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TRI-Continental Corp
TY

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.

New
Increased
Maintained
Reduced
Closed

20% more funds holding in top 10

Funds holding in top 10: 5 → 6 (+1)

20% more repeat investments, than reductions

Existing positions increased: 18 | Existing positions reduced: 15

3% more capital invested

Capital invested by funds: $203M → $208M (+$5.31M)

0.06% more ownership

Funds ownership: 17.85% → 17.92% (+0.06%)

2% less funds holding

Funds holding: 58 → 57 (-1)

11% less first-time investments, than exits

New positions opened: 8 | Existing positions closed: 9

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

Rank Fund Capital Flow
1
KIM
Karpus Investment Management
New York
+$1.18M
2
RVP
Relative Value Partners
Illinois
+$1.02M
3
DT
Diversified Trust
Tennessee
+$461K
4
RJA
Raymond James & Associates
Florida
+$320K
5
BBPWM
Blue Bell Private Wealth Management
Pennsylvania
+$309K

Top Sellers

Rank Fund Capital Flow
1
Lazard Asset Management
Lazard Asset Management
New York
-$948K
2
GFM
Gramercy Funds Management
Connecticut
-$578K
3
Morgan Stanley
Morgan Stanley
New York
-$508K
4
RJFSA
Raymond James Financial Services Advisors
Florida
-$450K
5
TJHA
Thomas J. Herzfeld Advisors
Florida
-$426K
Name Holding Trade Value Shares
Change 		Change in
Stake
HI
51
Hudock Inc
Pennsylvania
$28K +$28.5K +1,544 New
GT
52
Glenmede Trust
Pennsylvania
$27K – – –
WAM
53
Wolverine Asset Management
Illinois
$21K +$21.2K +1,148 New
WF
54
WealthTrust Fairport
Ohio
$13K +$13.1K +710 New
MFS
55
MSI Financial Services
Massachusetts
$9K +$92 +5 +1%
LFG
56
LifePlan Financial Group
Ohio
$6K – – –
FNBT
57
FineMark National Bank & Trust
Florida
$3K -$193K -10,464 -99%
DWM
58
Destination Wealth Management
California
– -$310K -17,355 Closed
Cambridge Investment Research Advisors
59
Cambridge Investment Research Advisors
Iowa
– -$204K -11,396 Closed
M&T Bank
60
M&T Bank
New York
– -$25K -1,411 Closed
Deutsche Bank
61
Deutsche Bank
Germany
– -$18K -1,040 Closed
RFA
62
Reilly Financial Advisors
California
– -$7K -401 Closed
TSWM
63
Triangle Securities Wealth Management
North Carolina
– -$5K -304 Closed
Ameriprise
64
Ameriprise
Minnesota
– -$5K -303 Closed
TRCT
65
Tower Research Capital (TRC)
New York
– -$1K -56 Closed
AIG
66
American International Group
New York
– -$698 -39 Closed
NES
67
New England Securities
New York
– +$185 +10 New
1 2
3

TY Hedge Fund Activity: Q3 2013 in Review

57 of the 3,085 institutional investors tracked by Wall St. Rank reported a position in TRI-Continental Corp (TY) for Q3 2013, worth a combined $208M — up 2.6% from $203M a quarter earlier.

Sellers outnumbered buyers: 9 funds closed out of TY and 8 opened new positions — a net loss of 1 holder — while 15 trimmed existing stakes and 18 added.

The largest buyer was Karpus Investment Management, adding an estimated $1.18M. The largest seller was Lazard Asset Management, cutting an estimated $948K.

  • 57 institutional investors held TRI-Continental Corp (TY) as of Q3 2013, down from 58 in Q2 2013.
  • Funds reported $208M of TRI-Continental Corp stock for Q3 2013, up 2.6% quarter-over-quarter.
  • 8 funds opened new TRI-Continental Corp positions in Q3 2013 and 9 closed out, a net change of -1 holder.
  • The largest TRI-Continental Corp buyer in Q3 2013 was Karpus Investment Management, an estimated $1.18M added.
  • The largest TRI-Continental Corp seller in Q3 2013 was Lazard Asset Management, an estimated $948K sold.

Based on aggregated 13F filings for Q3 2013.