Company: SWZ
Filing Date: 2025-01-27
Form Type: DEF 14A
Source: 0000894189-25-000453
Chunk: 35

Company: Total Return Securities Fund
Filing Date: 2025-01-27
Form: DEF 14A
Chunk 35
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 RECOMMEND THAT YOU VOTE “FOR” ALL OF THE SUB-PROPOSALS COMPRISING PROPOSAL 3 TO AMEND CERTAIN OF THE FUND’S FUNDAMENTAL INVESTMENT RESTRICTIONS. -22- SECURITY OWNERSHIP OF CERTAIN BENEFICIAL OWNERS AND MANAGEMENT The following table sets forth, as of the record date, the beneficial ownership of each of our directors and each of our executive officers. To the knowledge of the Fund’s management, as of the close of business on the record date, all directors and all executive officers as a group (8 persons) beneficially owned 21,998 shares of common stock, which constituted less than 1.00% of the outstanding shares of common stock of the Fund. Unless otherwise indicated, the Fund believes that each beneficial owner set forth in the table has sole voting and investment power. The address for all directors and executive officers of the Fund is c/o The Swiss Helvetia Fund, Inc., 615 East Michigan Street, Milwaukee, WI 53202. Mr. Dakos, who is deemed an “interested person” of the Fund within the meaning of the 1940 Act as a result of his position as President and Chief Executive Officer of the Fund, beneficially owned 3,064 shares, which constitutes less than 1.00% of the outstanding shares of common stock of the Fund. Mr. Goldstein, who will be deemed an “interested person” of the Fund within the meaning of the 1940 Act as a result of his position as director of the Fund and Bulldog, beneficially owned 12,248 shares, which constitutes less than 1.00% of the outstanding shares of common stock of the Fund.

| Name of Person       | Position(s) with Fund (Since)                                                                               | Dollar Range of Equity Securities in the Fund |
| Richard Dayan        | Director (2018); Member of the Audit Committee (2018);Member of the Governance/ Nominating Committee (2018) |                                            $0 |
| Phillip F. Goldstein | Director (2018); Member and Chair of the Governance/ Nominating Committee (2018)                            |                                 Over $100,000 |
| Gerald Hellerman     | Director (2018);Member of the Audit Committee (2018);Member and Chair of the Pricing Committee (2018)       |                               $10,001-$50,000 |
| Moritz A. Sell       | Director (2017); Member and