<SEC-DOCUMENT>0000894189-21-005585.txt : 20210819
<SEC-HEADER>0000894189-21-005585.hdr.sgml : 20210819
<ACCEPTANCE-DATETIME>20210819161338
ACCESSION NUMBER:		0000894189-21-005585
CONFORMED SUBMISSION TYPE:	DEFA14A
PUBLIC DOCUMENT COUNT:		1
FILED AS OF DATE:		20210819
DATE AS OF CHANGE:		20210819

FILER:

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			SWISS HELVETIA FUND, INC.
		CENTRAL INDEX KEY:			0000813623
		IRS NUMBER:				000000000
		FISCAL YEAR END:			1231

	FILING VALUES:
		FORM TYPE:		DEFA14A
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	811-05128
		FILM NUMBER:		211190233

	BUSINESS ADDRESS:	
		STREET 1:		C/O U.S. BANK GLOBAL FUND SERVICES
		STREET 2:		615 EAST MICHIGAN STREET
		CITY:			MILWAUKEE
		STATE:			WI
		ZIP:			53202
		BUSINESS PHONE:		8007302932

	MAIL ADDRESS:	
		STREET 1:		C/O U.S. BANK GLOBAL FUND SERVICES
		STREET 2:		615 EAST MICHIGAN STREET
		CITY:			MILWAUKEE
		STATE:			WI
		ZIP:			53202

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	SWISS HELVETIA FUND INC
		DATE OF NAME CHANGE:	19920703

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	HELVETIA FUND INC
		DATE OF NAME CHANGE:	19900820
</SEC-HEADER>
<DOCUMENT>
<TYPE>DEFA14A
<SEQUENCE>1
<FILENAME>swiss_defa14a.htm
<DESCRIPTION>DEFINITIVE ADDITIONAL MATERIALS
<TEXT>
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      <div style="text-align: center; font-size: 12pt; font-weight: bold;">UNITED STATES<br>
        SECURITIES AND EXCHANGE COMMISSION</div>
      <div style="text-align: center; font-size: 12pt; font-weight: bold;">Washington, D.C. 20549</div>
      <div>&#160;</div>
      <div style="text-align: center; font-size: 14pt; font-weight: bold;">SCHEDULE 14A</div>
      <div><br>
      </div>
      <div style="text-align: center;">Proxy Statement Pursuant to Section 14(a) of<br>
        the Securities Exchange Act of 1934</div>
      <div style="text-align: center;">(Amendment No.&#160; &#160;&#160;&#160;)</div>
      <div>&#160;</div>
      <div>
        <div style="margin-bottom: 12pt; color: #000000;">Filed by the Registrant <font style="font-size: 11pt;">&#9746;</font></div>
        <div style="margin-bottom: 12pt; color: #000000;">Filed by a Party other than the Registrant &#9744;</div>
        <div style="margin-bottom: 12pt;">Check the appropriate box:</div>
        <div style="margin-bottom: 12pt;">
          <table cellspacing="0" cellpadding="1" border="0" style="font-family: 'Times New Roman', Times, serif; font-size: 10pt; width: 100%; border-collapse: collapse; text-align: left; color: #000000;">

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                <td style="width: 3%; vertical-align: top; font-size: 11pt;">&#160;&#9744;</td>
                <td style="width: 95%; vertical-align: middle;">
                  <div style="color: rgb(0, 0, 0); font-family: 'Times New Roman',Times,serif;">Preliminary Proxy Statement</div>
                </td>
              </tr>
              <tr>
                <td style="width: 3%; vertical-align: top; font-size: 11pt;">&#160;&#9744;</td>
                <td style="width: 95%; vertical-align: top;">
                  <div style="color: #000000; font-weight: bold;">Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2))</div>
                </td>
              </tr>
              <tr>
                <td style="width: 3%; vertical-align: top; font-size: 11pt;">&#160;&#9744;</td>
                <td style="width: 95%; vertical-align: top;">
                  <div style="color: #000000;">Definitive Proxy Statement</div>
                </td>
              </tr>
              <tr>
                <td style="width: 3%; vertical-align: top; font-size: 11pt;">&#160;&#9746; <br>
                </td>
                <td style="width: 95%; vertical-align: top;">
                  <div style="color: #000000;">Definitive Additional Materials</div>
                </td>
              </tr>
              <tr>
                <td style="width: 3%; vertical-align: top; font-size: 11pt;">&#160;&#9744;</td>
                <td style="width: 95%; vertical-align: top;">
                  <div style="color: #000000;">Soliciting Material under &#167;240.14a-12</div>
                </td>
              </tr>

