People: Swiss Helvetia Fund Inc (SWZ)

SWZ on New York Consolidated

12.87USD
17 May 2013
Price Change (% chg)

$0.07 (+0.55%)
Prev Close
$12.80
Open
$12.80
Day's High
$12.92
Day's Low
$12.78
Volume
45,101
Avg. Vol
47,725
52-wk High
$12.95
52-wk Low
$9.60

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Summary

Name Age Since Current Position

Samuel Witt

 76 2006 Independent Chairman of the Board

Rudolf Millisits

 53 2012 Chief Executive Officer, Senior Vice President

Alexandre de Takacsy

 82 2009 President, Director

Philippe Comby

 44 2012 Chief Financial Officer, Vice President

Patrick Keniston

 47 2008 Chief Compliance Officer

James Downey

 41 2011 Secretary

Paul Hottinguer

 69 2006 Director

David Bock

 68 2010 Independent Director

Jean-Marc Boillat

 70 2005 Independent Director

Richard Brealey

 75 2009 Independent Director

Claude Frey

 68 1995 Independent Director

Claus Helbig

 70 2008 Independent Director

R. Clark Hooper

 65 2007 Independent Director

Michael Kraynak

 80 2005 Independent Director

Stephen West

 82 1995 Independent Director
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Biographies

Name Description

Samuel Witt

 Mr. Samuel B. Witt, III, Esq., is an Independent Chairman of the Board of Swiss Helvetia Fund Inc. Mr. Witt has 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.

Rudolf Millisits

 Mr. Rudolf Millisits is Chief Executive Officer, Senior Vice President of Swiss Helvetia Fund Inc. He has been Chief Executive Officer and President (since June 2011), Chief Compliance Officer (since October 2004), Director (since December 2000), Chief Operating Officer (since December 1998), Assistant Secretary (since August 1995) and Portfolio Manager and Member of Investment Committee (since September 1994) of HCC; Chairman, Chief Executive Officer and Director (since December 2004), Executive Vice President (from 1994 to 2004) and Assistant Secretary (from 1995 to 2004) of HUS; President and Chief Financial Officer of Hottinger Brothers LLC since 2004; Director of Hottinger Investment Managers S.A. (from April 2008 to July 2011); Director of Hottinger Asset Management AG (Zurich) since February 2008.

Alexandre de Takacsy

 Mr. Alexandre de Takacsy is President, Director of Swiss Helvetia Fund Inc. Mr. de Takacsy has served in various capacities, including his current roles as Director and President of the Fund, since the Fund’s initial public offering in 1987. He has been an integral part of HCC and its affiliates since that time, and currently serves as a Vice Chairman and Director of HCC and as a Senior Advisor to the Hottinger Group.

Philippe Comby

 Mr. Philippe R. Comby is Chief Financial Officer, Vice President of Swiss Helvetia Fund Inc. He has been Director (since September 2005), Senior Vice President (since 2002), First Vice President (from 1998 to 2002), Treasurer (since 1997) and Member of Investment Committee (since 1996) of HCC; Chief Investment Officer and Senior Vice President of Hottinger Brothers LLC since 2004; Director, President and Secretary (since December 2004) and Vice President (until December 2004) of HUS; Director of Spineart SA (since 2011); Director of Hottinger Investment Managers S.A. (from April 2008 to July 2011).

Patrick Keniston

 Mr. Patrick J. Keniston is Chief Compliance Officer of Swiss Helvetia Fund Inc. since 2008. He is Director, Foreside Compliance Services since October 2008; Vice President, Citi Fund Services Ohio, Inc. from 2005 to 2008; Attorney, Citigroup Global Transaction Services from 2001 to 2005.

James Downey

 Mr. James Downey serves as Secretary of Swiss Helvetia Fund Inc., since 2011. He has been Assistant Vice President and Product Manager, Citi Fund Services Ohio, Inc. (since January 2007).

Paul Hottinguer

 Mr. Paul Benjamin Hottinguer is Director of Swiss Helvetia Fund Inc. Mr. Hottinguer has served as a Director of the Fund for over 20 years, including serving as Chairman of the Board for 17 years. He also is a Vice Chairman and Director of the HCC and holds several positions with other companies controlled by the Hottinger Group. Mr. Hottinguer has served as a board member of numerous foreign public and private investment funds during his tenure on the Board.

David Bock

 Mr. David R. Bock is an Independent Director of Swiss Helvetia Fund Inc. Mr. Bock has business and financial experience. He has been a Managing Partner of Federal City Capital Advisors, LLC since 1997, and also served as a Managing Director of Lehman Brothers from 1992 to 1995. Mr. Bock also has economic and monetary policy experience, having served as an Executive at The World Bank for almost 20 years. Mr. Bock also has board experience, having served on the boards of public and private investment and operating companies, including the Pioneer Funds, New York Mortgage Trust and I-trax, Inc. over the last 10 years.

