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TY Tri Continental Corp

30.73
0.01 (0.03%)
16 May 2024 - Closed
Delayed by 15 minutes
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
  0.01 0.03% 30.73 30.82 30.5901 30.75 27,247 23:03:22

Statement of Changes in Beneficial Ownership (4)

03/03/2020 8:14pm

Edgar (US Regulatory)


FORM 4 [ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response...
0.5                       
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

KING DAVID L
2. Issuer Name and Ticker or Trading Symbol

TRI-CONTINENTAL CORP [ TY ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                    _____ 10% Owner
_____ Officer (give title below)    __X__ Other (specify below)
Portfolio Manager of Issuer
(Last)          (First)          (Middle)

225 FRANKLIN STREET
3. Date of Earliest Transaction (MM/DD/YYYY)

3/2/2020
(Street)

BOSTON, MA 02110
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

_X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Tri-Continental Corporation Common Stock 3/2/2020  P  63 A$26.24 145700 D  
Tri-Continental Corporation Common Stock 3/2/2020  P  562 A$26.19 146262 D  
Tri-Continental Corporation Common Stock 3/2/2020  P  141 A$26.09 146403 D  
Tri-Continental Corporation Common Stock 3/2/2020  P  100 A$26.13 146503 D  
Tri-Continental Corporation Common Stock 3/2/2020  P  188 A$26.11 146691 D  
Tri-Continental Corporation Common Stock 3/2/2020  P  100 A$26.175 146791 D  
Tri-Continental Corporation Common Stock 3/2/2020  P  292 A$26.18 147083 D  
Tri-Continental Corporation Common Stock 3/2/2020  P  186 A$26.12 147269 D  
Tri-Continental Corporation Common Stock 3/2/2020  P  188 A$26.115 147457 D  
Tri-Continental Corporation Common Stock 3/2/2020  P  100 A$26.39 147557 D  
Tri-Continental Corporation Common Stock 3/2/2020  P  88 A$26.4 147645 D  
Tri-Continental Corporation Common Stock 3/2/2020  P  100 A$26.355 147745 D  
Tri-Continental Corporation Common Stock 3/2/2020  P  260 A$26.37 148005 D  
Tri-Continental Corporation Common Stock 3/2/2020  P  148 A$26.38 148153 D  
Tri-Continental Corporation Common Stock 3/2/2020  P  150 A$26.36 148303 D  
Tri-Continental Corporation Common Stock 3/1/2020  P  88 A$26.62 148391 D  
Tri-Continental Corporation Common Stock 3/2/2020  P  54 A$26.6 148445 D  
Tri-Continental Corporation Common Stock 3/2/2020  P  51 A$26.5 148496 D  
Tri-Continental Corporation Common Stock 3/2/2020  P  822 A$26.29 149318 D  
Tri-Continental Corporation Common Stock 3/2/2020  P  247 A$26.28 149565 D  
Tri-Continental Corporation Common Stock 3/2/2020  P  10 A$26.395 149575 D  
Tri-Continental Corporation Common Stock 3/2/2020  P  32 A$26.46 149607 D  
Tri-Continental Corporation Common Stock 3/2/2020  P  247 A$26.45 149854 D  
Tri-Continental Corporation Common Stock 3/2/2020  P  37 A$26.44 149891 D  
Tri-Continental Corporation Common Stock 3/2/2020  P  109 A$26.43 150000 D  

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security3. Trans. Date3A. Deemed Execution Date, if any4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares

Explanation of Responses:

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
KING DAVID L
225 FRANKLIN STREET
BOSTON, MA 02110



Portfolio Manager of Issuer

Signatures
Joseph D'Alessandro, Power of Attorney3/3/2020
**Signature of Reporting PersonDate

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