SWZ insider buying and SEC filings, explained
Swiss Helvetia Fund, Inc. · CIK 813623
Tracked: Forms 3/4/5, 8-K, NT · All filings on sec.gov
Insider activity in the last 12 months
Bought
$1.5M
Insiders who bought
4
Sold (not marked 10b5-1)
$347K
Planned sales (10b5-1)
$0
Insider purchases and sales, last 12 months
| Traded | Type | What was filed | Source |
|---|---|---|---|
| Oct 8, 2026 | Purchase (code P) | Phillip Goldstein (Director and Secretary) bought 5,000 shares at $5.73 ($29K), reported as a purchase (code P). Holdings up 4% to 124,229 shares. Not marked as a 10b5-1 plan trade. | SEC filing Filed Oct 13, 2026, 4:05 PM ET |
| Sep 28, 2026 | Purchase (code P) | Moritz A. Sell (Director) bought 2,000 shares at $5.77 ($12K), reported as a purchase (code P). Holdings up 7% to 30,246 shares. Not marked as a 10b5-1 plan trade. | SEC filing Filed Sep 30, 2026 |
| Sep 25–28, 2026 | Purchase (code P) | Andrew Dakos (CEO and Director) bought 20,000 shares between Sep 25 and Sep 28 at about $5.79 ($116K), reported as a purchase (code P). Holdings up 50% to 60,000 shares. Not marked as a 10b5-1 plan trade. | SEC filing Filed Sep 29, 2026 |
| Aug 31, 2026 | Purchase (code P) | Moritz A. Sell (Director) bought 3,000 shares at $5.98 ($18K), reported as a purchase (code P). Holdings up 12% to 28,246 shares. Not marked as a 10b5-1 plan trade. | SEC filing Filed Sep 1, 2026 |
| Aug 21–24, 2026 | Purchase (code P) | Rajeev P Das (Secretary) bought 3,066 shares between Aug 21 and Aug 24 at $5.93 ($18K), reported as a purchase (code P). Holdings up 918% to 3,400 shares. Not marked as a 10b5-1 plan trade. | SEC filing Filed Aug 25, 2026 |
| Aug 10, 2026 | Purchase (code P) | Moritz A. Sell (Director) bought 1,000 shares at $5.91 ($6K), reported as a purchase (code P). Holdings up 4% to 25,246 shares. Not marked as a 10b5-1 plan trade. | SEC filing Filed Aug 12, 2026 |
| Jul 22–23, 2026 | Purchase (code P) | Moritz A. Sell (Director) bought 2,517 shares between Jul 22 and Jul 23 at about $5.87 ($15K), reported as a purchase (code P). Holdings up 12% to 24,246 shares. Not marked as a 10b5-1 plan trade. | SEC filing Filed Jul 24, 2026 |
| Jul 20–21, 2026 | Purchase (code P) | Moritz A. Sell (Director) bought 1,483 shares between Jul 20 and Jul 21 at about $5.92 ($9K), reported as a purchase (code P). Holdings up 7% to 21,729 shares. Not marked as a 10b5-1 plan trade. | SEC filing Filed Jul 22, 2026 |
| Jul 6, 2026 | Purchase (code P) | Phillip Goldstein (Director and Secretary) bought 5,980 shares at $5.95 ($36K), reported as a purchase (code P). Holdings up 5% to 119,214 shares. Not marked as a 10b5-1 plan trade. | SEC filing Filed Jul 8, 2026 |
| Jul 2, 2026 | Purchase (code P) | Andrew Dakos (CEO and Director) bought 5,000 shares indirectly (by entity) at $5.92 ($30K), reported as a purchase (code P). Holdings by entity up 4% to 131,000 shares. Not marked as a 10b5-1 plan trade. | SEC filing Filed Jul 7, 2026 |
| Jun 26–29, 2026 | Purchase (code P) | Moritz A. Sell (Director) bought 4,091 shares between Jun 26 and Jun 29 at about $5.91 ($24K), reported as a purchase (code P). Holdings up 25% to 20,246 shares. Not marked as a 10b5-1 plan trade. | SEC filing Filed Jun 30, 2026 |
| Jun 17–18, 2026 | Purchase (code P) | Moritz A. Sell (Director) bought 2,000 shares between Jun 17 and Jun 18 at $5.91 ($12K), reported as a purchase (code P). Holdings up 14% to 16,155 shares. Not marked as a 10b5-1 plan trade. | SEC filing Filed Jun 22, 2026 |
| Jun 15–16, 2026 | Purchase (code P) | Moritz A. Sell (Director) bought 2,155 shares between Jun 15 and Jun 16 at about $5.96 ($13K), reported as a purchase (code P). Holdings up 18% to 14,155 shares. Not marked as a 10b5-1 plan trade. | SEC filing Filed Jun 17, 2026 |
