# EDGAR Filing Document

**Accession Number:** 0000813623
**File Stem:** 0001145549-23-001969
**Filing Date:** 2023-1
**Character Count:** 19350
**Document Hash:** 115715c9ec4936275eeccad6ecbdad71
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001145549-23-001969.hdr.sgml**: 20230123

**ACCESSION NUMBER**: 0001145549-23-001969

**CONFORMED SUBMISSION TYPE**: NPORT-P

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20221231

**FILED AS OF DATE**: 20230123

**DATE AS OF CHANGE**: 20230123

**PERIOD START**: 20221231

**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:** NPORT-P
- **SEC ACT:** 1940 Act
- **SEC FILE NUMBER:** 811-05128
- **FILM NUMBER:** 23543458

**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

## Form NPORT-P: Monthly Portfolio Investments Report

### NPORT-P: Part A: General Information

**Item A.1. Information about the Registrant.**

- **a. Name of Registrant:** SWISS HELVETIA FUND, INC.

- **b. Investment Company Act file number:** 811-05128

- **c. CIK number of Registrant:** 0000813623

- **d. LEI of Registrant:** 549300HQZ0XPGTS5Q724

- **e. Address and telephone number of Registrant.**

  - **Street Address 1:** 615 East Michigan Street

  - **City:** Milwaukee

  - **State:** WI

  - **Foreign country:** US

  - **Zip / Postal Code:** 53202

  - **Telephone number:** 1-800-730-2932

**Item A.2. Information about the Series.**

- **a. Name of Series:** SWISS HELVETIA FUND, INC.

- **c. LEI of Series:** 549300HQZ0XPGTS5Q724

**Item A.3. Reporting period.**

- **a. Date of fiscal year-end:** 2022-12-31

- **b. Date as of which information is reported:** 2022-12-31

**Item A.4. Final filing**

Does the Fund anticipate that this will be its final filing on Form N-PORT? **No**

### Fund Information

**Total Assets:** $116498672.54

**Total Liabilities:** $324415.31

**Net Assets:** $116174257.23

**Cash Not Reported:** $540423.69

**Monthly Return Information**

| Class        | Month 1 Return (%)   | Month 2 Return (%)   | Month 3 Return (%)   |
|:---|:---|:---|:---|
| Class ID N/A | 4.42%                | 11.42%               | -2.74%               |

**Monthly Gains & Losses**

| Period   | Net Realized Gain/Loss   | Net Unrealized Appreciation/Depreciation   |
|:---|:---|:---|
| Month 1  | $-14804.83               | $3371004.00                                |
| Month 2  | $236294.35               | $10378049.62                               |
| Month 3  | $79912.52                | $-667563.31                                |