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        </div>
      </div>
      <div><br>
      </div>
      <div>
        <div style="text-align: center; font-family: 'Times New Roman',Times,serif; font-weight: bold;">THE SWISS HELVETIA FUND, INC. <br>
        </div>
        <div style="text-align: center; font-family: 'Times New Roman',Times,serif; font-weight: bold;">
          <hr noshade="noshade" align="center" style="background-color: #000000; border-bottom: medium none; border-left: medium none; border-right: medium none; border-top: medium none; margin: 0px auto; height: 1px; color: #000000;"></div>
        <div style="text-align: center; font-family: 'Times New Roman',Times,serif; font-weight: bold;"> <font style="font-weight: normal;">(Name of Registrant as Specified in its Charter)</font></div>
        <div style="text-align: center; font-family: 'Times New Roman',Times,serif; font-weight: bold;"> <br>
        </div>
        <div style="text-align: center; font-family: 'Times New Roman',Times,serif; font-weight: bold;"> <br>
        </div>
        <div style="text-align: center;">
          <hr noshade="noshade" align="center" style="background-color: #000000; border-bottom: medium none; border-left: medium none; border-right: medium none; border-top: medium none; margin: 0px auto; height: 1px; color: #000000;">(Name of Person(s)
          Filing Proxy Statement, if other than the Registrant) </div>
      </div>
      <div>&#160;</div>
      <div>&#160;</div>
      <div>Payment of Filing Fee (Check the appropriate box):</div>
      <div>&#160;</div>
      <div><font style="font-size: 11pt;">&#9746;</font>&#160;&#160;&#160;&#160; No fee required. <br>
      </div>
      <div style="font-family: 'Times New Roman',Times,serif;"><font style="font-size: 11pt;">&#9744;</font>&#160;&#160;&#160;&#160; Fee computed on table below per Exchange Act Rules 14a-6(i)(1) and 0-11.</div>
      <div> <br>
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              <td style="width: 36pt; vertical-align: top; align: right;">(1)</td>
              <td style="width: auto; vertical-align: top;">
                <div>Title of each class of securities to which transaction applies:<br>
                </div>
              </td>
            </tr>