Jean-Marc Boillat

 Mr. Jean-Marc Boillat is an Independent Director of Swiss Helvetia Fund Inc., since 2005. He is Former CEO, Tornos-Bechler S.A., Moutier; Former Ambassador of Switzerland in various countries, including Lebanon, Cyprus, Angola, Mozambique and Argentina. He is Member of the Governance/ Nominating Committee (2005) and the Pricing Committee (2009 to 2011).

Richard Brealey

 Professor Richard A. Brealey is an Independent Director of Swiss Helvetia Fund Inc. Professor Brealey’s economic background includes serving as a full time faculty member of the London Business School for thirty years and also serving as a Special Advisor to the Governor of the Bank of England from 1998 to 2001. He has served on the Investment Committees of Oxford University, the London Business School and the British Academy. He is a published author in the international finance area and provides witness testimony and consults on valuation matters and investment policy. He previously served as a board member of Sun Life Assurance Company of Canada UK Holdings PLC and Tokai Derivatives Products Ltd.

Claude Frey

 Mr. Claude W. Frey is an Independent Director of Swiss Helvetia Fund Inc., since 1995. Mr. Frey has served as a Director of the Fund for over 15 years. Prior to that time, he was actively involved in the Swiss government and government matters. For almost 15 years, he served as a member of Swiss Parliament, including serving as its President. He also served as Vice President or President of the Swiss National Committee on Foreign Affairs for five years. He continues to serve as a Swiss representative to the Executive Board of the North-South Centre of the Council of Europe, an autonomous agency of the Council of Europe. Mr. Frey also serves as a board member in the private sector, including serving on the boards of two Swiss engineering/manufacturing companies (Infra Tunnel SA, Beton Frais SA) and a private wealth/asset management company (Dexia Banque Privee).

Claus Helbig

 Dr. Claus Helbig is an Independent Director of Swiss Helvetia Fund Inc., since 2008. Dr. Helbig has served as a director or supervisory board member of several multi-national corporations or their affiliated entities, including Audi AG, Booz Allen Hamilton and GLL Real Estate Partners, a Munich-based real estate funds management group. He formerly served as a supervisory board member of CLAAS KgaA mbH, a German-based international agricultural engineering company. He also has a legal degree from the University of Geneva.

R. Clark Hooper

 Ms. R. Clark Hooper is an Independent Director of Swiss Helvetia Fund Inc., since 2007. Ms. Hooper has regulatory experience in the area of registered investment companies. She held various positions at the National Association of Securities Dealers, Inc. (formerly, the NASD) for over 30 years. During that time, she served as Executive Vice President of Regulatory Policy and Oversight and had responsibility for directing policies, rulemaking and regulation of the underwriting and distribution of registered investment companies. She also has served as a board member of various funds in the American Funds complex since 2003. Ms. Hooper also serves as the Chair of the Fund’s Audit Committee.

Michael Kraynak

 Mr. Michael Kraynak, Jr., will no longer serve as an Independent Director of Swiss Helvetia Fund Inc., effective June 20, 2012. He was Member of the Audit Committee (2006), the Governance/ Nominating Committee (2005) and the Pricing Committee (2008 to 2011). He is Partner of Brown Brothers Harriman & Co.; Member, BBH Trust Company Investment Committee.

Stephen West

 Mr. Stephen K. West, Esq., will no longer serve as an Independent Director of Swiss Helvetia Fund Inc., effective June 20, 2012. He was Chairman of the Pricing Committee (2008) and the Governance/ Nominating Committee (2011 and Member since 2002); Member of the Audit Committee (1996 to 2004 and since 2006). He is Senior Counsel of Sullivan & Cromwell LLP (law firm) since 1997, including counsel to the Fund’s Non-Interested Directors; Partner of Sullivan & Cromwell LLP from 1964 to 1996.

Insider Trading

Name Shares Traded Price

BERRIS BRIAN A

 5,000 $10.81

BOILLAT JEAN MARC

 94 $11.10

WEST STEPHEN K

 1,000 $10.92

WEST STEPHEN K

 1,000 $10.89

WEST STEPHEN K

 1,000 $10.89

WEST STEPHEN K

 1,000 $10.92

WEST STEPHEN K

 1,000 $10.92

WEST STEPHEN K

 1,000 $10.89

WEST STEPHEN K

 1,000 $10.89

WEST STEPHEN K

 1,000 $11.01

WEST STEPHEN K

 1,600 $11.00

WEST STEPHEN K

 9,100 $11.00

BREALEY RICHARD A

 770 $12.47

BOILLAT JEAN MARC

 1,600 $14.01
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