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TRI-Continental Corp
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Overview Fund Activity

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.

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
1
Karpus Investment Management
New York
$26.5M
2
1832 Asset Management
2
1832 Asset Management
Ontario, Canada
$1.4M
3
DA
3
Doliver Advisors
Texas
$2.9M
4
Commonwealth Equity Services
4
Commonwealth Equity Services
Massachusetts
$1.02M
5
PNC Financial Services Group
5
PNC Financial Services Group
Pennsylvania
$905K

Top Sellers

1
GFM
1
Gramercy Funds Management
Connecticut
$27.3M
2
Wells Fargo
2
Wells Fargo
California
$544K
3
Bank of New York Mellon
3
Bank of New York Mellon
New York
$0
4
TC
4
TFS Capital
Pennsylvania
$239K
5
HSBC Holdings
5
HSBC Holdings
United Kingdom
$1.92M
Name Market Value Shares Shares
Change 		Shares
Change %
Lazard Asset Management
1
Lazard Asset Management
New York
$44.4M 2,224,294 -15,800 -0.7%
RVP
2
Relative Value Partners
Illinois
$36.3M 1,814,309 +22,283 +1%
GFM
3
Gramercy Funds Management
Connecticut
$27.3M 1,365,347 -97,174 -7%
KIM
4
Karpus Investment Management
New York
$26.5M 1,326,192 +186,223 +16%
RCM
5
Rivernorth Capital Management
Florida
$21.4M 1,070,982 +500 +0%
1CP
6
1607 Capital Partners
Virginia
$14.1M 707,614 +6,852 +1%
BI
7
Bulldog Investors
New Jersey
$7.77M 388,619 – –
BBPWM
8
Blue Bell Private Wealth Management
Pennsylvania
$5.89M 294,858 +3,406 +1%
Morgan Stanley
9
Morgan Stanley
New York
$5.44M 272,075 +10,760 +4%
COLIM
10
City of London Investment Management
United Kingdom
$4.61M 230,759 +900 +0.4%
TJHA
11
Thomas J. Herzfeld Advisors
Florida
$4.33M 216,759 +10,524 +5%
DA
12
Doliver Advisors
Texas
$2.9M 145,316 +60,943 +72%
Bank of America
13
Bank of America
North Carolina
$2.62M 131,157 +18,969 +17%
DT
14
Diversified Trust
Tennessee
$2.28M 114,215 -15,800 -12%
SG Americas Securities
15
SG Americas Securities
New York
$2.26M 113,035 +8,460 +8%
HSBC Holdings
16
HSBC Holdings
United Kingdom
$1.92M 95,950 -23,000 -19%
AA
17
Ancora Advisors
Ohio
$1.9M 95,000 – –
Goldman Sachs
18
Goldman Sachs
New York
$1.81M 90,476 -12,552 -12%
SFS
19
Shaker Financial Services
Virginia
$1.7M 85,274 +16,549 +24%
CA
20
Cornerstone Advisors
North Carolina
$1.55M 77,642 – –
1832 Asset Management
21
1832 Asset Management
Ontario, Canada
$1.4M 70,000 +70,000 New
RJFSA
22
Raymond James Financial Services Advisors
Florida
$1.27M 63,652 +28,220 +80%
Commonwealth Equity Services
23
Commonwealth Equity Services
Massachusetts
$1.02M 50,818 +50,818 New
CAN
24
Cetera Advisor Networks
California
$958K 47,927 +650 +1%
PNC Financial Services Group
25
PNC Financial Services Group
Pennsylvania
$905K 45,318 +36,851 +435%
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