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TRI-Continental Corp
TY

63 hedge funds and large institutions have $231M invested in TRI-Continental Corp in 2013 Q4 according to their latest regulatory filings, with 9 funds opening new positions, 23 increasing their positions, 16 reducing their positions, and 3 closing their positions.

New
Increased
Maintained
Reduced
Closed

200% more first-time investments, than exits

New positions opened: 9 | Existing positions closed: 3

44% more repeat investments, than reductions

Existing positions increased: 23 | Existing positions reduced: 16

17% more funds holding in top 10

Funds holding in top 10: 6 → 7 (+1)

11% more capital invested

Capital invested by funds: $208M → $231M (+$22.8M)

11% more funds holding

Funds holding: 57 → 63 (+6)

0.43% more ownership

Funds ownership: 17.92% → 18.34% (+0.43%)

Holders
63
Holders Change
+6
Holders Change %
+10.53%
% of All Funds
1.83%
Holding in Top 10
7
Holding in Top 10 Change
+1
Holding in Top 10 Change %
+16.67%
% of All Funds
0.2%
New
9
Increased
23
Reduced
16
Closed
3
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

1
KIM
Karpus Investment Management
New York
+$3.57M
2
1832 Asset Management
1832 Asset Management
Ontario, Canada
+$1.34M
3
DA
Doliver Advisors
Texas
+$1.17M
4
Commonwealth Equity Services
Commonwealth Equity Services
Massachusetts
+$975K
5
PNC Financial Services Group
PNC Financial Services Group
Pennsylvania
+$707K

Top Sellers

1
GFM
Gramercy Funds Management
Connecticut
-$1.86M
2
Wells Fargo
Wells Fargo
California
-$1.38M
3
Bank of New York Mellon
Bank of New York Mellon
New York
-$978K
4
TC
TFS Capital
Pennsylvania
-$520K
5
HSBC Holdings
HSBC Holdings
United Kingdom
-$441K
Name Holding Trade Value Shares
Change 		Change in
Stake
U
26
UBS
Switzerland
$804K +$83.1K +4,332 +12%
IT
27
Independence Trust
Tennessee
$610K +$71K +3,700 +14%
PPA
28
Parametric Portfolio Associates
Washington
$570K -$13K -676 -2%
Wells Fargo
29
Wells Fargo
California
$544K -$1.38M -71,740 -72%
WB
30
WesBanco Bank
West Virginia
$504K – – –
Royal Bank of Canada
31
Royal Bank of Canada
Ontario, Canada
$476K -$19.4K -1,012 -4%
HWA
32
Heritage Wealth Advisors
Virginia
$454K +$436K +22,735 New
GC
33
Guggenheim Capital
Illinois
$439K – – –
LPL Financial
34
LPL Financial
California
$435K +$17.4K +905 +4%
First Trust Advisors
35
First Trust Advisors
Illinois
$372K +$93.8K +4,890 +36%
RJA
36
Raymond James & Associates
Florida
$347K – – –
CM
37
CS McKee
Pennsylvania
$310K – – –
AQR Capital Management
38
AQR Capital Management
Connecticut
$303K -$89.3K -4,654 -23%
EWM
39
Evermay Wealth Management
Virginia
$269K +$258K +13,468 New
TCT
40
TIAA CREF Trust
Missouri
$263K -$38.4K -2,000 -13%
Northern Trust
41
Northern Trust
Illinois
$257K -$14.5K -756 -6%
LCM
42
Landscape Capital Management
New Jersey
$252K +$242K +12,607 New
Cambridge Investment Research Advisors
43
Cambridge Investment Research Advisors
Iowa
$246K +$236K +12,296 New
TC
44
TFS Capital
Pennsylvania
$239K -$520K -27,105 -69%
VKH
45
Virtu KCG Holdings
New York
$238K -$86.3K -4,500 -27%
CFS
46
Community Financial System
New York
$160K – – –
US Bancorp
47
US Bancorp
Minnesota
$83K +$1.92K +100 +2%
Bank of Montreal
48
Bank of Montreal
Ontario, Canada
$64K +$32.2K +1,676 +108%
Citigroup
49
Citigroup
New York
$60K +$3.84K +200 +7%
Fifth Third Bancorp
50
Fifth Third Bancorp
Ohio
$50K – – –
1
2
3

TY Hedge Fund Activity: Q4 2013 in Review

63 of the 3,445 institutional investors tracked by Wall St. Rank reported a position in TRI-Continental Corp (TY) for Q4 2013, worth a combined $231M — up 11% from $208M a quarter earlier.

Buyers outnumbered sellers: 9 funds opened new TY positions and 3 closed out — a net gain of 6 holders — while 23 added to existing stakes and 16 trimmed.

The largest buyer was Karpus Investment Management, adding an estimated $3.57M. The largest seller was Gramercy Funds Management, cutting an estimated $1.86M.

  • 63 institutional investors held TRI-Continental Corp (TY) as of Q4 2013, up from 57 in Q3 2013.
  • Funds reported $231M of TRI-Continental Corp stock for Q4 2013, up 11% quarter-over-quarter.
  • 9 funds opened new TRI-Continental Corp positions in Q4 2013 and 3 closed out, a net change of +6 holders.
  • The largest TRI-Continental Corp buyer in Q4 2013 was Karpus Investment Management, an estimated $3.57M added.
  • The largest TRI-Continental Corp seller in Q4 2013 was Gramercy Funds Management, an estimated $1.86M sold.

Based on aggregated 13F filings for Q4 2013.