**Designated Index Information**

- **Index Name:** N/A

- **Index Identifier:** N/A

### Schedule of Portfolio Investments

| Name                                   | Title                                  | Identifiers                                   | Payoff Profile   | Asset Category   | Issuer Category   | Country   |   Balance | Units   | Value (USD)   | % of Net Assets   | Maturity Date   | Coupon Type   | Annualized Rate (%)   | Restricted?   | Fair Value Level   | Lending Status   |
|:---|:---|:---|:---|:---|:---|:---|---:|:---|:---|:---|:---|:---|:---|:---|:---|:---|
| Givaudan SA                            | Givaudan SA                            | CUSIP: N/A<br>LEI: 213800SVRMQA1TD91D41       | Long             | EC               | CORP              | CH        |       492 | NS      | $1506523.99   | 1.30%             |  |  |  | No            | 1                  | On Loan: No      |
| Zurich Insurance Group AG              | Zurich Insurance Group AG              | CUSIP: N/A<br>LEI: 529900QVNRBND50TXP03       | Long             | EC               | CORP              | CH        |     11430 | NS      | $5464212.06   | 4.70%             |  |  |  | No            | 1                  | On Loan: No      |
| St Galler Kantonalbank AG              | St Galler Kantonalbank AG              | CUSIP: N/A<br>LEI: 549300GFRG6OK00RG957       | Long             | EC               | CORP              | CH        |       580 | NS      | $301534.80    | 0.26%             |  |  |  | No            | 1                  | On Loan: No      |
| Novartis AG                            | Novartis AG                            | CUSIP: N/A<br>LEI: 5493007HIVTX6SY6XD66       | Long             | EC               | CORP              | CH        |    142229 | NS      | $12850110.37  | 11.06%            |  |  |  | No            | 1                  | On Loan: No      |
| ABB Ltd                                | ABB Ltd                                | CUSIP: N/A<br>LEI: 5493000LKVGOO9PELI61       | Long             | EC               | CORP              | CH        |     52007 | NS      | $1577298.34   | 1.36%             |  |  |  | No            | 1                  | On Loan: No      |
| Roche Holding AG                       | Roche Holding AG                       | CUSIP: H69293217<br>LEI: 549300U41AUUVOAAOB37 | Long             | EC               | CORP              | CH        |     45177 | NS      | $14184952.98  | 12.21%            |  |  |  | No            | 1                  | On Loan: No      |
| Tecan Group AG                         | Tecan Group AG                         | CUSIP: H84774167<br>LEI: 529900CSN9R3BLETSL26 | Long             | EC               | CORP              | CH        |      4382 | NS      | $1953239.08   | 1.68%             |  |  |  | No            | 1                  | On Loan: No      |
| Nestle SA                              | Nestle SA                              | CUSIP: N/A<br>LEI: KY37LUS27QQX7BB93L28       | Long             | EC               | CORP              | CH        |    195137 | NS      | $22597252.68  | 19.45%            |  |  |  | No            | 1                  | On Loan: No      |
| Baloise Holding AG                     | Baloise Holding AG                     | CUSIP: N/A<br>LEI: 529900G5XKBZN48T6283       | Long             | EC               | CORP              | CH        |     11640 | NS      | $1795317.77   | 1.55%             |  |  |  | No            | 1                  | On Loan: No      |
| Sonova Holding AG                      | Sonova Holding AG                      | CUSIP: N/A<br>LEI: 5299004A0QNX7FBNHS61       | Long             | EC               | CORP              | CH        |      3421 | NS      | $810879.05    | 0.70%             |  |  |  | No            | 1                  | On Loan: No      |
| Swatch Group AG/The                    | Swatch Group AG/The                    | CUSIP: N/A<br>LEI: 529900NTES2LEON1JZ55       | Long             | EC               | CORP              | CH        |     27481 | NS      | $1426920.93   | 1.23%             |  |  |  | No            | 1                  | On Loan: No      |
| Lonza Group AG                         | Lonza Group AG                         | CUSIP: H50524133<br>LEI: 549300EFW4H2TCZ71055 | Long             | EC               | CORP              | CH        |      5062 | NS      | $2479023.13   | 2.13%             |  |  |  | No            | 1                  | On Loan: No      |
| Swiss Life Holding AG                  | Swiss Life Holding AG                  | CUSIP: N/A<br>LEI: 5493000KUC3Z24U77V93       | Long             | EC               | CORP              | CH        |      4130 | NS      | $2128387.38   | 1.83%             |  |  |  | No            | 1                  | On Loan: No      |
| U.S. Bank Money Market Deposit Account | U.S. Bank Money Market Deposit Account | CUSIP: 8AMMF0A84<br>LEI: N/A                  | Long             | STIV             | RF                | US        |    331031 | NS      | $331030.70    | 0.28%             |  |  |  | No            | 2                  | On Loan: No      |
| ARAVIS BIOTECH II LP                   | ARAVIS BIOTECH II LP                   | CUSIP: N/A<br>LEI: N/A                        | Long             | EC               |  | CH        |   3294705 | NS      | $1302142.08   | 1.12%             |  |  |  | No            | N/A                | On Loan: No      |
