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TRI-Continental Corp
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Overview Fund Activity

64 hedge funds and large institutions have $238M invested in TRI-Continental Corp in 2014 Q1 according to their latest regulatory filings, with 5 funds opening new positions, 16 increasing their positions, 23 reducing their positions, and 3 closing their positions.

Holders
64
Holders Change
+1
Holders Change %
+1.59%
% of All Funds
1.85%
Holding in Top 10
8
Holding in Top 10 Change
+1
Holding in Top 10 Change %
+14.29%
% of All Funds
0.23%
New
5
Increased
16
Reduced
23
Closed
3
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

1
RJA
1
Raymond James & Associates
Florida
$8.13M
2
KIM
2
Karpus Investment Management
New York
$31.9M
3
SFS
3
Shaker Financial Services
Virginia
$3.93M
4
WAM
4
Wolverine Asset Management
Illinois
$1.91M
5
BBPWM
5
Blue Bell Private Wealth Management
Pennsylvania
$7.24M

Top Sellers

1
Lazard Asset Management
1
Lazard Asset Management
New York
$34.9M
2
SG Americas Securities
2
SG Americas Securities
New York
$1.8M
3
Bank of America
3
Bank of America
North Carolina
$2.22M
4
DA
4
Doliver Advisors
Texas
$2.56M
5
GFM
5
Gramercy Funds Management
Connecticut
$27.1M
Name Market Value Shares Shares
Change 		Shares
Change %
RVP
1
Relative Value Partners
Illinois
$36.3M 1,809,232 -5,077 -0.3%
Lazard Asset Management
2
Lazard Asset Management
New York
$34.9M 1,740,276 -484,018 -22%
KIM
3
Karpus Investment Management
New York
$31.9M 1,588,390 +262,198 +20%
GFM
4
Gramercy Funds Management
Connecticut
$27.1M 1,348,408 -16,939 -1%
RCM
5
Rivernorth Capital Management
Florida
$21.5M 1,070,982 – –
1CP
6
1607 Capital Partners
Virginia
$14.1M 701,814 -5,800 -0.8%
RJA
7
Raymond James & Associates
Florida
$8.13M 404,854 +387,506 +2,234%
BI
8
Bulldog Investors
New Jersey
$7.88M 392,619 +4,000 +1%
BBPWM
9
Blue Bell Private Wealth Management
Pennsylvania
$7.24M 360,418 +65,560 +22%
Morgan Stanley
10
Morgan Stanley
New York
$5.23M 260,455 -11,620 -4%
COLIM
11
City of London Investment Management
United Kingdom
$4.5M 223,484 -7,275 -3%
TJHA
12
Thomas J. Herzfeld Advisors
Florida
$4.36M 217,236 +477 +0.2%
SFS
13
Shaker Financial Services
Virginia
$3.93M 195,772 +110,498 +130%
DA
14
Doliver Advisors
Texas
$2.56M 127,296 -18,020 -12%
Bank of America
15
Bank of America
North Carolina
$2.22M 110,493 -20,664 -16%
Goldman Sachs
16
Goldman Sachs
New York
$2.09M 103,922 +13,446 +15%
HSBC Holdings
17
HSBC Holdings
United Kingdom
$1.93M 95,950 – –
WAM
18
Wolverine Asset Management
Illinois
$1.91M 95,283 +95,283 New
AA
19
Ancora Advisors
Ohio
$1.91M 95,000 – –
SG Americas Securities
20
SG Americas Securities
New York
$1.8M 89,576 -23,459 -21%
CA
21
Cornerstone Advisors
North Carolina
$1.43M 71,366 -6,276 -8%
1832 Asset Management
22
1832 Asset Management
Ontario, Canada
$1.4M 70,000 – –
RJFSA
23
Raymond James Financial Services Advisors
Florida
$1.27M 63,470 -182 -0.3%
PNC Financial Services Group
24
PNC Financial Services Group
Pennsylvania
$1.05M 52,275 +6,957 +15%
Commonwealth Equity Services
25
Commonwealth Equity Services
Massachusetts
$987K 49,144 -1,674 -3%
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