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TY Tri-Continental

Tri-Continental Corp. is a diversified, closed-end management investment company, which invests primarily for the longer term. Its objective is to produce future growth of both capital and income while providing reasonable current income. The company was founded on January 14, 1929 and is headquartered in Boston, MA.

Company profile

Ticker
TY, XTYCX
Exchange
NYSE
Website
www.tricontinental.com
CEO
Christopher Petersen
Employees
Incorporated
Maryland
Location
Massachusetts
Fiscal year end
Dec 31
Sector
Miscellaneous > Investment Trusts/Mutual Funds
Former names
TRI CONTINENTAL CORP
SEC CIK
0000099614
Corporate docs
IRS number
135441850

TY stock data

(
)

News

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Stocks That Hit 52-Week Highs On Friday
16 Apr 21
Friday's morning session saw 420 companies set new 52-week highs.
Stocks That Hit 52-Week Highs On Monday
12 Apr 21
During Monday's morning session, 212 companies made new 52-week highs.
Stocks That Hit 52-Week Highs On Friday
9 Apr 21
During the morning session on Friday, 178 stocks hit new 52-week highs.
Stocks That Hit 52-Week Highs On Thursday
8 Apr 21
Stocks That Hit 52-Week Highs On Tuesday
6 Apr 21

Press releases

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Tri-Continental Corporation Announcements Regarding 91st Annual Meeting of Stockholders
22 Mar 21
The Board of Directors (the Board) of Tri-Continental Corporation (the Corporation) (NYSE: TY) today announced that the Corporation's 91st Annual Meeting of Stockholders will be held virtually on June 11, 2021 (the
Tri-Continental Corporation Declares First Quarter Distribution
5 Mar 21
Tri-Continental Corporation (the "Corporation") (NYSE: TY) today declared a first quarter ordinary income distribution of $0.2455 per share of Common Stock and $0.6250 per share of Preferred Stock. Distributions on

Funds

Data from SEC filings
Series Ticker %Monthly Return ? $Assets As of
Tri-Continental Corporation – -1.81 10.89 4.21 1.75B Dec 2020

Calendar

12 Mar 21
17 Apr 21
31 Dec 21

Recent insider trades

TY insider ownership history Insider history
Date Owner Security Transaction Code Indirect 10b5-1 $Price #Shares $Value #Remaining
17 Nov 20 Christopher O. Petersen Tri-Continental Corporation Common Stock (TY) Buy Aquire P No No 28.4043 100 2.84K 100
Data from 3, 4 and 5 filings. Stock values as filed, not updated for current price.

Institutional ownership Q4 2020

TY institutional ownership history Ownership history

Data for the last complete 13F reporting period. To see the most recent changes to ownership, click the ownership history button above.

11.0% owned by funds/institutions
13F holders
 Current Prev Q Change
Total holders 103 97 +6.2%
Opened positions 17 8 +112.5%
Closed positions 11 13 -15.4%
Increased positions 29 30 -3.3%
Reduced positions 32 27 +18.5%
13F shares
 Current Prev Q Change
Total value 1.04B 1.17B -11.4%
Total shares 5.89M 5.42M +8.7%
Total puts 0 0
Total calls 0 0
Total put/call ratio – – –
Largest owners
 Shares Value Change
Bard Financial Services 533.34K $15.72M NEW
Blue Bell Private Wealth Management 484.47K $14.28M -1.1%
Relative Value Partners 454.22K $13.39M -2.4%
WFC Wells Fargo & Co. 451.05K $13.29M +86.4%
Lazard Asset Management 433.08K $12.76M 0.0%
Raymond James Financial Services Advisors 383.77K $11.31M -5.1%
Dubuque Bank & Trust 314.4K $9.27M -3.4%
MS Morgan Stanley 308.94K $9.1M -0.8%
Raymond James & Associates 238.66K $7.03M -9.0%
BAC Bank Of America 213.77K $6.3M +5.4%
Largest transactions
 Shares Bought/sold Change
Bard Financial Services 533.34K +533.34K NEW
WFC Wells Fargo & Co. 451.05K +209.13K +86.4%
Shaker Financial Services 32.49K -136.77K -80.8%
Karpus Management 0 -50.11K EXIT
Matisse Capital 0 -50.07K EXIT
Cornerstone Advisory 0 -41.62K EXIT
SF Stifel Financial 164.78K +38.87K +30.9%
UBS UBS Group AG - Registered Shares 150.79K -23.56K -13.5%
Raymond James & Associates 238.66K -23.52K -9.0%
Raymond James Financial Services Advisors 383.77K -20.8K -5.1%
Data from 13F filings. Stock values as filed, not updated for current price. Long positions only.

