24 |
| Jan 2026 | 1 | 0 |
| Feb 2026 | 19 | 0 |
| Mar 2026 | 13 | 0 |
| Apr 2026 | 9 | 0 |
| May 2026 | 8 | 0 |
| Jun 2026 | 6 | 0 |
| Jul 2026 | 7 | 0 |
| Aug 2026 | 4 | 0 |
| Sep 2026 | 5 | 0 |
| Oct 2026 | 1 | 0 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| December 18, 2019 Filed Dec 19, 2019 20:50 UTC |
GOLDSTEIN PHILLIPDirector
|
PurchaseCommon Stock | 614 | $8.15 | $5,004.10 |
DisclosureSEC source: 0001398344-19-022778 · fp0048881_4.xml · nonDerivative · entry 2 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,651 Read SEC document |
| December 17, 2019 Filed Dec 19, 2019 20:50 UTC |
GOLDSTEIN PHILLIPDirector
|
PurchaseCommon Stock | 40,000 | $8.15 | $326,000.00 |
DisclosureSEC source: 0001398344-19-022778 · fp0048881_4.xml · nonDerivative · entry 1 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,037 Read SEC document |
| December 02, 2019 Filed Dec 3, 2019 20:37 UTC |
GOLDSTEIN PHILLIPDirector
|
PurchaseCommon Stock | 8,209 | $8.12 | $66,657.08 |
DisclosureSEC source: 0001398344-19-021941 · fp0048316_4.xml · nonDerivative · entry 4 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,037 Read SEC document |
| December 02, 2019 Filed Dec 3, 2019 20:37 UTC |
GOLDSTEIN PHILLIPDirector
|
PurchaseCommon Stock | 10,000 | $8.10 | $81,000.00 |
DisclosureSEC source: 0001398344-19-021941 · fp0048316_4.xml · nonDerivative · entry 3 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,828 Read SEC document |
| December 02, 2019 Filed Dec 3, 2019 20:37 UTC |
GOLDSTEIN PHILLIPDirector
|
PurchaseCommon Stock | 10,000 | $8.09 | $80,900.00 |
DisclosureSEC source: 0001398344-19-021941 · fp0048316_4.xml · nonDerivative · entry 2 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,828 Read SEC document |
| November 29, 2019 Filed Dec 3, 2019 20:37 UTC |
GOLDSTEIN PHILLIPDirector
|
PurchaseCommon Stock | 1,791 | $8.12 | $14,542.92 |
DisclosureSEC source: 0001398344-19-021941 · fp0048316_4.xml · nonDerivative · entry 1 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,828 F1 · balance_after: The Form 4 filed on behalf of Mr. Goldstein on November 23, 2018 incorrectly reported the number of shares disposed of pursuant to an issuer tender offer as 17,633 shares. The correct number of shares tendered is 17,646 shares, and the amount of shares in which he had a Direct beneficial interest subsequent to the tender offer is 1,037 shares. Read SEC document |
| October 08, 2019 Filed Oct 9, 2019 18:46 UTC |
HELLERMAN GERALDDirector
|
PurchaseCommon Stock | 1,000 | $7.93 | $7,930.00 |
DisclosureSEC source: 0001398344-19-017704 · fp0046668_4.xml · nonDerivative · entry 1 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,041 Read SEC document |
| August 05, 2019 Filed Aug 7, 2019 20:37 UTC |
SELL MORITZ ADirector
|
PurchaseCommon Stock | 1,875 | $7.87 | $14,763.75 |
DisclosureSEC source: 0001398344-19-013706 · fp0045059_4.xml · nonDerivative · entry 1 SELL MORITZ A · CIK 0001053116 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,000 Read SEC document |
| August 02, 2019 Filed Aug 2, 2019 20:30 UTC |
HELLERMAN GERALDDirector
|
PurchaseCommon Stock | 1,000 | $8.00 | $8,000.00 |
DisclosureSEC source: 0001398344-19-013416 · fp0044876_4.xml · nonDerivative · entry 1 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,041 Read SEC document |
| August 02, 2019 Filed Aug 5, 2019 13:43 UTC Amendment |
HELLERMAN GERALDDirector
|
PurchaseCommon Stock | 1,000 | $8.00 | $8,000.00 |
DisclosureSEC source: 0001398344-19-013439 · fp0044878_4a.xml · nonDerivative · entry 1 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,041 Read SEC document |
| January 02, 2019 Filed Jan 4, 2019 21:46 UTC |
GOLDSTEIN PHILLIPDirector
|
OtherCommon Stock | 104,660 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-19-000546 · doc4.xml · nonDerivative · entry 1 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 0 F1 · kind: These 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. Goldstein (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. F1 · price: These 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. Goldstein (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. F1 · ownership.nature: These 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. Goldstein (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. Read SEC document |
| January 02, 2019 Filed Jan 4, 2019 21:44 UTC |
Dakos AndrewDirector
|
OtherCommon Stock | 104,660 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-19-000545 · doc4.xml · nonDerivative · entry 1 Dakos Andrew · CIK 0001341021 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 0 F1 · kind: These 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. F1 · price: These 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. F1 · ownership.nature: These 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. Read SEC document |