        </table>
        <div><br>
        </div>
        <div>
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                  <div>&#160;</div>
                </td>
                <td style="border-bottom: 1px solid rgb(0, 0, 0); width: 85%;">
                  <div>&#160;</div>
                </td>
                <td style="width: 2%; padding-bottom: 1px;">&#160;</td>
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              <td style="width: 36pt; vertical-align: top; align: right;">(2)</td>
              <td style="width: auto; vertical-align: top;">
                <div>Aggregate number of securities to which transaction applies:<br>
                </div>
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        </table>
        <br>
        <div>
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                  <div>&#160;</div>
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                <td style="border-bottom: 1px solid rgb(0, 0, 0); width: 85%;">
                  <div>&#160;</div>
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              <td style="width: auto; vertical-align: top;">
                <div>Per unit price or other underlying value of transaction computed pursuant to Exchange Act Rule 0-11 (set forth the amount on which the filing fee is calculated and state how it was determined):<br>
                </div>
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                  <div>&#160;</div>
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                <td style="border-bottom: 1px solid rgb(0, 0, 0); width: 85%;">
                  <div>&#160;</div>
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                <div>Proposed maximum aggregate value of transaction:<br>
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                <td style="border-bottom: 1px solid rgb(0, 0, 0); width: 85%;">
                  <div>&#160;</div>
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              <td style="width: 36pt; vertical-align: top; align: right;">(5)</td>
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                <div>Total fee paid:<br>
                </div>
              </td>
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        <div><br>
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              <div>Fee paid previously with preliminary materials.</div>
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              <div>Check box if any part of the fee is offset as provided by Exchange Act Rule 0-11(a)(2) and identify the filing for which the offsetting fee was paid previously. Identify the previous filing by registration statement number, or the Form
                or Schedule and the date of its filing.</div>
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                <div>Amount Previously Paid:<br>
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                <td style="border-bottom: 1px solid rgb(0, 0, 0); width: 85%;">
                  <div>&#160;</div>
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                <div>Form, Schedule or Registration Statement No.:<br>
                </div>
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                  <div>&#160;</div>
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                <td style="border-bottom: 1px solid rgb(0, 0, 0); width: 85%;">
                  <div>&#160;</div>
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                <div>Filing Party:<br>
                </div>
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        <br>
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                  <div>&#160;</div>
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                <td style="border-bottom: 1px solid rgb(0, 0, 0); width: 85%;">
                  <div>&#160;</div>
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                <td style="width: 2%; padding-bottom: 1px;">&#160;</td>
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              <div>Date Filed:</div>
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      <div style="font-family: 'Times New Roman',Times,serif; font-weight: bold;"> <br>
        <div>
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                <td style="width: 3%; padding-bottom: 1px;">
                  <div>&#160;</div>
                </td>
                <td style="border-bottom: 1px solid rgb(0, 0, 0); width: 85%;">
                  <div>&#160;</div>
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                <td style="width: 2%; padding-bottom: 1px;">&#160;</td>
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      </div>
      <div style="text-align: center; font-weight: bold;"> <br>
      </div>
      <div style="text-align: center; font-weight: bold;">ADDITIONAL INFORMATION REGARDING THE ANNUAL MEETING OF</div>
      <div style="text-align: center; font-weight: bold;">STOCKHOLDERS TO BE HELD ON SEPTEMBER 9, 2021</div>
      <div style="text-align: center;">&#160;</div>
      <div style="text-align: justify;">On July 26, 2021, The Swiss Helvetia Fund, Inc. (the &#8220;Fund&#8221;) filed a definitive proxy statement with the Securities and Exchange Commission regarding its Annual Meeting of Stockholders (the &#8220;Annual Meeting&#8221;) to be
        held on September 9, 2021 at 1:00 p.m. The following information, including the accompanying press release, supplements and relates to that proxy statement.</div>
      <div>&#160;</div>
      <div style="text-align: justify;">On August 19, 2021, consistent with the Fund&#8217;s previous disclosure in its Notice of Annual Meeting and proxy statement, the Fund issued the accompanying press release to announce a change in the location of the
        Annual Meeting, and to provide information as to the requirements for attendance at the Annual Meeting. This supplement is being filed with the Securities and Exchange Commission and made available to stockholders on August 19, 2021. <font style="font-weight: bold;">This supplement should be read in conjunction with the proxy statement.</font></div>
      <div style="text-align: justify;"><font style="font-weight: bold;"> <br>
        </font></div>
      <div style="text-align: justify;"><font style="font-weight: bold;"> <br>
