Tri-Continental Corporation has as target long-term capital growth and current income with a portfolio consisting primarily of equities and the flexibility to invest across a company's capital structure.

Company profile
Ticker
TY, XTYCX
Exchange
Website
CEO
Christopher Petersen
Employees
Incorporated
Location
Fiscal year end
Former names
TRI CONTINENTAL CORP
SEC CIK
Corporate docs
IRS number
135441850
TY stock data
Funds
Series | Ticker | %Monthly Return ? | $Assets | #Holdings | As of | ||
---|---|---|---|---|---|---|---|
Tri-Continental Corporation | – | -3.16 | -1.41 | 1.81 | 1.96B | 230 | Mar 2022 |
Calendar
15 Mar 22
12 Aug 22
31 Dec 22
Recent insider trades
Date | Owner | Security | Transaction | Code | Indirect | 10b5-1 | $Price | #Shares | $Value | #Remaining |
---|---|---|---|---|---|---|---|---|---|---|
14 Mar 22 | Grace Lee | Tri-Continental Corporation Common Stock | Buy | Acquire P | No | No | 29.15 | 2,000 | 58.3K | 2,000 |
6 May 21 | Daniel Beckman | Tri-Continental Corporation Common Stock | Buy | Acquire P | No | No | 34 | 325 | 11.05K | 325 |
Institutional ownership, Q1 2022
13.7% owned by funds/institutions
13F holders | Current |
---|---|
Total holders | 126 |
Opened positions | 11 |
Closed positions | 24 |
Increased positions | 43 |
Reduced positions | 36 |
13F shares | Current |
---|---|
Total value | 906.65M |
Total shares | 7.43M |
Total puts | 0 |
Total calls | 0 |
Total put/call ratio | – |
Largest owners | Shares | Value |
---|---|---|
Bard Financial Services | 608.88K | $18.78M |
Parametric Portfolio Associates | 537.67K | $16.58M |
Lazard Asset Management | 451.75K | $13.93M |
Blue Bell Private Wealth Management | 446.26K | $13.76M |
Relative Value Partners | 385.84K | $11.9M |
Shaker Financial Services | 336.69K | $10.38M |
Raymond James & Associates | 298.01K | $9.19M |
MS Morgan Stanley | 296.61K | $9.15M |
Cornerstone Advisors | 289.52K | $9.22M |
Raymond James Financial Services Advisors | 287.65K | $8.87M |
Financial reports
N-CEN
Annual report (registered investment company)
15 Mar 22
N-CSR
Certified annual shareholder report (management investment company)
3 Mar 22
N-CSRS
Certified semi-annual shareholder report (management investment company)
31 Aug 21
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
Current reports
8-K
HOLDS 92nd ANNUAL MEETING OF STOCKHOLDERS
21 Jun 22
8-K
Declares Second Quarter Distribution
19 May 22
8-K
92nd ANNUAL MEETING OF STOCKHOLDERS
11 Mar 22
8-K
Declares First Quarter Distribution
4 Mar 22
8-K
Declares Fourth Quarter Distribution
19 Nov 21
8-K
Declares Third Quarter Distribution
3 Sep 21
8-K
HOLDS 91st ANNUAL MEETING OF STOCKHOLDERS
11 Jun 21
8-K
Declares Second Quarter Distribution
21 May 21
8-K
91st ANNUAL MEETING OF STOCKHOLDERS
22 Mar 21
8-K
Declares First Quarter Distribution
5 Mar 21
Registration and prospectus
POS EX
Additional exhibits for listing
2 Jun 22
424B3
Prospectus supplement
28 Mar 22
424B3
Prospectus supplement
8 Jul 21
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
Proxies
N-PX
Annual report of proxy voting record
24 Aug 21
DEFA14A
Additional proxy soliciting materials
4 Jun 21
N-PX
Annual report of proxy voting record
21 Aug 20
DEFA14A
Additional proxy soliciting materials
7 Apr 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
Other
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
NPORT-P
Tri-Continental Corporation (Mar 2022 report)
25 May 22
4
TRI-CONTINENTAL / Grace Lee ownership change
14 Mar 22
NPORT-P
Tri-Continental Corporation (Dec 2021 report)
24 Feb 22
3
TRI-CONTINENTAL / DOUGLAS A HACKER ownership change
4 Jan 22
NPORT-P
Tri-Continental Corporation (Sep 2021 report)
23 Nov 21
NPORT-P
Tri-Continental Corporation (Jun 2021 report)
25 Aug 21
3
TRI-CONTINENTAL / Oleg Nusinzon ownership change
22 Jun 21
NPORT-P/A
Tri-Continental Corporation (Mar 2021 report)
25 May 21
NPORT-P
Tri-Continental Corporation (Mar 2021 report)
25 May 21
4
TRI-CONTINENTAL / Daniel Beckman ownership change
14 May 21
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