Statement of Changes in Beneficial Ownership (4)
March 03 2020 - 3:11PM
Edgar (US Regulatory)
FORM 4
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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
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OMB APPROVAL
OMB Number:
3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
KING DAVID L |
2. Issuer Name and Ticker or Trading Symbol
TRI-CONTINENTAL CORP
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TY
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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)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Tri-Continental Corporation Common Stock | 3/2/2020 | | P | | 47 | A | $25.54 | 140047 | D | |
Tri-Continental Corporation Common Stock | 3/2/2020 | | P | | 49 | A | $25.51 | 140096 | D | |
Tri-Continental Corporation Common Stock | 3/2/2020 | | P | | 200 | A | $25.49 | 140296 | D | |
Tri-Continental Corporation Common Stock | 3/2/2020 | | P | | 680 | A | $25.46 | 140976 | D | |
Tri-Continental Corporation Common Stock | 3/2/2020 | | P | | 158 | A | $25.45 | 141134 | D | |
Tri-Continental Corporation Common Stock | 3/2/2020 | | P | | 141 | A | $25.44 | 141275 | D | |
Tri-Continental Corporation Common Stock | 3/2/2020 | | P | | 48 | A | $25.62 | 141323 | D | |
Tri-Continental Corporation Common Stock | 3/2/2020 | | P | | 51 | A | $25.74 | 141374 | D | |
Tri-Continental Corporation Common Stock | 3/2/2020 | | P | | 376 | A | $25.79 | 141750 | D | |
Tri-Continental Corporation Common Stock | 3/2/2020 | | P | | 78 | A | $25.71 | 141828 | D | |
Tri-Continental Corporation Common Stock | 3/2/2020 | | P | | 251 | A | $25.70 | 142079 | D | |
Tri-Continental Corporation Common Stock | 3/2/2020 | | P | | 178 | A | $25.72 | 142257 | D | |
Tri-Continental Corporation Common Stock | 3/2/2020 | | P | | 100 | A | $25.91 | 142357 | D | |
Tri-Continental Corporation Common Stock | 3/2/2020 | | P | | 88 | A | $25.90 | 142445 | D | |
Tri-Continental Corporation Common Stock | 3/2/2020 | | P | | 58 | A | $26.14 | 142503 | D | |
Tri-Continental Corporation Common Stock | 3/2/2020 | | P | | 191 | A | $26.02 | 142694 | D | |
Tri-Continental Corporation Common Stock | 3/2/2020 | | P | | 338 | A | $26.00 | 143032 | D | |
Tri-Continental Corporation Common Stock | 3/2/2020 | | P | | 51 | A | $25.99 | 143083 | D | |
Tri-Continental Corporation Common Stock | 3/2/2020 | | P | | 6 | A | $26.22 | 143089 | D | |
Tri-Continental Corporation Common Stock | 3/2/2020 | | P | | 200 | A | $26.295 | 143289 | D | |
Tri-Continental Corporation Common Stock | 3/2/2020 | | P | | 240 | A | $26.21 | 143529 | D | |
Tri-Continental Corporation Common Stock | 3/2/2020 | | P | | 109 | A | $26.20 | 143638 | D | |
Tri-Continental Corporation Common Stock | 3/2/2020 | | P | | 167 | A | $26.16 | 143805 | D | |
Tri-Continental Corporation Common Stock | 3/2/2020 | | P | | 100 | A | $26.265 | 143905 | D | |
Tri-Continental Corporation Common Stock | 3/2/2020 | | P | | 88 | A | $26.27 | 143993 | D | |
Tri-Continental Corporation Common Stock | 3/2/2020 | | P | | 847 | A | $26.30 | 144840 | D | |
Tri-Continental Corporation Common Stock | 3/2/2020 | | P | | 188 | A | $26.34 | 145028 | D | |
Tri-Continental Corporation Common Stock | 3/2/2020 | | P | | 278 | A | $26.33 | 145306 | D | |
Tri-Continental Corporation Common Stock | 3/2/2020 | | P | | 98 | A | $26.35 | 145404 | D | |
Tri-Continental Corporation Common Stock | 3/2/2020 | | P | | 233 | A | $26.25 | 145637 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. 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 Date | 7. 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) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
KING DAVID L 225 FRANKLIN STREET BOSTON, MA 02110 |
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| Portfolio Manager of Issuer |
Signatures
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Joseph D'Alessandro, Power of Attorney | | 3/3/2020 |
**Signature of Reporting Person | Date |
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