        </font></div>
      <div style="clear: both; margin-top: 10pt; margin-bottom: 10pt;" id="DSPFPageBreakArea">
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      </div>
      <div><br>
      </div>
      <div style="text-align: center; font-weight: bold;">THE SWISS HELVETIA FUND, INC. ANNOUNCES</div>
      <div style="text-align: center; font-weight: bold;">NEW LOCATION FOR 2021 ANNUAL MEETING OF STOCKHOLDERS</div>
      <div>&#160;&#160;</div>
      <div>Press Release &#8211; For Immediate Release</div>
      <div><br>
      </div>
      <div>New York, New York&#8212;August 19, 2021</div>
      <div>&#160;</div>
      <div style="text-align: justify; color: #000000;">The Swiss Helvetia Fund, Inc. (NYSE: SWZ), a non-diversified registered closed-end investment company (the &#8220;Fund&#8221;), announced today that due to concerns regarding COVID-19 the location of the Fund&#8217;s
        2021 Annual Meeting of Stockholders will be held at 125 Broad Street, New York, New York at the offices of Sullivan &amp; Cromwell LLP.&#160; The previously announced date and time of the Annual Meeting, September 9, 2021 at 1:00 p.m., will not change.</div>
      <div>&#160;</div>
      <div style="text-align: justify;">As described in the Fund&#8217;s proxy statement for the Annual Meeting, only stockholders of the Fund as of the close of business on July 15, 2021 are entitled to participate in the Annual Meeting. Those stockholders
        planning to attend the Annual Meeting must register in advance with the Fund&#8217;s administrator, U.S. Bank Global Fund Services, and agree to comply with the identification, security and COVID-19 protocols required to enter the premises, including
        proof of vaccination. Accordingly, stockholders that plan on attending the meeting in person must contact Jennifer Lima, U.S. Bank Global Fund Services at 414-248-4023 or <u><font style="font-family: 'Times New Roman',Times,serif; color: rgb(0, 0, 255);">jennifer.lima@usbank.com</font></u><font style="color: rgb(0, 0, 255);"> </font>not later than the close of business on September 7, 2021.&#160; Eligible stockholders of the Fund that are unable to attend the Annual Meeting in person but are
        interested in listening to the Meeting and to a presentation by the Fund&#8217;s investment adviser should contact Jennifer Lima, U.S. Bank Global Fund Services at 414-248-4023 or<font style="color: rgb(0, 0, 255);"> <u><font style="font-family: 'Times New Roman',Times,serif; background-color: rgb(255, 255, 255);">jennifer.lima@usbank.com</font></u></font><font style="color: #000000;"> for the dial-in details.</font></div>
      <div><br>
      </div>
      <div style="text-align: center; color: #000000;">&#160;* * * * *</div>
      <div><br>
      </div>
      <div style="color: #000000; font-weight: bold;">About The Swiss Helvetia Fund, Inc.</div>
      <div><br>
      </div>
      <div style="color: #000000;">The Fund (www.swzfund.com) is a non-diversified, closed-end investment company seeking long-term capital appreciation through investment in equity and equity-linked securities of Swiss companies. Its shares are listed on
        the NYSE under the symbol &#8220;SWZ.&#8221; The Fund seeks to achieve its investment objective by investing generally in Swiss equity and equity-linked securities that are traded on a Swiss stock exchange, traded at the pre-bourse level of one or more Swiss
        stock exchanges, traded through a market maker or traded over the counter in Switzerland. The Fund also may invest in Swiss equity and equity-linked securities of Swiss companies that are traded on other major European stock exchanges.</div>
      <div><br>
      </div>
      <div style="color: #000000;">Closed-end funds, unlike open-end funds, are not continuously offered. Typically, shares of closed-end funds are sold in the open market through a stock exchange. Shares of closed-end funds frequently trade at a discount
        to net asset value. The price of the Fund's shares is determined by a number of factors, several of which are beyond the control of the Fund. Therefore, the Fund cannot predict whether its shares will trade at, below or above net asset value.</div>
      <div><br>
      </div>
      <div style="text-align: justify;">The Fund is managed by Schroder Investment Management North America Inc.</div>
      <div><br>
      </div>
      <div><br>
      </div>
      <div style="color: #000000; font-weight: bold;">About Schroder Investment Management North America Inc.</div>
      <div><br>
      </div>
      <div>Schroder Investment Management North America Inc. and Schroder Investment Management North America Limited, investment advisors registered with the U.S. SEC, are units of Schroders plc (SDR.L), a global asset management company with
        approximately $832.2 billion in assets under management as of June 30, 2021. Schroder&#8217;s clients include major financial institutions including banks and insurance companies, as well as local and public authorities, public and private pension funds,
        endowments and foundations, intermediaries and advisors, as well as high net worth individuals and retail investors. The firm has built one of the largest networks of offices of any dedicated asset management company with more than 560 portfolio
        managers and analysts covering the world&#8217;s investment markets, offering a comprehensive range of products and services. Schroder Investment Management North America Inc. provides asset management products and services to clients in the U.S. and
        Canada.</div>
      <div><br>
      </div>
      <div>Schroder Investment Management North America Inc. is an indirect, wholly-owned subsidiary of Schroders plc, a U.K. public company with shares listed on the London Stock Exchange.&#160;&#160;&#160;&#160;&#160;</div>
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      <div style="text-align: justify; font-weight: bold;">This press release shall not constitute an offer to sell or a solicitation to buy, nor shall there be any sale of the Fund&#8217;s shares in any state or jurisdiction in which such offer or solicitation
        or sale would be unlawful prior to registration or qualification under the laws of such state or jurisdiction.</div>
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