| SKAN Group AG                          | SKAN Group AG                          | CUSIP: N/A<br>LEI: 506700N25H370ZSEFR11       | Long             | EC               | CORP              | CH        |      6848 | NS      | $466303.50    | 0.40%             |  |  |  | No            | 1                  | On Loan: No      |
| Partners Group Holding AG              | Partners Group Holding AG              | CUSIP: N/A<br>LEI: 549300I3IVVWZWDHI788       | Long             | EC               | CORP              | CH        |      3782 | NS      | $3338886.29   | 2.87%             |  |  |  | No            | 1                  | On Loan: No      |
| Swissquote Group Holding SA            | Swissquote Group Holding SA            | CUSIP: N/A<br>LEI: 549300O3WME82RDPEN66       | Long             | EC               | CORP              | CH        |     13064 | NS      | $1885045.40   | 1.62%             |  |  |  | No            | 1                  | On Loan: No      |
| Aryzta AG                              | Aryzta AG                              | CUSIP: N/A<br>LEI: 549300W2PUDQQVRD8W85       | Long             | EC               | CORP              | CH        |   2044623 | NS      | $2433127.89   | 2.09%             |  |  |  | No            | 1                  | On Loan: No      |
| Julius Baer Group Ltd                  | Julius Baer Group Ltd                  | CUSIP: N/A<br>LEI: 5299007MF0604ZGJER92       | Long             | EC               | CORP              | CH        |     19335 | NS      | $1125576.20   | 0.97%             |  |  |  | No            | 1                  | On Loan: No      |
| BKW AG                                 | BKW AG                                 | CUSIP: N/A<br>LEI: 549300IE30SKTUO98Q38       | Long             | EC               | CORP              | CH        |     14700 | NS      | $2009889.75   | 1.73%             |  |  |  | No            | 1                  | On Loan: No      |
| Cie Financiere Richemont SA            | Cie Financiere Richemont SA            | CUSIP: N/A<br>LEI: 549300YIPGJ6UX2QPS51       | Long             | EC               | CORP              | CH        |     48531 | NS      | $6289307.07   | 5.41%             |  |  |  | No            | 1                  | On Loan: No      |
| Comet Holding AG                       | Comet Holding AG                       | CUSIP: N/A<br>LEI: 506700PGOL747J76WC96       | Long             | EC               | CORP              | CH        |      5300 | NS      | $1121638.56   | 0.97%             |  |  |  | No            | 1                  | On Loan: No      |
| SIG Group AG                           | SIG Group AG                           | CUSIP: N/A<br>LEI: 5493004Z6P7TSVB1L042       | Long             | EC               | CORP              | CH        |     80600 | NS      | $1759749.24   | 1.51%             |  |  |  | No            | 1                  | On Loan: No      |
| Idorsia Ltd                            | Idorsia Ltd                            | CUSIP: N/A<br>LEI: 506700XOVZUB107S5720       | Long             | EC               | CORP              | CH        |     41308 | NS      | $599171.38    | 0.52%             |  |  |  | No            | 1                  | On Loan: No      |
| Sika AG                                | Sika AG                                | CUSIP: N/A<br>LEI: 549300R3N69ECGYPU434       | Long             | EC               | CORP              | CH        |      9555 | NS      | $2289606.03   | 1.97%             |  |  |  | No            | 1                  | On Loan: No      |
| Alcon Inc                              | Alcon Inc                              | CUSIP: N/A<br>LEI: 549300LDT5AP8S0NBM78       | Long             | EC               | CORP              | CH        |     18396 | NS      | $1256224.90   | 1.08%             |  |  |  | No            | 1                  | On Loan: No      |
| Medacta Group SA                       | Medacta Group SA                       | CUSIP: N/A<br>LEI: 506700P2PFU3A3DROC14       | Long             | EC               | CORP              | CH        |      5990 | NS      | $666850.41    | 0.57%             |  |  |  | No            | 1                  | On Loan: No      |
| Helvetia Holding AG                    | Helvetia Holding AG                    | CUSIP: N/A<br>LEI: 529900SUJBXTORH0LT80       | Long             | EC               | CORP              | CH        |      9100 | NS      | $1060289.67   | 0.91%             |  |  |  | No            | 1                  | On Loan: No      |
| Softwareone Holding AG                 | Softwareone Holding AG                 | CUSIP: N/A<br>LEI: 529900GBI88JKWXLGI05       | Long             | EC               | CORP              | CH        |     64811 | NS      | $918365.99    | 0.79%             |  |  |  | No            | 1                  | On Loan: No      |
| Forbo Holding AG                       | Forbo Holding AG                       | CUSIP: N/A<br>LEI: 506700HR073894C16243       | Long             | EC               | CORP              | CH        |       820 | NS      | $964288.80    | 0.83%             |  |  |  | No            | 1                  | On Loan: No      |
| OC Oerlikon Corp AG                    | OC Oerlikon Corp AG                    | CUSIP: N/A<br>LEI: 529900I8VLAZR2FJ0M10       | Long             | EC               | CORP              | CH        |    234000 | NS      | $1532684.82   | 1.32%             |  |  |  | No            | 1                  | On Loan: No      |
