Swiss Helvetia Fund Inc: Ownership

Ownership Information
Shares Outstanding 32.00 Mil
Institutional Ownership (%)35.17
Top 10 Institutions (%)32.40
Mutual Fund Ownership (%).29
5%/Insider Ownership (%).00
Float (%).00
Ownership Activity
Description# of HoldersShares
Total Positions 5011,255,552
New Positions80
Soldout Positions350
Net Position Change-28740,360
Buyers201,767,605
Sellers48-1,027,245
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Institution Name Shs Held Shs Chg %Chg $Chg* %Out %Port Rpt Date
1607 Capital Partners, LLC 3,868,229 70,202 1.8 3,641,314 11.9 6.8 06-30-09
Lazard Asset Management, L.L.C. 3,412,222 738,537 27.6 15,296,863 10.5 0.1 09-30-09
Octavian Advisors, LP 708,300 708,300 100.0 6,849,261 2.2 16.0 06-30-09
Shufro, Rose & Co., LLC 551,422 -5,700 -1.0 1,262,779 1.7 1.1 09-30-09
Karpus Investment Management 537,338 -43,656 -7.5 31,021 1.7 0.8 06-30-09
Gramercy Advisors, L.L.C. 426,606 -42,300 -9.0 610,547 1.3 2.4 09-30-09
Evergreen Investment Management Company, LLC 347,716 64,040 22.6 840,534 1.1 0.0 06-30-09
John G. Ullman & Associates, Inc. 306,175 35,500 13.1 1,075,044 0.9 1.4 09-30-09
Concert Wealth Management Inc. 105,603 7,000 7.1 144,600 0.3 0.8 06-30-09
Wells Fargo Securities, LLC 95,977 23,400 32.2 282,888 0.3 0.0 06-30-09
Wolverine Asset Management, L.L.C. 75,858 -84,098 -52.6 -688,462 0.2 0.1 06-30-09
Cohen & Steers Capital Management, Inc. 70,300 -5,400 -7.1 6,828 0.2 0.0 06-30-09
Bartlett & Company 69,193 0 0.0 53,970 0.2 0.1 06-30-09
Oppenheimer Asset Management Inc. 68,452 -67,745 -49.7 -548,860 0.2 0.1 06-30-09
Baker Ellis Asset Management LLC 66,350 14,900 29.0 302,660 0.2 0.6 09-30-09
*Category Headings:
Shs Held - shares held at report date
Shs Chg - position change within reporting period
%Chg - % change
$Chg - market value of the position change
%Out - % of shares outstanding
%Port - % Portfolio
Rpt Date - report date
Page generated 11/25/2009 2:59 AM Eastern Time