Edition:
United States

Swiss Helvetia Fund Inc (SWZ)

SWZ on New York Consolidated

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2 Dec 2016
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Summary

Name Age Since Current Position

Samuel Witt

79 2006 Independent Chairman of the Board

Mark Hemenetz

58 2014 President, Principal Executive Officer

Alan Mandel

57 2014 Principal Financial Officer, Treasurer

Stephen DeTore

63 2014 Chief Compliance Officer

Carin Muhlbaum

52 2014 Vice President

William Sauer

51 2014 Vice President

David Marshall

42 2014 Assistant Treasurer

Scott Rhodes

55 2012 Assistant Treasurer

Abby Ingber

52 2014 Secretary, Chief Legal Officer

Angel Lanier

53 2014 Assistant Secretary

Heather Melito-Dezan

37 2014 Assistant Secretary

Margaret Cannella

2016 Director

Brian Berris

72 2012 Independent Director

David Bock

71 2010 Independent Director

Jean-Marc Boillat

72 2005 Independent Director

Richard Brealey

78 2009 Independent Director

Claus Helbig

73 2008 Independent Director

R. Clark Hooper

68 2007 Independent Director

Biographies

Name Description

Samuel Witt

Mr. Samuel B. Witt, III, Esq., is Independent Chairman of the Board of The Swiss Helvetia Fund, Inc. Mr. Witt has been served as a Director since the Fund’s initial public offering in 1987. During his tenure, he served as Chair of the Audit Committee for over 10 years and has served as the Chairman of the Board since 2006. Mr. Witt has an legal and business background, including past service as European Counsel and Director of Finance for a U.S. publicly-traded company and as General Counsel of the International and U.S. Businesses of a Fortune 100 public company. He has traveled, lived and worked overseas, including Europe. Mr. Witt also has been active in public service, including past board memberships with the George C. Marshall Foundation, The University of Virginia Law School and the Board of Visitors of the Virginia Military Institute.

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).

Alan Mandel

Mr. Alan M. Mandel is Treasurer and Principal Financial Officer of The Swiss Helvetia Fund, Inc. He is Head of Fund Administration, SIMNA; Member of Board of Managers, SFA; Treasurer and Principal Financial and Accounting Officer of Schroder Series Trust, Schroder Global Series Trust and Schroder Capital Funds (Delaware).

Stephen DeTore

Mr. Stephen M. DeTore is Chief Compliance Officer of The Swiss Helvetia Fund, Inc. .He is a Chief Compliance Officer, SIMNA; Member of Board of Managers, SFA; Chief Compliance Officer of Schroder Series Trust, Schroder Global Series Trust and Schroder Capital Funds (Delaware).

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).

David Marshall

Mr. David Marshall is Assistant Treasurer 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.

Scott Rhodes

Mr. Scott Rhodes is Assistant Treasurer of The Swiss Helvetia Fund, Inc. He has been Senior Vice President, Citi (since 2010); Manager, Treasurer of Mutual Funds, and Broker-Dealer Treasurer and Financial & Operations Principal, GE Asset Management, Inc. (2005 to 2010).

Abby Ingber

Mr. Abby L. Ingber is Chief Legal Officer and Secretary of The Swiss Helvetia Fund, Inc. . He has been Deputy General Counsel and Managing Lawyer, SIMNA; Member of Board of Managers, SFA; Chief Legal Officer and Secretary/Clerk of Schroder Series Trust, Schroder Global Series Trust and Schroder Capital Funds (Delaware).

Angel Lanier

Mr. Angel Lanier is Assistant Secretary of The Swiss Helvetia Fund, Inc. . He has been Legal Assistant, SIMNA; Assistant Secretary, Schroder Fund Advisors LLC.

Heather Melito-Dezan

Mr. Heather Melito-Dezan is an Assistant Secretary of The Swiss Helvetia Fund, Inc. He is Assistant Vice President, Regulatory Administration, Citi (since 2013).

Margaret Cannella

Ms. Margaret M. Cannella is Director of the Company. She currently is an adjunct professor at Columbia Business School. She is on the Board of Advance Pierre Foods, Watford Reinsurance and the Schroder family of mutual funds advised by Schroder Investment Management North America Inc., the Fund's investment adviser. Ms. Cannella retired in 2009 from JP Morgan after more than 30 years in financial services, where she served, among other positions, as a Managing Director and Head of Global Credit Research and Head of North American Equity and Credit Research.

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.

David Bock

Mr. David R. Bock is Independent Director of The Swiss Helvetia Fund, Inc. He has been a Managing Partner, Federal City Capital Advisors since 1997; Interim CEO, Oxford Analytical, January to June 2010; Executive Vice President and Chief Financial Officer of I-trax, Inc. (health care services) from 2004 to 2008; Managing Director of Lehman Brothers from 1992 to 1995; Executive at The World Bank from 1974 to 1992.

Jean-Marc Boillat

Mr. Jean-Marc Boillat is 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.

Richard Brealey

Prof. Richard Brealey is Independent Director of The Swiss Helvetia Fund, Inc. .Professor Brealey is Emeritus Professor London Business School (LBS); Full-time faculty member LBS from 1968 to 1998; Special Advisor to the Governor of the Bank of England 1998-2001.

Claus Helbig

Dr. Claus Helbig is Independent Director of The Swiss Helvetia Fund, Inc. , since 2008. 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 is 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.