| SFS Group AG                           | SFS Group AG                           | CUSIP: N/A<br>LEI: 391200RQ38WAM4BJBO16       | Long             | EC               | CORP              | CH        |     11806 | NS      | $1116542.37   | 0.96%             |  |  |  | No            | 1                  | On Loan: No      |
| VZ Holding AG                          | VZ Holding AG                          | CUSIP: N/A<br>LEI: 529900JMJUZCFUVQ0Q82       | Long             | EC               | CORP              | CH        |     13408 | NS      | $1040525.72   | 0.90%             |  |  |  | No            | 1                  | On Loan: No      |
| PolyPeptide Group AG                   | PolyPeptide Group AG                   | CUSIP: N/A<br>LEI: 5067007JCKTPOX4G9758       | Long             | EC               | CORP              | CH        |      3788 | NS      | $103666.41    | 0.09%             |  |  |  | No            | 1                  | On Loan: No      |
| Accelleron Industries AG               | Accelleron Industries AG               | CUSIP: N/A<br>LEI: 254900KS0MD2PAARXD14       | Long             | EC               | CORP              | CH        |     23700 | NS      | $490419.91    | 0.42%             |  |  |  | No            | 1                  | On Loan: No      |
| Belimo Holding AG                      | Belimo Holding AG                      | CUSIP: N/A<br>LEI: 506700339DLX749VEM23       | Long             | EC               | CORP              | CH        |      1252 | NS      | $595417.21    | 0.51%             |  |  |  | No            | 1                  | On Loan: No      |
| ams-OSRAM AG                           | ams-OSRAM AG                           | CUSIP: N/A<br>LEI: 5299001JPPT2QFTV5D76       | Long             | EC               | CORP              | AT        |    164568 | NS      | $1200642.02   | 1.03%             |  |  |  | No            | 1                  | On Loan: No      |
| UBS Group AG                           | UBS Group AG                           | CUSIP: N/A<br>LEI: 549300SZJ9VS8SGXAN81       | Long             | EC               | CORP              | CH        |    144932 | NS      | $2695152.46   | 2.32%             |  |  |  | No            | 1                  | On Loan: No      |
| VAT Group AG                           | VAT Group AG                           | CUSIP: N/A<br>LEI: 529900MVFK7NVALR7Y83       | Long             | EC               | CORP              | CH        |      4350 | NS      | $1188586.25   | 1.02%             |  |  |  | No            | 1                  | On Loan: No      |
| EYESENSEC-EYESENSE AG COMMON           | EYESENSEC-EYESENSE AG COMMON           | CUSIP: N/A<br>LEI: N/A                        | Long             | EC               | CORP              | CH        |    125416 | NS      | $46088.89     | 0.04%             |  |  |  | No            | 3                  | On Loan: No      |
| SELFRAG AG PREFERRED A                 | SELFRAG AG PREFERRED A                 | CUSIP: N/A<br>LEI: N/A                        | Long             | EP               | CORP              | CH        |    250447 | NS      | $24362.55     | 0.02%             |  |  |  | No            | 3                  | On Loan: No      |
| SELFRAG AG PREFERRED A                 | SELFRAG AG PREFERRED A                 | CUSIP: N/A<br>LEI: N/A                        | Long             | EP               | CORP              | CH        |     78514 | NS      | $7637.55      | 0.01%             |  |  |  | No            | 3                  | On Loan: No      |
| SELFRAG AG PREFERRED A                 | SELFRAG AG PREFERRED A                 | CUSIP: N/A<br>LEI: N/A                        | Long             | EP               | CORP              | CH        |    171902 | NS      | $16721.98     | 0.01%             |  |  |  | No            | 3                  | On Loan: No      |
| SPINEART SA                            | SPINEART SA                            | CUSIP: N/A<br>LEI: N/A                        | Long             | EC               | CORP              | CH        |    221085 | NS      | $1338171.21   | 1.15%             |  |  |  | No            | 3                  | On Loan: No      |
| Kuehne + Nagel International A         | Kuehne + Nagel International AG        | CUSIP: N/A<br>LEI: 529900Q0YED3805QXQ66       | Long             | EC               | CORP              | CH        |      5000 | NS      | $1162991.79   | 1.00%             |  |  |  | No            | 1                  | On Loan: No      |
| Logitech International SA              | Logitech International SA              | CUSIP: N/A<br>LEI: 549300SN6PRK6IJJC215       | Long             | EC               | CORP              | CH        |     40183 | NS      | $2478212.26   | 2.13%             |  |  |  | No            | 1                  | On Loan: No      |
| Geberit AG                             | Geberit AG                             | CUSIP: N/A<br>LEI: 52990093Z5OHD6T7BS47       | Long             | EC               | CORP              | CH        |      1500 | NS      | $706063.55    | 0.61%             |  |  |  | No            | 1                  | On Loan: No      |

### Signature

**Date Signed:** 2023-01-23

**Name of Applicant:** SWISS HELVETIA FUND, INC.

**Signature:** /s/ Andrew Dakos

**Name of Signer:** Andrew Dakos

**Title:** President & CEO