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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Tri Continental Corp | NYSE:TY | NYSE | Common Stock |
Price Change | % Change | Share Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|
0.27 | 0.88% | 30.80 | 30.865 | 30.68 | 30.70 | 23,206 | 22:24:13 |
THE SECURITIES ACT OF 1933 | ☒ |
Pre-Effective Amendment No. ___ | ☐ |
Post-Effective Amendment No. 2 | ☒ |
THE INVESTMENT COMPANY ACT OF 1940 | ☒ |
Amendment No. 66 | ☒ |
Daniel
J. Beckman c/o Columbia Management Investment Advisers, LLC 290 Congress Street Boston, Massachusetts 02210 |
Ryan
C. Larrenaga, Esq. c/o Columbia Management Investment Advisers, LLC 290 Congress Street Boston, Massachusetts 02210 |
Exhibit
Number |
Exhibit Description | Filed
Herewith or Incorporated by Reference |
Information About the Filing that Includes the Document Incorporated by Reference | ||||
Registrant
that Made the Filing |
File
No. of Such Registrant |
Type
of Filing |
Exhibit
of Document in that Filing |
Filing
Date | |||
(a) | Amended and Restated Charter of the Registrant | Incorporated by Reference | Tri-Continental Corporation | 333-50295 | Registration Statement on Form N-2 | 2a | 4/16/1998 |
(b) | Amended and Restated By-laws of the Registrant | Incorporated by Reference | Tri-Continental Corporation | 333-104669 | Post-Effective Amendment #19 on Form N-2 | (b) | 3/14/2016 |
(c) | Not applicable | ||||||
(d)(1) | Specimen certificates of Common Stock | Incorporated by Reference | Tri-Continental Corporation | Registration Statement on Form N-2 | 3/6/1981 | ||
(d)(2) | Specimen certificates of $2.50 Cumulative Preferred Stock | Incorporated by Reference | Tri-Continental Corporation | Registration Statement on Form N-2 | 3/6/1981 | ||
(d)(3) | Specimen of Warrant of the Registrant | Incorporated by Reference | Tri-Continental Corporation | 333-104669 | Post-Effective Amendment #12 on Form N-2 | (d)(3) | 4/9/2013 |
(d)(4) | Form of Subscription Certificate Subscription Right for shares of Common Stock | Incorporated by Reference | Tri-Continental Corporation | Post-Effective Amendment on Form N-2 | 9/17/1992 | ||
(d)(5) | The Registrant’s Charter is the constituent instrument defining the rights of the $2.50 Cumulative Preferred Stock, par value $50, and the Common Stock of the Registrant | Incorporated by Reference | Tri-Continental Corporation | 333-50295 | Registration Statement on Form N-2 | 2a | 4/16/1998 |
(e) | Registrant’s Automatic Dividend Investment and Cash Purchase Plan is set forth in Registrant’s Prospectus which is filed as Part A of this Registration Statement | ||||||
(f) | Not applicable | ||||||
(g) | Management Agreement between the Registrant and Columbia Management Investment Advisers, LLC | Incorporated by Reference | Tri-Continental Corporation | 333-104669 | Post-Effective Amendment #20 on Form N-2 | (g) | 4/28/2016 |
(h) | Not Applicable | ||||||
(i) | Deferred Compensation Plan, adopted as of December 31, 2020 | Incorporated by Reference | Columbia Funds Series Trust II | 333-131683 | Post-Effective Amendment #218 on Form N-1A | (f) | 2/25/2021 |
Exhibit
Number |
Exhibit Description | Filed
Herewith or Incorporated by Reference |
Information About the Filing that Includes the Document Incorporated by Reference | ||||
Registrant
that Made the Filing |
File
No. of Such Registrant |
Type
of Filing |
Exhibit
of Document in that Filing |
Filing
Date | |||
(j) | Second Amended and Restated Master Global Custody Agreement the Registrant and JPMorgan Chase Bank, N.A. | Incorporated by Reference | Columbia Funds Series Trust | 333-89661 | Post-Effective Amendment #93 on Form N-1A | (g)(3) | 5/27/2011 |
(k)(1) | Stockholder Service Agent Agreement, dated March 1, 2016, between the Registrant and Columbia Management Investment Services Corp. | Incorporated by Reference | Tri-Continental Corporation | 333-104669 | Post-Effective Amendment #19 on Form N-2 | (k)(2) | 3/14/2016 |
