Latest Institutional Transactions on Swiss Helvetia Fund, Inc. (SWZ)
This table provides information on the latest institutional transactions involving Swiss Helvetia Fund, Inc. (SWZ) stock. The table includes the name of the institution, the type of operation (buy or sell), whether options were involved, the number of shares exchanged, the range of values for the transaction, and the number of shares held by the institution after the transaction has occurred.
| Report Date | Institution (Fund) | Operation | Option | Shares change | Value Range | Shares Held | Trade History |
|---|---|---|---|---|---|---|---|
|
Aug 16, 2021
Q2 2021
|
Assetmark, Inc
|
BUY
|
- |
1.73KNew |
$15.4K - $17.3K
|
1.73K
$14.2K
|
|
|
Aug 13, 2021
Q2 2021
|
Winmill & Co. Inc
Millbrook, NY |
BUY
|
- |
2.87K+ 717.5% |
$25.5K - $28.7K
|
3.27K
$26.8K
|
|
|
Aug 10, 2021
Q2 2021
|
Shepherd Kaplan Krochuk, LLC
Boston, MA |
BUY
|
- |
33.4KNew |
$296K - $333K
|
33.4K
$273K
|
|
| Q1 2021 | |||||||
|
May 10, 2021
Q1 2021
|
Kestra Advisory Services, LLC
|
SELL
|
- |
-2.38K- 15.58% |
$20.6K - $22.2K
|
12.9K
$105K
|
|
| Q4 2020 | |||||||
|
Feb 16, 2021
Q4 2020
|
Susquehanna International Group, LLP
Bala Cynwyd, PA |
SELL
|
- |
-10.4KClosed |
$79.9K - $93.9K
|
0
$0
|
|
| Q3 2020 | |||||||
|
Nov 10, 2020
Q3 2020
|
Rmb Capital Management, LLC
|
SELL
|
- |
-59.3KClosed |
$468K - $511K
|
0
$0
|
|
|
Nov 05, 2020
Q3 2020
|
Smith, Salley & Associates
|
SELL
|
- |
-19.9KClosed |
$157K - $172K
|
0
$0
|
|
| Q2 2020 | |||||||
|
Feb 13, 2024
Q2 2020
|
Bartlett & Co. Wealth Management LLC
Cincinnati, OH |
SELL
|
- |
-307Closed |
$2.1K - $2.45K
|
0
$0
|
|
|
Aug 14, 2020
Q2 2020
|
Rivernorth Capital Management, LLC
West Palm Beach, FL |
SELL
|
- |
-789KClosed |
$5.39M - $6.31M
|
0
$0
|
|
|
Aug 13, 2020
Q2 2020
|
Geode Capital Management, LLC
Boston, MA |
SELL
|
- |
-23.9KClosed |
$163K - $191K
|
0
$0
|
|
|
Aug 03, 2020
Q2 2020
|
Bartlett & Co. LLC
|
SELL
|
- |
-307Closed |
$2.1K - $2.45K
|
0
$0
|
|
|
Jul 14, 2020
Q2 2020
|
Vista Wealth Management Group, LLC
|
SELL
|
- |
-12.4KClosed |
$84.7K - $99.1K
|
0
$0
|
|
| Q1 2020 | |||||||
|
Apr 28, 2020
Q1 2020
|
Ken Fisher
Fisher Asset Management, LLC | Camas, Wa
|
SELL
|
- |
-16.7KClosed |
$99.3K - $148K
|
0
$0
|
|
|
Apr 24, 2020
Q1 2020
|
Total Clarity Wealth Management, Inc.
|
SELL
|
- |
-2.23KClosed |
$13.3K - $19.7K
|
0
$0
|
|
|
Apr 20, 2020
Q1 2020
|
Engrave Wealth Partners LLC
|
SELL
|
- |
-800Closed |
$4.76K - $7.07K
|
0
$0
|
|
| Q4 2019 | |||||||
|
Feb 14, 2020
Q4 2019
|
Brown Brothers Harriman & CO
New York, NY |
SELL
|
- |
-4.45KClosed |
$34.9K - $37.4K
|
0
$0
|
|
| Q3 2019 | |||||||
|
Nov 13, 2019
Q3 2019
|
Private Capital Group, LLC
|
SELL
|
- |
-13Closed |
$101 - $106
|
0
$0
|
|
|
Oct 11, 2019
Q3 2019
|
Alpine Global Management, LLC
New York, NY |
SELL
|
- |
-279KClosed |
$2.16M - $2.27M
|
0
$0
|
|
| Q2 2019 | |||||||
|
Aug 13, 2019
Q2 2019
|
Tower Research Capital LLC (Trc)
New York, NY |
SELL
|
- |
-129Closed |
$961 - $1.02K
|
0
$0
|
|
|
Jul 19, 2019
Q2 2019
|
Regions Financial Corp
|
SELL
|
- |
-1.79KClosed |
$13.3K - $14.2K
|
0
$0
|
|
| Q1 2019 | |||||||
|
May 15, 2019
Q1 2019
|
Weiss Asset Management LP
Boston, MA |
SELL
|
- |
-41.8KClosed |
$287K - $328K
|
0
$0
|
|
|
Apr 30, 2019
Q1 2019
|
Sol Capital Management CO
|
SELL
|
- |
-10.5KClosed |
$72.2K - $82.3K
|
0
$0
|
|
|
Apr 29, 2019
Q1 2019
|
Capital Investment Counsel, Inc
|
BUY
|
- |
15KNew |
$103K - $117K
|
15K
$123K
|
|
|
Apr 17, 2019
Q1 2019
|
Tompkins Financial Corp
|
BUY
|
- |
50+ 7.69% |
$344 - $392
|
700
$5.73K
|
|
| Q4 2018 | |||||||
|
Feb 15, 2019
Q4 2018
|
Peak Asset Management, LLC
Louisville, CO |
SELL
|
- |
-33.3KClosed |
$225K - $283K
|
0
$0
|
|
|
Feb 14, 2019
Q4 2018
|
Boothbay Fund Management, LLC
New York, NY |
SELL
|
- |
-107KClosed |
$724K - $911K
|
0
$0
|
|
|
Feb 13, 2019
Q4 2018
|
Meridian Investment Counsel Inc.
