Edition:
United States

Swiss Helvetia Fund Inc (SWZ)

SWZ on New York Consolidated

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19 Jul 2017
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Summary

Name Age Since Current Position

Mark Hemenetz

60 2014 President, Principal Executive Officer

David Marshall

45 2017 Chief Financial Officer, Treasurer, Director

Shanak Patnaik

49 2016 Chief Compliance Officer

Carin Muhlbaum

54 2014 Vice President

William Sauer

53 2014 Vice President

Reid Adams

39 2017 Chief Legal Officer Secretary, Director

Brian Berris

73 2012 Independent Director

Jean-Marc Boillat

72

Jay Calhoun

61 2016 Independent Director

Claus Helbig

75 2008 Independent Director

R. Clark Hooper

68

Fred Ricciardi

69 2017 Independent Director

Biographies

Name Description

Mark Hemenetz

Mr. Mark A. Hemenetz is President and Principal Executive Officer of The Swiss Helvetia Fund, Inc. He is Chief Operating Officer — Americas, SIMNA; Member of Board of Managers, Schroder Fund Advisors LLC (“SFA”); President and Principal Executive Officer of Schroder Series Trust, Schroder Global Series Trust and Schroder Capital Funds (Delaware).

David Marshall

Mr. David Marshall is Chief Financial Officer, Treasurer, Director of The Swiss Helvetia Fund, Inc. . He has been Manager of Fund Administration, SIMNA; Assistant Treasurer of Schroder Series Trust, Schroder Global Series Trust and Schroder Capital Funds (Delaware); formerly, Vice President of Fund Administration, AMG Funds.

Shanak Patnaik

Mr. Shanak Patnaik is Chief Compliance Officer of the Company. Chief Compliance Officer, SFA; Senior Compliance Manager, SIMNA; Independent consultant from January 2012 to April 2012.

Carin Muhlbaum

Ms. Carin F. Muhlbaum is Vice President of The Swiss Helvetia Fund, Inc. She is General Counsel, SIMNA; Secretary and General Counsel, SFA; Vice President of Schroder Series Trust, Schroder Global Series Trust and Schroder Capital Funds (Delaware); formerly, Member of Board of Managers, SFA.

William Sauer

Mr. William P. Sauer is Vice President of The Swiss Helvetia Fund, Inc. He is Head of Investor Services, SIMNA; Vice President of Schroder Series Trust, Schroder Global Series Trust and Schroder Capital Funds (Delaware).

Reid Adams

Mr. Reid B. Adams is Chief Legal Officer Secretary, Director of the Company. Associate General Counsel, SIMNA since 2013; formerly, Associate, Ropes & Gray LLP; Assistant Secretary of Schroder Series Trust, Schroder Global Series Trust and Schroder Capital Funds (Delaware) from 2014 to 2017.

Brian Berris

Mr. Brian A. Berris is Independent Director of The Swiss Helvetia Fund, Inc. . He has been Partner, Brown Brothers Harriman & Co. since 1991; Member of the Audit Committee of Brown Brothers Harriman & Co.; Director and Member of the Audit Committee of Brown Brothers Harriman Trust Company (Cayman) Limited; Member of the Pension Investment Committee of Brown Brothers Harriman & Co.

Jean-Marc Boillat

Mr. Jean-Marc Boillat was Independent Director of The Swiss Helvetia Fund, Inc. He is former CEO, Tornos-Bechler S.A., Moutier; Former Ambassador of Switzerland in various countries, including Lebanon, Cyprus, Angola, Mozambique and Argentina.

Jay Calhoun

Mr. Jay S. Calhoun is Independent Director of the Company. Mr. Calhoun currently serves as Treasurer of Carnegie Mellon University, where he is responsible for cash and liquidity management, short-term investment, borrowing and investment support for the University's retirement plans. He also has served as a board member of the Schroder family of mutual funds advised by Schroder Investment Management North America Inc., the Fund's investment adviser. Previously, Mr. Calhoun served for nearly 20 years in senior executive capacities for New York Life Insurance Company and New York Life International, including serving as President and CEO of New York Life Capital Corporation.

Claus Helbig

Dr. Claus Helbig is Independent Director of The Swiss Helvetia Fund, Inc. Dr. Helbig has served as Attorney-at-Law; Member of the Supervisory Board of: Audi AG (Ingolstadt) from 1998 to 2008, Bankhaus August Lenz & Co. AG (Munich) (Chairman) since 2002, GLL Real Estate Partners GmbH (Munich) (Chairman) since 2001, and HCM Capital Management AG (Munich) (Vice-Chairman) from 2004 to 2010; Member of the European Advisory Board of Booz Allen Hamilton from 2003 to 2011; and Member of the Global Advisory Board of Millennium Associates, Zug/CH from 2007 to 2010; Director of Leo Capital Growth SPC (Ireland) since 2007; Director of Societé Horlogère Reconvilier AG, Zug/Suisse since 2011.

R. Clark Hooper

Ms. R. Clark Hooper was Independent Director of The Swiss Helvetia Fund, Inc. Ms. Hooper serves as President of Dumbarton Group LLC (regulatory consulting) from 2003 to 2007; Various positions, including Executive Vice President of Regulatory Policy and Oversight (2002-2003) and Strategic Programs (1992-2002) of the National Association of Securities Dealers, Inc. (currently, Financial Industry Regulatory Authority, Inc.) from 1972 to 2003.

Fred Ricciardi

Mr. Fred J. Ricciardi is Independent Director of the Company. Consultant (investment company services) since 2012; Executive Vice President, The Bank of New York Mellon Corporation (or its predecessors) from 1969 to 2012; Director, BNY International Financing Corp. from 2002 to 2012; Director, Mellon Overseas Investment Corp. from 2009 to 2012; Chairman, AIB/BNY Securities Services, Ltd, Ireland from 1994 to 2004; Director, The Bank of New York Europe, Ltd from 2000 to 2004; Director, BNY Luxembourg from 2002 to 2004; Chairman, Netik Inc. (technology services) from 2004 to 2007