| November 20, 2018 Filed Nov 24, 2018 02:03 UTC |
Dakos AndrewDirector
|
Disposition to issuerCommon Stock | 1,095 | $7.86 | $8,606.70 |
DisclosureSEC source: 0000899243-18-029606 · doc4.xml · nonDerivative · entry 2 Dakos Andrew · CIK 0001341021 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64 F1 · kind: Disposed of to The Swiss Helvetia Fund, Inc. (the "Fund") pursuant to an issuer tender offer. Read SEC document |
| November 20, 2018 Filed Nov 24, 2018 02:03 UTC |
Dakos AndrewDirector
|
Disposition to issuerCommon Stock | 1,782,348 | $7.86 | $14,009,255.28 |
DisclosureSEC source: 0000899243-18-029606 · doc4.xml · nonDerivative · entry 1 Dakos Andrew · CIK 0001341021 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 104,660 F1 · kind: Disposed of to The Swiss Helvetia Fund, Inc. (the "Fund") pursuant to an issuer tender offer. F2 · ownership.nature: Certain 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. Read SEC document |
| November 20, 2018 Filed Nov 24, 2018 02:06 UTC |
GOLDSTEIN PHILLIPDirector
|
Disposition to issuerCommon Stock | 17,633 | $7.86 | $138,595.38 |
DisclosureSEC source: 0000899243-18-029608 · doc4.xml · nonDerivative · entry 2 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,050 F1 · kind: Disposed of to The Swiss Helvetia Fund, Inc. (the "Fund") pursuant to an issuer tender offer. Read SEC document |
| November 20, 2018 Filed Nov 24, 2018 02:06 UTC |
GOLDSTEIN PHILLIPDirector
|
Disposition to issuerCommon Stock | 1,782,348 | $7.86 | $14,009,255.28 |
DisclosureSEC source: 0000899243-18-029608 · doc4.xml · nonDerivative · entry 1 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 104,660 F1 · kind: Disposed of to The Swiss Helvetia Fund, Inc. (the "Fund") pursuant to an issuer tender offer. F2 · ownership.nature: Certain 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. Goldstein as a result of his pecuniary interest therein. Mr. Goldstein 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. Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Read SEC document |
| November 20, 2018 Filed Nov 24, 2018 02:02 UTC |
SELL MORITZ ADirector
|
Disposition to issuerCommon Stock | 2,129 | $7.86 | $16,733.94 |
DisclosureSEC source: 0000899243-18-029605 · doc4.xml · nonDerivative · entry 1 SELL MORITZ A · CIK 0001053116 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 125 F1 · kind: Disposed of to The Swiss Helvetia Fund, Inc. pursuant to an issuer tender offer. Read SEC document |
| November 20, 2018 Filed Nov 24, 2018 02:02 UTC |
HELLERMAN GERALDDirector
|
Disposition to issuerCommon Stock | 691 | $7.86 | $5,431.26 |
DisclosureSEC source: 0000899243-18-029604 · doc4.xml · nonDerivative · entry 1 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41 F1 · kind: Disposed of to The Swiss Helvetia Fund, Inc. pursuant to an issuer tender offer. Read SEC document |
| October 19, 2018 Filed Oct 23, 2018 21:54 UTC |
Dakos AndrewDirector
|
OtherCommon Stock | 367 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-027306 · doc4.xml · nonDerivative · entry 2 Dakos Andrew · CIK 0001341021 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,159 F1 · kind: Represents 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. Read SEC document |
| October 19, 2018 Filed Oct 23, 2018 21:54 UTC |
Dakos AndrewDirector
|
OtherCommon Stock | 598,378 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-027306 · doc4.xml · nonDerivative · entry 1 Dakos Andrew · CIK 0001341021 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 1,887,008 F1 · kind: Represents 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. F2 · ownership.nature: Certain 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. Read SEC document |
| October 19, 2018 Filed Oct 23, 2018 21:52 UTC |
SELL MORITZ ADirector
|
OtherCommon Stock | 715 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-027305 · doc4.xml · nonDerivative · entry 1 SELL MORITZ A · CIK 0001053116 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,254 F1 · kind: Represents 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. F2 · balance_after: Includes 39 shares of the Fund's common stock previously acquired pursuant to the Fund's dividend reinvestment plan. Read SEC document |
| October 19, 2018 Filed Oct 23, 2018 21:51 UTC |
HELLERMAN GERALDDirector
|
OtherCommon Stock | 232 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-027304 · doc4.xml · nonDerivative · entry 1 HELLERMAN GERALD · CIK 0001222911 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 732 F1 · kind: Represents 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. Read SEC document |