| May 29, 2026 | Purchase (code P) | Moritz A. Sell (Director) bought 1,000 shares at $6.01 ($6K), reported as a purchase (code P). Holdings up 9% to 12,000 shares. Not marked as a 10b5-1 plan trade. | SEC filing Filed Jun 1, 2026 |
| May 27–28, 2026 | Purchase (code P) | Andrew Dakos (CEO and Director) bought 13,000 shares indirectly (by entity) between May 27 and May 28 at about $5.98 ($78K), reported as a purchase (code P). Holdings by entity up 12% to 126,000 shares. Not marked as a 10b5-1 plan trade. | SEC filing Filed May 29, 2026 |
| May 18–20, 2026 | Purchase (code P) | Andrew Dakos (CEO and Director) bought 7,000 shares indirectly (by entity) between May 18 and May 20 at about $5.95 ($42K), reported as a purchase (code P). Holdings by entity up 7% to 113,000 shares. Not marked as a 10b5-1 plan trade. | SEC filing Filed May 20, 2026 |
| Apr 24, 2026 | Purchase (code P) | Moritz A. Sell (Director) bought 1,002 shares at $6.07 ($6K), reported as a purchase (code P). Holdings up 10% to 11,000 shares. Not marked as a 10b5-1 plan trade. | SEC filing Filed Apr 27, 2026 |
| Apr 16–17, 2026 | Purchase (code P) | Andrew Dakos (CEO and Director) bought 11,265 shares directly and indirectly (by entity) between Apr 16 and Apr 17 at about $6.06 ($68K), reported as a purchase (code P). Direct holdings up 1% to 40,000 shares. Not marked as a 10b5-1 plan trade. | SEC filing Filed Apr 20, 2026 |
| Apr 7–8, 2026 | Purchase (code P) | Andrew Dakos (CEO and Director) bought 6,000 shares indirectly (by entity) between Apr 7 and Apr 8 at about $5.97 ($36K), reported as a purchase (code P). Holdings by entity up 7% to 94,282 shares. Not marked as a 10b5-1 plan trade. | SEC filing Filed Apr 9, 2026 |
| Apr 2–6, 2026 | Purchase (code P) | Andrew Dakos (CEO and Director) bought 4,963 shares indirectly (by entity) between Apr 2 and Apr 6 at about $5.93 ($29K), reported as a purchase (code P). Holdings by entity up 6% to 88,282 shares. Not marked as a 10b5-1 plan trade. | SEC filing Filed Apr 6, 2026 |
| Mar 27–30, 2026 | Purchase (code P) | Andrew Dakos (CEO and Director) bought 11,200 shares indirectly (by entity) between Mar 27 and Mar 30 at about $5.92 ($66K), reported as a purchase (code P). Holdings by entity up 16% to 83,319 shares. Not marked as a 10b5-1 plan trade. | SEC filing Filed Mar 31, 2026 |
| Mar 24, 2026 | Purchase (code P) | Andrew Dakos (CEO and Director) bought 6,000 shares indirectly (by entity) at about $5.96 ($36K), reported as a purchase (code P). Holdings by entity up 9% to 73,119 shares. Not marked as a 10b5-1 plan trade. | SEC filing Filed Mar 26, 2026 |
| Mar 18, 2026 | Purchase (code P) | Phillip Goldstein (Director and Secretary) bought 10,000 shares at $5.98 ($60K), reported as a purchase (code P). Holdings up 10% to 113,234 shares. Not marked as a 10b5-1 plan trade. | SEC filing Filed Mar 19, 2026 |
| Mar 11–12, 2026 | Purchase (code P) | Andrew Dakos (CEO and Director) bought 5,024 shares indirectly (by entity) between Mar 11 and Mar 12 at $6.00 ($30K), reported as a purchase (code P). Holdings by entity up 8% to 67,119 shares. Not marked as a 10b5-1 plan trade. | SEC filing Filed Mar 13, 2026 |
| Mar 5–6, 2026 | Purchase (code P) | Andrew Dakos (CEO and Director) bought 24,500 shares indirectly (by entity) between Mar 5 and Mar 6 at about $5.99 ($147K), reported as a purchase (code P). Holdings by entity up 65% to 62,095 shares. Not marked as a 10b5-1 plan trade. | SEC filing Filed Mar 9, 2026 |
