p15-0021_8k.htm
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
CURRENT REPORT
PURSUANT TO SECTION 13 OR 15(D) OF THE
SECURITIES EXCHANGE ACT OF 1934
Date of Report (Date of earliest event reported): January 22, 2015
THE SWISS HELVETIA FUND, INC.
(Exact Name of Registrant as Specified in its Charter)
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Delaware
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005-53317
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13 341 0232
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(State or other jurisdiction of
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(Commission File Number)
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(I.R.S. Employer
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incorporation or organization)
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Identification No.)
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875 Third Avenue, 22nd Floor
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New York, New York
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10021
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(Address of Principal Executive Offices)
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(Zip Code)
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Registrant's telephone number, including area code: 1-800-730-2932
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Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
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Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
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Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
Item 7.01. Regulation FD Disclosure.
On January 22, 2015, The Swiss Helvetia Fund, Inc. (the "Fund") issued a press release announcing an open conference call during which portfolio management will discuss the market effects of the recent actions of the Swiss National Bank with respect to the Swiss franc. A copy of the press release is furnished as Exhibit 99.1 to this report, pursuant to Item 7.01 and Regulation FD.
In accordance with General Instruction B.2 of Form 8-K, the information set forth in this Item 7.01, including Exhibit 99.1, is furnished pursuant to Item 7.01 and shall not be deemed "filed" for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or otherwise subject to the liabilities under that section, nor shall such information be deemed incorporated by reference in any filing under the Securities Act of 1933, as amended (the "Securities Act"), or the Exchange Act, except as shall be expressly set forth by specific reference in such a filing. The information set forth in this Item 7.01 shall not be deemed an admission as to the materiality of any information in this report on Form 8-K that is required to be disclosed solely to satisfy the requirements of Regulation FD.
Caution Concerning Forward-Looking Statements
Statements included in this Current Report on Form 8-K (including information incorporated by reference herein) and other statements that the Fund may make may contain "forward-looking statements" within the meaning of Section 27A of the Securities Act and Section 21E of the Exchange Act. Statements other than statements of historical facts included in this press release may constitute forward-looking statements and are not guarantees of future performance or results and involve a number of risks and uncertainties. Actual results may differ materially from those in the forward-looking statements as a result of a number of factors, including those described from time to time in filings with the Securities and Exchange Commission. The Fund undertakes no duty to update any forward-looking statement made herein. All forward-looking statements speak only as of the date of the press release filed as Exhibit 99.1 to this report.
Item 9.01. Exhibits.
(d) Exhibit.
99.1—Press Release of The Swiss Helvetia Fund, Inc. dated January 22, 2015
SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
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THE SWISS HELVETIA FUND, INC.
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Date: January 22, 2015
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By: /s/ Abby L. Ingber
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Name: Abby L. Ingber
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Title: Secretary
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EXHIBIT INDEX
The following exhibits are filed herewith:
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Exhibit
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Exhibit Description
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99.1
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Press Release of The Swiss Helvetia Fund, Inc. dated January 22, 2015
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