| October 19, 2018 Filed Oct 23, 2018 21:50 UTC |
GOLDSTEIN PHILLIPDirector
|
OtherCommon Stock | 5,924 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-027301 · doc4.xml · nonDerivative · entry 2 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,683 F1 · kind: Represents 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. Read SEC document |
| October 19, 2018 Filed Oct 23, 2018 21:50 UTC |
GOLDSTEIN PHILLIPDirector
|
OtherCommon Stock | 598,378 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-027301 · doc4.xml · nonDerivative · entry 1 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 1,887,008 F1 · kind: Represents 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. F2 · ownership.nature: Certain 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. Goldstein as a result of his pecuniary interest therein. Mr. Goldstein 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. Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Read SEC document |
| June 06, 2018 Filed Jun 8, 2018 20:02 UTC |
Dakos AndrewDirector
|
OtherCommon Stock | 54,549 | $0.00 | $0.00 |
DisclosureSEC source: 0001012975-18-000498 · edgar.xml · nonDerivative · entry 1 Dakos Andrew · CIK 0001341021 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 1,288,630 F1 · kind: These shares of SWZ are held in the account of a private investment fund client of Bulldog Investors, LLC. Bulldog Investors no longer is deemed to have a pecuniary interest in this account as of June 1, 2018, and, as a result, such shares no longer will be reported on Mr. Dakos' Form 4. F2 · ownership.nature: Certain private investment fund clients of Bulldog Investors are the beneficial owners of these shares of SWZ 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, 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. Read SEC document |
| February 20, 2018 Filed Feb 21, 2018 19:32 UTC |
Dakos AndrewDirector
|
PurchaseCommon Stock | 5,700 | $12.74 | $72,607.74 |
DisclosureSEC source: 0001012975-18-000216 · edgar.xml · nonDerivative · entry 2 Dakos Andrew · CIK 0001341021 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 1,343,179 F1 · ownership.nature: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares of SWZ 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, 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. Read SEC document |
| February 16, 2018 Filed Feb 21, 2018 19:32 UTC |
Dakos AndrewDirector
|
PurchaseCommon Stock | 500 | $12.84 | $6,422.15 |
DisclosureSEC source: 0001012975-18-000216 · edgar.xml · nonDerivative · entry 1 Dakos Andrew · CIK 0001341021 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 792 Read SEC document |
| February 13, 2018 Filed Feb 14, 2018 22:27 UTC |
Dakos AndrewDirector
|
PurchaseCommon Stock | 7,400 | $12.35 | $91,390.00 |
DisclosureSEC source: 0001012975-18-000188 · edgar.xml · nonDerivative · entry 2 Dakos Andrew · CIK 0001341021 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 1,337,479 F1 · ownership.nature: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares of SWZ 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, 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. Read SEC document |
| February 12, 2018 Filed Feb 14, 2018 22:27 UTC |
Dakos AndrewDirector
|
PurchaseCommon Stock | 3,800 | $12.35 | $46,942.54 |
DisclosureSEC source: 0001012975-18-000188 · edgar.xml · nonDerivative · entry 1 Dakos Andrew · CIK 0001341021 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 1,330,079 F1 · ownership.nature: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares of SWZ 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, 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. Read SEC document |
| February 05, 2018 Filed Feb 7, 2018 18:54 UTC |
Dakos AndrewDirector
|
PurchaseCommon Stock | 6,442 | $12.88 | $82,970.38 |
DisclosureSEC source: 0001012975-18-000142 · edgar.xml · nonDerivative · entry 1 Dakos Andrew · CIK 0001341021 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 1,326,279 F1 · ownership.nature: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares of SWZ 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, 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. Read SEC document |
| February 01, 2018 Filed Feb 5, 2018 20:11 UTC |
Dakos AndrewDirector
|
PurchaseCommon Stock | 1,353 | $13.40 | $18,128.58 |
DisclosureSEC source: 0001012975-18-000134 · edgar.xml · nonDerivative · entry 1 Dakos Andrew · CIK 0001341021 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 1,319,837 F1 · ownership.nature: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares of SWZ 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, 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. Read SEC document |