Lafayette, CA |
SELL
|
- |
-23.1KClosed |
$156K - $197K
|
0
$0
|
|
|
Feb 12, 2019
Q4 2018
|
First Republic Investment Management, Inc.
San Francisco, CA |
SELL
|
- |
-32.7KClosed |
$221K - $278K
|
0
$0
|
|
|
Feb 11, 2019
Q4 2018
|
Citizens Financial Group Inc
|
SELL
|
- |
-2.52KClosed |
$17K - $21.4K
|
0
$0
|
|
|
Feb 11, 2019
Q4 2018
|
Relative Value Partners Group, LLC
Northbrook, IL |
SELL
|
- |
-24.6KClosed |
$166K - $209K
|
0
$0
|
|
|
Feb 08, 2019
Q4 2018
|
Stratos Wealth Partners, Ltd.
|
SELL
|
- |
-5KClosed |
$33.8K - $42.6K
|
0
$0
|
|
|
Feb 08, 2019
Q4 2018
|
Gam Holding Ag
|
SELL
|
- |
-25KClosed |
$169K - $213K
|
0
$0
|
|
|
Feb 04, 2019
Q4 2018
|
Smithfield Trust CO
Pittsburgh, PA |
SELL
|
- |
-2.83KClosed |
$19.1K - $24K
|
0
$0
|
|
|
Jan 29, 2019
Q4 2018
|
John G Ullman & Associates Inc
|
SELL
|
- |
-295KClosed |
$1.99M - $2.51M
|
0
$0
|
|
|
Jan 29, 2019
Q4 2018
|
Advisor Partners LLC
Walnut Creek, CA |
BUY
|
- |
5.6K+ 46.43% |
$37.8K - $47.6K
|
17.7K
$145K
|
|
|
Jan 22, 2019
Q4 2018
|
Dakota Wealth Management
|
SELL
|
- |
-25.8KClosed |
$175K - $220K
|
0
$0
|
|
| Q3 2018 | |||||||
|
Nov 14, 2018
Q3 2018
|
Thomas J. Herzfeld Advisors, Inc.
Miami Beach, FL |
SELL
|
- |
-1.95KClosed |
$16.6K - $26.1K
|
0
$0
|
|
|
Nov 02, 2018
Q3 2018
|
Fine Mark National Bank & Trust
Fort Myers, FL |
SELL
|
- |
-10KClosed |
$85.3K - $134K
|
0
$0
|
|
| Q2 2018 | |||||||
|
Aug 14, 2018
Q2 2018
|
Doliver Advisors, LP
Houston, TX |
SELL
|
- |
-13.3KClosed |
$160K - $166K
|
0
$0
|
|
| Q1 2018 | |||||||
|
May 11, 2018
Q1 2018
|
Mariner Investment Group LLC
Harrison, NY |
SELL
|
- |
-24.7KClosed |
$302K - $337K
|
0
$0
|
|
|
May 11, 2018
Q1 2018
|
Sei Investments CO
Oaks, PA |
SELL
|
- |
-107Closed |
$1.31K - $1.46K
|
0
$0
|
|
| Q4 2017 | |||||||
|
Feb 14, 2018
Q4 2017
|
Bokf, Na
Tulsa, OK |
SELL
|
- |
-2.95KClosed |
$36.5K - $37.9K
|
0
$0
|
|
|
Feb 06, 2018
Q4 2017
|
Shufro Rose & CO LLC
|
SELL
|
- |
-23.9KClosed |
$296K - $308K
|
0
$0
|
|
|
Feb 06, 2018
Q4 2017
|
Icon Advisers Inc
Greenwood Village, CO |
SELL
|
- |
-55.6KClosed |
$688K - $715K
|
0
$0
|
|
| Q1 2017 | |||||||
|
Aug 30, 2024
Q1 2017
|
Federation Des Caisses Desjardins Du Quebec
Levis, A8 |
SELL
|
- |
-701- 38.33% |
N/A
|
1.13K
$9.24K
|
|