| Mar 5, 2026 | Purchase (code P) | Phillip Goldstein (Director and Secretary) bought 10,000 shares at $5.99 ($60K), reported as a purchase (code P). Holdings up 11% to 103,234 shares. Not marked as a 10b5-1 plan trade. | SEC filing Filed Mar 9, 2026 |
| Mar 3, 2026 | Purchase (code P) | Phillip Goldstein (Director and Secretary) bought 5,000 shares at $6.01 ($30K), reported as a purchase (code P). Holdings up 6% to 93,234 shares. Not marked as a 10b5-1 plan trade. | SEC filing Filed Mar 5, 2026 |
| Mar 2, 2026 | Purchase (code P) | Andrew Dakos (CEO and Director) bought 14,918 shares indirectly (by entity) at about $6.02 ($90K), reported as a purchase (code P). Holdings by entity up 66% to 37,595 shares. Not marked as a 10b5-1 plan trade. | SEC filing Filed Mar 4, 2026 |
| Feb 26–27, 2026 | Purchase (code P) | Andrew Dakos (CEO and Director) bought 7,000 shares indirectly (by entity) between Feb 26 and Feb 27 at about $6.18 ($43K), reported as a purchase (code P). Holdings by entity up 45% to 22,677 shares. Not marked as a 10b5-1 plan trade. | SEC filing Filed Mar 2, 2026 |
| Feb 23, 2026 | Purchase (code P) | Phillip Goldstein (Director) bought 5,000 shares at $6.13 ($31K), reported as a purchase (code P). Holdings up 6% to 87,910 shares. Not marked as a 10b5-1 plan trade. | SEC filing Filed Feb 25, 2026 |
| Feb 23–24, 2026 | Purchase (code P) | Andrew Dakos (CEO and Director) bought 5,674 shares indirectly (by entity) between Feb 23 and Feb 24 at about $6.14 ($35K), reported as a purchase (code P). Holdings by entity up 57% to 15,677 shares. Not marked as a 10b5-1 plan trade. | SEC filing Filed Feb 25, 2026 |
| Feb 19–20, 2026 | Purchase (code P) | Andrew Dakos (CEO and Director) bought 8,000 shares indirectly (by entity) between Feb 19 and Feb 20 at about $6.13 ($49K), reported as a purchase (code P). Holdings by entity up 399% to 10,003 shares. Not marked as a 10b5-1 plan trade. | SEC filing Filed Feb 23, 2026 |
| Feb 6, 2026 | Purchase (code P) | Phillip Goldstein (Director) bought 10,000 shares at $6.07 ($61K), reported as a purchase (code P). Holdings up 14% to 82,910 shares. Not marked as a 10b5-1 plan trade. | SEC filing Filed Feb 10, 2026 |
| Feb 3–4, 2026 | Purchase (code P) | Andrew Dakos (CEO and Director) bought 16,000 shares between Feb 3 and Feb 4 at about $5.99 ($96K), reported as a purchase (code P). Holdings up 68% to 39,453 shares. Not marked as a 10b5-1 plan trade. | SEC filing Filed Feb 5, 2026 |
| Feb 2–3, 2026 | Purchase (code P) | Moritz A. Sell (Director) bought 2,120 shares between Feb 2 and Feb 3 at about $5.97 ($13K), reported as a purchase (code P). Holdings up 27% to 9,998 shares. Not marked as a 10b5-1 plan trade. | SEC filing Filed Feb 4, 2026 |
| Jan 30, 2026 | Purchase (code P) | Phillip Goldstein (Director) bought 10,000 shares at $5.92 ($59K), reported as a purchase (code P). Holdings up 16% to 72,910 shares. Not marked as a 10b5-1 plan trade. | SEC filing Filed Feb 3, 2026 |
| Dec 29–30, 2025 | Sale | CSS LLC/IL (10% owner) sold 19,968 shares between Dec 29, 2025 and Dec 30, 2025 at about $6.25 ($125K). Holdings down 1% to 1,686,971 shares. Not marked as a 10b5-1 plan trade. | SEC filing Filed Dec 31, 2025 |
| Dec 22–26, 2025 | Sale | CSS LLC/IL (10% owner) sold 28,567 shares between Dec 22, 2025 and Dec 26, 2025 at about $6.26 ($179K). Holdings down 2% to 1,706,939 shares. Not marked as a 10b5-1 plan trade. | SEC filing Filed Dec 29, 2025 |
| Dec 15, 2025 | Sale | CSS LLC/IL (10% owner) sold 7,000 shares at about $6.23 ($44K). Holdings down <1% to 1,735,506 shares. Not marked as a 10b5-1 plan trade. | SEC filing Filed Dec 17, 2025 |
11 routine transactions (such as grants, option exercises or tax withholding) are not listed.