| January 30, 2018 Filed Feb 1, 2018 20:31 UTC |
Dakos AndrewDirector
|
PurchaseCommon Stock | 5,042 | $13.45 | $67,819.94 |
DisclosureSEC source: 0001012975-18-000104 · edgar.xml · nonDerivative · entry 1 Dakos Andrew · CIK 0001341021 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 1,318,484 F1 · ownership.nature: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares of SWZ 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, 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. Read SEC document |
| January 19, 2018 Filed Jan 23, 2018 16:08 UTC |
Dakos AndrewDirector
|
PurchaseCommon Stock | 16,103 | $13.15 | $211,789.88 |
DisclosureSEC source: 0001012975-18-000088 · edgar.xml · nonDerivative · entry 1 Dakos Andrew · CIK 0001341021 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 1,313,442 F1 · ownership.nature: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares of SWZ 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, 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. Read SEC document |
| January 10, 2018 Filed Jan 12, 2018 17:05 UTC |
Dakos AndrewDirector
|
PurchaseCommon Stock | 292 | $12.92 | $3,772.64 |
DisclosureSEC source: 0001012975-18-000057 · edgar.xml · nonDerivative · entry 2 Dakos Andrew · CIK 0001341021 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 292 Read SEC document |
| January 09, 2018 Filed Jan 10, 2018 22:16 UTC |
Dakos AndrewDirector
|
PurchaseCommon Stock | 8,230 | $12.93 | $106,372.75 |
DisclosureSEC source: 0001012975-18-000045 · edgar.xml · nonDerivative · entry 2 Dakos Andrew · CIK 0001341021 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 1,297,339 F1 · ownership.nature: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares of SWZ 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, 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. Read SEC document |
| January 08, 2018 Filed Jan 10, 2018 22:16 UTC |
Dakos AndrewDirector
|
PurchaseCommon Stock | 1,752 | $12.94 | $22,662.30 |
DisclosureSEC source: 0001012975-18-000045 · edgar.xml · nonDerivative · entry 1 Dakos Andrew · CIK 0001341021 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 1,289,109 F1 · ownership.nature: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares of SWZ 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, 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. Read SEC document |
| January 04, 2018 Filed Jan 5, 2018 18:24 UTC |
Dakos AndrewDirector
|
PurchaseCommon Stock | 5,533 | $12.87 | $71,234.61 |
DisclosureSEC source: 0001012975-18-000030 · edgar.xml · nonDerivative · entry 2 Dakos Andrew · CIK 0001341021 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 1,287,357 F1 · ownership.nature: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares of SWZ 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, 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. Read SEC document |
| January 03, 2018 Filed Jan 5, 2018 18:24 UTC |
Dakos AndrewDirector
|
PurchaseCommon Stock | 3,950 | $12.79 | $50,531.56 |
DisclosureSEC source: 0001012975-18-000030 · edgar.xml · nonDerivative · entry 1 Dakos Andrew · CIK 0001341021 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 1,281,824 F1 · ownership.nature: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares of SWZ 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, 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. Read SEC document |
| December 29, 2017 Filed Jan 3, 2018 20:50 UTC |
Dakos AndrewDirector
|
PurchaseCommon Stock | 1,332 | $12.74 | $16,968.08 |
DisclosureSEC source: 0001012975-18-000010 · edgar.xml · nonDerivative · entry 1 Dakos Andrew · CIK 0001341021 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 1,277,874 F1 · ownership.nature: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares of SWZ 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, 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. Read SEC document |
| December 28, 2017 Filed Dec 29, 2017 17:32 UTC |
Dakos AndrewDirector
|
PurchaseCommon Stock | 14,036 | $12.66 | $177,671.90 |
DisclosureSEC source: 0001012975-17-000959 · edgar.xml · nonDerivative · entry 2 Dakos Andrew · CIK 0001341021 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 1,276,542 F1 · ownership.nature: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares of SWZ 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, 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. Read SEC document |
| December 27, 2017 Filed Dec 29, 2017 17:32 UTC |
Dakos AndrewDirector
|
PurchaseCommon Stock | 19,600 | $12.63 | $247,548.00 |
