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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 %
Lazard Asset Management
1
Lazard Asset Management
New York
$41M 2,240,094 -51,350 -2%
RVP
2
Relative Value Partners
Illinois
$32.8M 1,792,026 +55,228 +3%
GFM
3
Gramercy Funds Management
Connecticut
$26.8M 1,462,521 -31,300 -2%
KIM
4
Karpus Investment Management
New York
$20.9M 1,139,969 +64,020 +6%
RCM
5
Rivernorth Capital Management
Florida
$19.6M 1,070,482 +1,300 +0.1%
1CP
6
1607 Capital Partners
Virginia
$12.8M 700,762 +16,400 +2%
BI
7
Bulldog Investors
New Jersey
$7.12M 388,619 -3,000 -0.8%
BBPWM
8
Blue Bell Private Wealth Management
Pennsylvania
$5.34M 291,452 +16,720 +6%
Morgan Stanley
9
Morgan Stanley
New York
$4.79M 261,315 -27,526 -10%
COLIM
10
City of London Investment Management
United Kingdom
$4.24M 229,859 – –
TJHA
11
Thomas J. Herzfeld Advisors
Florida
$3.78M 206,235 -23,074 -10%
DT
12
Diversified Trust
Tennessee
$2.38M 130,015 +25,000 +24%
HSBC Holdings
13
HSBC Holdings
United Kingdom
$2.18M 118,950 -3,000 -2%
Bank of America
14
Bank of America
North Carolina
$2.06M 112,188 +1,140 +1%
SG Americas Securities
15
SG Americas Securities
New York
$1.92M 104,575 -4,500 -4%
Goldman Sachs
16
Goldman Sachs
New York
$1.89M 103,028 -7,021 -6%
Wells Fargo
17
Wells Fargo
California
$1.81M 98,980 -1,866 -2%
AA
18
Ancora Advisors
Ohio
$1.74M 95,000 – –
DA
19
Doliver Advisors
Texas
$1.55M 84,373 -3,593 -4%
CA
20
Cornerstone Advisors
North Carolina
$1.42M 77,642 – –
Geode Capital Management
21
Geode Capital Management
Massachusetts
– – – –
SFS
22
Shaker Financial Services
Virginia
$1.26M 68,725 +11,005 +19%
Bank of New York Mellon
23
Bank of New York Mellon
New York
$978K 53,364 – –
CAN
24
Cetera Advisor Networks
California
$861K 47,277 +4,554 +11%
TC
25
TFS Capital
Pennsylvania
$716K 39,076 -6,634 -15%
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