Financial reports

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N-CEN
Annual report (registered investment company)
12 Mar 21
N-CSR
Certified annual shareholder report (management investment company)
2 Mar 21
N-CSRS
Certified semi-annual shareholder report (management investment company)
3 Sep 20
N-CEN
Annual report (registered investment company)
12 Mar 20
N-CSR
Certified annual shareholder report (management investment company)
4 Mar 20
N-CSRS
Certified semi-annual shareholder report (management investment company)
4 Sep 19
N-CEN/A
Annual report (registered investment company) (amended)
29 May 19
N-CEN
Annual report (registered investment company)
15 Mar 19
N-CSR
Certified annual shareholder report (management investment company)
6 Mar 19
N-CSRS
Certified semi-annual shareholder report (management investment company)
30 Aug 18

Current reports

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8-K
91st ANNUAL MEETING OF STOCKHOLDERS
22 Mar 21
8-K
Declares First Quarter Distribution
5 Mar 21
8-K
Declares Fourth Quarter Distribution
20 Nov 20
8-K
Declares Third Quarter Distribution
4 Sep 20
8-K
HOLDS 90th ANNUAL MEETING OF STOCKHOLDERS AND Announces New Director
15 Jun 20
8-K
Declares Second Quarter Distribution
22 May 20
8-K
Tri-continental Corporation Announces Postponement of
7 Apr 20
8-K
Declares First Quarter Distribution
6 Mar 20
8-K
90th ANNUAL MEETING OF STOCKHOLDERS
5 Feb 20
8-K
Announces New Director and RECORD AND MEETING DATES FOR 90th ANNUAL MEETING OF STOCKHOLDERS
12 Dec 19

Registration and prospectus

POS EX
Additional exhibits for listing
22 Dec 14
SC TO-I/A
Issuer tender offer statement (amended)
12 Feb 09
SC TO-I/A
Issuer tender offer statement (amended)
11 Feb 09
SC TO-I
Issuer tender offer statement
12 Jan 09
SC TO-I/A
Issuer tender offer statement (amended)
14 Dec 08
SC TO-I/A
Issuer tender offer statement (amended)
11 Dec 08
SC TO-I/A
Issuer tender offer statement (amended)
25 Nov 08
SC TO-I
Issuer tender offer statement
11 Nov 08

Proxies

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N-PX
Annual report of proxy voting record
21 Aug 20
DEFA14A
Additional proxy soliciting materials
7 Apr 20
DEF 14A
Definitive proxy
6 Mar 20
N-PX
Annual report of proxy voting record
22 Aug 19
DEF 14A
Definitive proxy
1 Mar 19
N-PX
Annual report of proxy voting record
20 Aug 18
DEF 14A
Definitive proxy
4 Mar 18
N-PX
Annual report of proxy voting record
23 Aug 17
DEF 14A
Definitive proxy
7 Mar 17
N-PX
Annual report of proxy voting record
24 Aug 16

Other

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EFFECT
Notice of effectiveness
29 Apr 20
CORRESP
Correspondence with SEC
28 Apr 20
CORRESP
Correspondence with SEC
13 Apr 20
EFFECT
Notice of effectiveness
1 May 19
EFFECT
Notice of effectiveness
1 May 18
CORRESP
Correspondence with SEC
26 Apr 18
EFFECT
Notice of effectiveness
27 Apr 17
EFFECT
Notice of effectiveness
28 Apr 16
EFFECT
Notice of effectiveness
28 Apr 16
CORRESP
Correspondence with SEC
27 Apr 16

Ownership

View all
3
TRI-CONTINENTAL / Gene R Tannuzzo ownership change
5 Mar 21
NPORT-P
Tri-Continental Corporation (Dec 2020 report)
24 Feb 21
NPORT-P
Tri-Continental Corporation (Sep 2020 report)
24 Nov 20
4
TRI-CONTINENTAL / Christopher O. Petersen ownership change
19 Nov 20
3
TRI-CONTINENTAL / Grace Lee ownership change
5 Oct 20
NPORT-P
Tri-Continental Corporation (Jun 2020 report)
26 Aug 20
3
TRI-CONTINENTAL / Brian M. Engelking ownership change
25 Jun 20
3
TRI-CONTINENTAL / Sandra Yeager ownership change
15 Jun 20
NPORT-P
Tri-Continental Corporation (Mar 2020 report)
28 May 20
3
TRI-CONTINENTAL / Raghavendran Sivaraman ownership change
13 Apr 20

Reddit threads

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