DisclosureSEC source: 0001012975-17-000959 · edgar.xml · nonDerivative · entry 1 Dakos Andrew · CIK 0001341021 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 1,262,506 F1 · ownership.nature: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares of SWZ 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, 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. Read SEC document |
| December 21, 2017 Filed Dec 26, 2017 22:47 UTC |
Dakos AndrewDirector
|
PurchaseCommon Stock | 7,235 | $12.57 | $90,935.27 |
DisclosureSEC source: 0001012975-17-000953 · edgar.xml · nonDerivative · entry 1 Dakos Andrew · CIK 0001341021 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 1,242,906 F1 · ownership.nature: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares of SWZ 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, 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. Read SEC document |
| December 20, 2017 Filed Dec 21, 2017 19:41 UTC |
Dakos AndrewDirector
|
PurchaseCommon Stock | 3,163 | $12.41 | $39,252.83 |
DisclosureSEC source: 0001012975-17-000950 · edgar.xml · nonDerivative · entry 2 Dakos Andrew · CIK 0001341021 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 1,235,671 F1 · ownership.nature: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares of SWZ 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, 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. Read SEC document |
| December 19, 2017 Filed Dec 21, 2017 19:41 UTC |
Dakos AndrewDirector
|
PurchaseCommon Stock | 3,300 | $12.55 | $41,427.54 |
DisclosureSEC source: 0001012975-17-000950 · edgar.xml · nonDerivative · entry 1 Dakos Andrew · CIK 0001341021 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 1,232,508 F1 · ownership.nature: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares of SWZ 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, 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. Read SEC document |
| November 30, 2017 Filed Dec 1, 2017 20:44 UTC |
Dakos AndrewDirector
|
PurchaseCommon Stock | 2,873 | $12.70 | $36,484.51 |
DisclosureSEC source: 0001012975-17-000893 · edgar.xml · nonDerivative · entry 2 Dakos Andrew · CIK 0001341021 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 1,229,208 F1 · ownership.nature: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares of SWZ 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, 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. Read SEC document |
| November 29, 2017 Filed Dec 1, 2017 20:44 UTC |
Dakos AndrewDirector
|
PurchaseCommon Stock | 2,283 | $12.66 | $28,895.70 |
DisclosureSEC source: 0001012975-17-000893 · edgar.xml · nonDerivative · entry 1 Dakos Andrew · CIK 0001341021 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 1,226,335 F1 · ownership.nature: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares of SWZ 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, 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. Read SEC document |
| November 21, 2017 Filed Nov 24, 2017 16:55 UTC |
Dakos AndrewDirector
|
PurchaseCommon Stock | 13,060 | $12.60 | $164,492.01 |
DisclosureSEC source: 0001012975-17-000870 · edgar.xml · nonDerivative · entry 1 Dakos Andrew · CIK 0001341021 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 1,224,052 F1 · ownership.nature: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares of SWZ 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, 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. Read SEC document |
| November 15, 2017 Filed Nov 17, 2017 22:04 UTC |
Dakos AndrewDirector
|
PurchaseCommon Stock | 1,394 | $12.34 | $17,205.86 |
DisclosureSEC source: 0001012975-17-000859 · edgar.xml · nonDerivative · entry 1 Dakos Andrew · CIK 0001341021 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 1,210,992 F1 · ownership.nature: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares of SWZ 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, 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. Read SEC document |
| October 13, 2017 Filed Feb 6, 2018 22:25 UTC |
Hoysradt JeanDirector
|
PurchaseCommon Stock | 3,100 | $12.86 | $39,866.00 |
DisclosureSEC source: 0001012975-18-000138 · edgar.xml · nonDerivative · entry 1 Hoysradt Jean · CIK 0001603871 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,100 Read SEC document |
| June 07, 2017 Filed Jun 9, 2017 21:02 UTC |
Ricciardi Fred JDirector
|
PurchaseCommon Stock | 4,000 | $12.60 | $50,404.80 |
DisclosureSEC source: 0001012975-17-000482 · edgar.xml · nonDerivative · entry 1 Ricciardi Fred J · CIK 0001621707 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,000 Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.