(k)(1)(i) | Schedule A, dated July 1, 2021, and Schedule B to the Stockholder Service Agent Agreement, dated March 1, 2016, between the Registrant and Columbia Management Investment Services Corp. | Filed Herewith | Tri-Continental Corporation | 333-255533 | Post-Effective Amendment #2 on Form N-2 | (k)(1)(i) | 6/2/2022 |
(k)(2) | Master InterFund Lending Agreement, dated May 1, 2018 | Incorporated by Reference | Columbia Funds Series Trust II | 333-131683 | Post-Effective Amendment #179 on Form N-1A | (h)(11) | 5/25/2018 |
(k)(2)(i) | Schedule A and Schedule B, effective December 7, 2021, to the Master Inter-Fund Lending Agreement dated May 1, 2018 | Incorporated by Reference | Columbia Funds Series Trust II | 333-131683 | Post-Effective Amendment #227 on Form N-1A | (h)(9)(i) | 12/7/2021 |
(k)(3) | Fund of Funds Investment Agreement, dated January 24, 2022, between First Trust Portfolios L.P. and Tri-Continental Corporation and Columbia Seligman Premium Technology Growth Fund | Filed Herewith | Tri-Continental Corporation | 333-255533 | Post-Effective Amendment #2 on Form N-2 | (k)(3) | 6/2/2022 |
(k)(4) | Fund of Funds Investment Agreement, dated January 24, 2022, between First Trust CEF Income Opportunity ETF and Tri-Continental Corporation and Columbia Seligman Premium Technology Growth Fund | Filed Herewith | Tri-Continental Corporation | 333-255533 | Post-Effective Amendment #2 on Form N-2 | (k)(4) | 6/2/2022 |
(l) | Opinion and Consent of Counsel | Incorporated by Reference | Tri-Continental Corporation | 333-236947 | Registration Statement on Form N-2 | (l) | 3/6/2020 |
(m) | Not Applicable | ||||||
(n) | Consent of Independent Registered Public Accounting Firm: Not Applicable | ||||||
(o) | Not Applicable | ||||||
(p) | Not Applicable | ||||||
(q)(1) | The Columbia Threadneedle Investments SIMPLE Individual Retirement Custodial Account Kit | Incorporated by Reference | Tri-Continental Corporation | 333-255533 | Post-Effective Amendment #1 on Form N-2 | (q)(1) | 4/27/2021 |
(q)(2) | The Columbia Threadneedle Investments Traditional IRA, Roth IRA and SEP IRA Kit | Incorporated by Reference | Tri-Continental Corporation | 333-255533 | Post-Effective Amendment #1 on Form N-2 | (q)(2) | 4/27/2021 |
(q)(3) | Tri-Continental Corporation Authorization Form | Incorporated by Reference | Tri-Continental Corporation | 333-255533 | Post-Effective Amendment #1 on Form N-2 | (q)(3) | 4/27/2021 |
(q)(4) | Tri-Continental Corporation Address Change Form | Incorporated by Reference | Tri-Continental Corporation | 333-255533 | Post-Effective Amendment #1 on Form N-2 | (q)(4) | 4/27/2021 |
(q)(5) | Tri-Continental Corporation IRA Distribution Request Form | Incorporated by Reference | Tri-Continental Corporation | 333-255533 | Post-Effective Amendment #1 on Form N-2 | (q)(5) | 4/27/2021 |
Exhibit
Number |
Exhibit Description | Filed
Herewith or Incorporated by Reference |
Information About the Filing that Includes the Document Incorporated by Reference | ||||
Registrant
that Made the Filing |
File
No. of Such Registrant |
Type
of Filing |
Exhibit
of Document in that Filing |
Filing
Date | |||
(q)(6) | Tri-Continental Corporation Name Change Authorization Form | Incorporated by Reference | Tri-Continental Corporation | 333-255533 | Post-Effective Amendment #1 on Form N-2 | (q)(6) | 4/27/2021 |
(r)(1) | Code of Ethics adopted under Rule 17j-1 for Registrant, effective March 2019 | Incorporated by Reference | Columbia Funds Variable Series Trust II | 333-146374 | Post-Effective Amendment #68 on Form N-1A | (p)(1) | 4/26/2019 |
(r)(2) | Columbia Threadneedle Investments Global Personal Account Dealing and Code of Ethics, effective December 2021 | Incorporated by Reference | Columbia Funds Series Trust I | 2-99356 | Post-Effective Amendment #392 on Form N-1A | (p)(2) | 2/17/2022 |
Registration fees | 0 |
NYSE listing fees | 0 |
Registrar fees | 0 |
Legal fees | 0 |
Accounting fees | 0 |
Miscellaneous (mailing, etc.) | 0 |
Title of Class | Number of Recordholders |
$2.50 Cumulative Preferred | 114 |