Cluster buys
4 insiders bought in 30 days
$192K in purchases since Aug 24, 2026 · Purchases traded Aug 24, 2026 to Oct 8, 2026 · Active
| Insider | Value | Traded | Source |
|---|---|---|---|
| Rajeev P Das (Secretary) | $18K | Aug 24, 2026 | SEC filing |
| Moritz A. Sell (Director) | $18K | Aug 31, 2026 | SEC filing |
| Andrew Dakos (CEO) | $116K | Sep 28, 2026 | SEC filing |
| Moritz A. Sell (Director) | $12K | Sep 28, 2026 | SEC filing |
| Phillip Goldstein (Director) | $29K | Oct 8, 2026 | SEC filing |
3 insiders bought in 30 days
$248K in purchases since May 20, 2026 · Purchases traded May 20, 2026 to Jul 23, 2026 · Closed
| Insider | Value | Traded | Source |
|---|---|---|---|
| Andrew Dakos (CEO) | $42K | May 20, 2026 | SEC filing |
| Andrew Dakos (CEO) | $78K | May 28, 2026 | SEC filing |
| Moritz A. Sell (Director) | $13K | Jun 16, 2026 | SEC filing |
| Moritz A. Sell (Director) | $12K | Jun 18, 2026 | SEC filing |
| Moritz A. Sell (Director) | $24K | Jun 29, 2026 | SEC filing |
| Andrew Dakos (CEO) | $30K | Jul 2, 2026 | SEC filing |
| Phillip Goldstein (Director) | $36K | Jul 6, 2026 | SEC filing |
| Moritz A. Sell (Director) | $15K | Jul 23, 2026 | SEC filing |
3 insiders bought in 30 days
$1.0M in purchases since Jan 30, 2026 · Purchases traded Jan 30, 2026 to Apr 17, 2026 · Closed
| Insider | Value | Traded | Source |
|---|---|---|---|
| Phillip Goldstein (Director) | $59K | Jan 30, 2026 | SEC filing |
| Moritz A. Sell (Director) | $13K | Feb 3, 2026 | SEC filing |
| Andrew Dakos (CEO) | $96K | Feb 4, 2026 | SEC filing |
| Phillip Goldstein (Director) | $61K | Feb 6, 2026 | SEC filing |
| Andrew Dakos (CEO) | $49K | Feb 20, 2026 | SEC filing |
| Phillip Goldstein (Director) | $31K | Feb 23, 2026 | SEC filing |
| Andrew Dakos (CEO) | $35K | Feb 24, 2026 | SEC filing |
| Andrew Dakos (CEO) | $43K | Feb 27, 2026 | SEC filing |
| Andrew Dakos (CEO) | $90K | Mar 2, 2026 | SEC filing |
| Phillip Goldstein (Director) | $30K | Mar 3, 2026 | SEC filing |
| Phillip Goldstein (Director) | $60K | Mar 5, 2026 | SEC filing |
| Andrew Dakos (CEO) | $147K | Mar 6, 2026 | SEC filing |
| Andrew Dakos (CEO) | $30K | Mar 12, 2026 | SEC filing |
| Phillip Goldstein (Director) | $60K | Mar 18, 2026 | SEC filing |
| Andrew Dakos (CEO) | $36K | Mar 24, 2026 | SEC filing |
| Andrew Dakos (CEO) | $66K | Mar 30, 2026 | SEC filing |
| Andrew Dakos (CEO) | $29K | Apr 6, 2026 | SEC filing |
| Andrew Dakos (CEO) | $36K | Apr 8, 2026 | SEC filing |
| Andrew Dakos (CEO) | $68K | Apr 17, 2026 | SEC filing |
Red flags
No red flags in the last 12 months.
Key events
No key events in the last 12 months.
8-K filings, last 12 months
No 8-K filings in the last 12 months.
Red flags are objective triggers only: the item or form filed, never an opinion.
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