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TRI-Continental Corp
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Overview Fund Activity

57 hedge funds and large institutions have $208M invested in TRI-Continental Corp in 2013 Q3 according to their latest regulatory filings, with 8 funds opening new positions, 18 increasing their positions, 15 reducing their positions, and 9 closing their positions.

Holders
57
Holders Change
-1
Holders Change %
-1.72%
% of All Funds
1.85%
Holding in Top 10
6
Holding in Top 10 Change
+1
Holding in Top 10 Change %
+20%
% of All Funds
0.19%
New
8
Increased
18
Reduced
15
Closed
9
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

1
KIM
1
Karpus Investment Management
New York
$20.9M
2
RVP
2
Relative Value Partners
Illinois
$32.8M
3
DT
3
Diversified Trust
Tennessee
$2.38M
4
RJA
4
Raymond James & Associates
Florida
$318K
5
BBPWM
5
Blue Bell Private Wealth Management
Pennsylvania
$5.34M

Top Sellers

1
Lazard Asset Management
1
Lazard Asset Management
New York
$41M
2
GFM
2
Gramercy Funds Management
Connecticut
$26.8M
3
Morgan Stanley
3
Morgan Stanley
New York
$4.79M
4
RJFSA
4
Raymond James Financial Services Advisors
Florida
$649K
5
TJHA
5
Thomas J. Herzfeld Advisors
Florida
$3.78M
Name Market Value Shares Shares
Change 		Shares
Change %
U
26
UBS
Switzerland
$658K 35,909 +9,105 +34%
RJFSA
27
Raymond James Financial Services Advisors
Florida
$649K 35,432 -24,371 -41%
PPA
28
Parametric Portfolio Associates
Washington
$535K 29,208 +256 +0.9%
IT
29
Independence Trust
Tennessee
$491K 26,841 – –
WB
30
WesBanco Bank
West Virginia
$462K 25,239 – –
Royal Bank of Canada
31
Royal Bank of Canada
Ontario, Canada
$455K 24,818 – –
GC
32
Guggenheim Capital
Illinois
$403K 21,974 -2,066 -9%
LPL Financial
33
LPL Financial
California
$387K 20,879 +5,376 +35%
AQR Capital Management
34
AQR Capital Management
Connecticut
$363K 19,812 +333 +2%
RJA
35
Raymond James & Associates
Florida
$318K 17,348 +17,348 New
VKH
36
Virtu KCG Holdings
New York
$300K 16,398 +16,398 New
CM
37
CS McKee
Pennsylvania
$284K 15,500 +800 +5%
TCT
38
TIAA CREF Trust
Missouri
$278K 15,188 +688 +5%
First Trust Advisors
39
First Trust Advisors
Illinois
$251K 13,717 +13,717 New
Northern Trust
40
Northern Trust
Illinois
$250K 13,620 -740 -5%
PNC Financial Services Group
41
PNC Financial Services Group
Pennsylvania
$154K 8,467 – –
CFS
42
Community Financial System
New York
$146K 8,000 – –
Northwestern Mutual Wealth Management
43
Northwestern Mutual Wealth Management
Wisconsin
$132K 7,224 +7,224 New
US Bancorp
44
US Bancorp
Minnesota
$74K 4,029 – –
1IC
45
1919 Investment Counsel
Maryland
$66K 3,592 – –
Citigroup
46
Citigroup
New York
$51K 2,784 – –
Fifth Third Bancorp
47
Fifth Third Bancorp
Ohio
$46K 2,500 – –
LTFS
48
Ladenburg Thalmann Financial Services
Florida
$41K 2,233 +800 +56%
Creative Planning
49
Creative Planning
Kansas
$36K 1,978 +906 +85%
Bank of Montreal
50
Bank of Montreal
Ontario, Canada
$29K 1,553 – –
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