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TY Tri-Continental Corp.

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
Exchange
MUTUAL
Website
www.tricontinental.com
CEO
Christopher O. Petersen
Employees
Incorporated in
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

(
)

Calendar

12 Mar 20
5 Jul 20
31 Dec 20

News

Recent insider trades

TY insider ownership history Insider history
Date Owner Security Transaction Code 10b5-1 $Price #Shares $Value #Remaining
2 Mar 20 David L King Tri-Continental Corporation Common Stock Buy Aquire P No 26.37 260 6.86K 148,005
2 Mar 20 David L King Tri-Continental Corporation Common Stock Buy Aquire P No 26.43 109 2.88K 150,000
2 Mar 20 David L King Tri-Continental Corporation Common Stock Buy Aquire P No 26.45 247 6.53K 149,854
2 Mar 20 David L King Tri-Continental Corporation Common Stock Buy Aquire P No 26.46 32 846.72 149,607
2 Mar 20 David L King Tri-Continental Corporation Common Stock Buy Aquire P No 26.395 10 263.95 149,575
2 Mar 20 David L King Tri-Continental Corporation Common Stock Buy Aquire P No 26.28 247 6.49K 149,565
2 Mar 20 David L King Tri-Continental Corporation Common Stock Buy Aquire P No 26.29 822 21.61K 149,318
2 Mar 20 David L King Tri-Continental Corporation Common Stock Buy Aquire P No 26.5 51 1.35K 148,496
2 Mar 20 David L King Tri-Continental Corporation Common Stock Buy Aquire P No 26.6 54 1.44K 148,445
2 Mar 20 David L King Tri-Continental Corporation Common Stock Buy Aquire P No 26.19 562 14.72K 146,262
Data from 3, 4 and 5 filings. Stock values as filed, not updated for current price.

Institutional ownership Q1 2020

TY institutional ownership history Ownership history
10.5% owned by funds/institutions
13F holders
 Current Prev Q Change
Total holders 94 110 -14.5%
Opened positions 10 17 -41.2%
Closed positions 26 9 +188.9%
Increased positions 25 44 -43.2%
Reduced positions 25 15 +66.7%
13F shares
 Current Prev Q Change
Total value 615.95M 826.34M -25.5%
Total shares 5.66M 5.48M +3.1%
Total puts 0 0
Total calls 0 0
Total put/call ratio – – –
Largest owners
 Shares Value Change
Relative Value Partners 498.65K $10.44M -10.3%
Blue Bell Private Wealth Management 496.46K $10.38M -6.6%
Lazard Asset Management 433.98K $9.07M +1.2%
Raymond James Financial Services Advisors 413.85K $8.65M -5.1%
Dubuque Bank & Trust 340.71K $7.12M +7.3%
Raymond James & Associates 283.93K $5.94M +0.7%
UBS UBS 280.31K $5.86M -3.1%
MS Morgan Stanley 257.23K $5.38M +9.0%
BAC Bank of America 230.1K $4.81M +32.2%
Parametric Portfolio Associates 227.93K $4.77M +10.8%
Largest transactions
 Shares Bought/sold Change
Shaker Financial Services 209.81K +141.17K +205.7%
Wolverine Asset Management 99.22K +99.22K NEW
Cornerstone Advisors 0 -90.98K EXIT
WFC Wells Fargo & Co. 223.87K -83.91K -27.3%
Karpus Management 76.15K +76.15K NEW
Relative Value Partners 498.65K -57.03K -10.3%
BAC Bank of America 230.1K +56.01K +32.2%
Advisor 52.95K +52.95K NEW
Stolper 36.91K +36.91K NEW
Blue Bell Private Wealth Management 496.46K -35.11K -6.6%
Data from 13F filings. Stock values as filed, not updated for current price. Long positions only.

Financial reports

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)
31 Aug 18
N-CSR
Certified annual shareholder report (management investment company)
7 Mar 18

Current reports

View all
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
8-K
Declares Fourth Quarter Distribution
22 Nov 19
8-K
Declares Third Quarter Distribution
6 Sep 19
8-K
Declares Second Quarter Distribution
24 May 19
8-K
HOLDS 89th ANNUAL MEETING OF STOCKHOLDERS
16 Apr 19

Registration and prospectus

POS EX
Additional exhibits for listing
23 Dec 14
SC TO-I/A
Issuer tender offer statement (amended)
13 Feb 09
SC TO-I/A
Issuer tender offer statement (amended)
12 Feb 09
SC TO-I
Issuer tender offer statement
13 Jan 09
SC TO-I/A
Issuer tender offer statement (amended)
15 Dec 08
SC TO-I/A
Issuer tender offer statement (amended)
12 Dec 08
SC TO-I/A
Issuer tender offer statement (amended)
26 Nov 08
SC TO-I
Issuer tender offer statement
12 Nov 08

Proxies

View all
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
21 Aug 18
DEF 14A
Definitive proxy
5 Mar 18
DEF 14A
Definitive proxy
8 Mar 17
DEF 14A
Definitive proxy
15 Mar 16
DEF 14A
Definitive proxy
4 Mar 15
DEFR14A
Revised proxy
5 Mar 14

Other

View all
EFFECT
Notice of effectiveness
30 Apr 20
EFFECT
Notice of effectiveness
1 May 19
EFFECT
Notice of effectiveness
1 May 18
CORRESP
Correspondence with SEC
27 Apr 18
EFFECT
Notice of effectiveness
28 Apr 17
EFFECT
Notice of effectiveness
29 Apr 16
EFFECT
Notice of effectiveness
29 Apr 16
CORRESP
Correspondence with SEC
28 Apr 16
EFFECT
Notice of effectiveness
30 Apr 15
CORRESP
Correspondence with SEC
28 Apr 15

Ownership

View all
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
3
TRI-CONTINENTAL / Jonathan C Cleasby ownership change
1 Apr 20
4
TRI-CONTINENTAL / DAVID L KING ownership change
3 Mar 20
4
TRI-CONTINENTAL / DAVID L KING ownership change
3 Mar 20
NPORT-P
Tri-Continental Corporation (Dec 2019 report)
25 Feb 20
4
TRI-CONTINENTAL / Pamela G Carlton ownership change
4 Feb 20
3
TRI-CONTINENTAL / Daniel Beckman ownership change
7 Jan 20