Common Stock | 9,891 |
Warrants | 72 |
■ | Registrant, 290 Congress Street, Boston, MA, 02210 and 485 Lexington Avenue,12th Fl, New York, NY 10017; |
■ | Registrant’s investment adviser and administrator, Columbia Management Investment Advisers, LLC, 290 Congress Street, Boston, MA 02210; |
■ | Registrant’s transfer agent, Columbia Management Investment Services Corp., 290 Congress Street, Boston, MA 02210 and 10 Memorial Boulevard, 10th Floor, Providence, RI 02903; |
■ | Registrant’s custodian, JPMorgan Chase Bank, N.A., 1 Chase Manhattan Plaza, New York, NY 10005; |
■ | Registrant’s sub-transfer, dividend-paying and stockholder services agent, DST Asset Manager Solutions, Inc., 430 W 7th Street, Ste 219371, Kansas City, MO 64105-1407; and |
■ | Ameriprise Financial Services, LLC, 707 Second Avenue South, Minneapolis, MN 55402. |
TRI-CONTINENTAL CORPORATION | |
By: | /s/ Daniel J. Beckman |
Daniel
J. Beckman Director and President |
Signature | Capacity | Signature | Capacity |
/s/ Daniel J. Beckman | Director
and President (Principal Executive Officer) |
/s/ Kathleen A. Blatz* | Director |
Daniel J. Beckman | Kathleen A. Blatz | ||
/s/ Michael G. Clarke* | Chief
Financial Officer, Principal Financial Officer and Senior Vice President |
/s/ Pamela G. Carlton* | Director |
Michael G. Clarke | Pamela G. Carlton | ||
/s/ Joseph Beranek* | Treasurer,
Chief Accounting Officer (Principal Accounting Officer) and Principal Financial Officer |
/s/ Patricia M. Flynn* | Director |
Joseph Beranek | Patricia M. Flynn | ||
/s/ Douglas A. Hacker* | Director and Co-Chair of the Board | /s/ Brian J. Gallagher* | Director |
Douglas A. Hacker | Brian J. Gallagher | ||
/s/ Catherine James Paglia* | Director and Co-Chair of the Board | /s/ Minor M. Shaw* | Director |
Catherine James Paglia | Minor M. Shaw | ||
/s/ George S. Batejan* | Director | /s/ Sandra Yeager* | Director |
George S. Batejan | Sandra Yeager |
* | By:
Name: |
/s/ Joseph D’Alessandro | |
Joseph
D’Alessandro** Attorney-in-fact |
|||
** | Executed by Joseph D’Alessandro on behalf of Michael G. Clarke pursuant to a Power of Attorney, dated February 1, 2021, on behalf of Joseph Beranek pursuant to a Power of Attorney, dated January 3, 2020, on behalf of Sandra Yeager pursuant to a Power of Attorney, dated June 1, 2020, on behalf of Brian Gallagher pursuant to a Power of Attorney, dated February 14, 2020, on behalf of Douglas Hacker pursuant to a Power of Attorney, dated December 22, 2021, and on behalf of each of the other Directors pursuant to a Power of Attorney, dated February 1, 2018. |
/s/ Edward J. Boudreau | Director and Chair of the Board | /s/ Patricia M. Flynn | Director |
Edward J. Boudreau | Patricia M. Flynn | ||
/s/ George S. Batejan | Director | /s/ Catherine James Paglia | Director |
George S. Batejan | Catherine James Paglia | ||
/s/ Kathleen A. Blatz | Director | /s/ Minor M. Shaw | Director |
Kathleen A. Blatz | Minor M. Shaw | ||
/s/ Pamela G. Carlton | Director | /s/ William F. Truscott | Director |
Pamela G. Carlton | William F. Truscott | ||
/s/ William P. Carmichael | Director | ||
William P. Carmichael |
/s/ Brian J. Gallagher | Director |
Brian J. Gallagher |
/s/ Douglas A. Hacker | Director |
Douglas A. Hacker |
/s/ Sandra Yeager | Director |
Sandra Yeager |
(k)(1)(i) | Schedule A, dated July 1, 2021, and Schedule B to the Stockholder Service Agent Agreement, dated March 1, 2016, between the Registrant and Columbia Management Investment Services, Corp. |
(k)(3) | Fund of Funds Investment Agreement, dated January 24, 2022, between First Trust Portfolios L.P. and Tri-Continental Corporation and Columbia Seligman Premium Technology Growth Fund |
(k)(4) | Fund of Funds Investment Agreement, dated January 24, 2022, between First Trust CEF Income Opportunity ETF and Tri-Continental Corporation and Columbia Seligman Premium Technology Growth Fund |
1 Year Tri Continental Chart |
1 Month Tri Continental Chart |
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