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TRI-Continental Corp
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Overview Fund Activity

70 hedge funds and large institutions have $265M invested in TRI-Continental Corp in 2015 Q1 according to their latest regulatory filings, with 8 funds opening new positions, 23 increasing their positions, 20 reducing their positions, and 7 closing their positions.

Holders
70
Holders Change
–
Holders Change %
0%
% of All Funds
1.87%
Holding in Top 10
7
Holding in Top 10 Change
-1
Holding in Top 10 Change %
-12.5%
% of All Funds
0.19%
New
8
Increased
23
Reduced
20
Closed
7
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

1
YMRC
1
Yorktown Management & Research Company
Virginia
$2.17M
2
UCFA
2
United Capital Financial Advisors
Texas
$4.12M
3
Envestnet Asset Management
3
Envestnet Asset Management
Illinois
$3.8M
4
KIM
4
Karpus Investment Management
New York
$37.3M
5
RCM
5
Rivernorth Capital Management
Florida
$24.3M

Top Sellers

1
WAM
1
Wolverine Asset Management
Illinois
$169K
2
AA
2
Ancora Advisors
Ohio
$2.82M
3
SFS
3
Shaker Financial Services
Virginia
$2.41M
4
Goldman Sachs
4
Goldman Sachs
New York
$0
5
1CP
5
1607 Capital Partners
Virginia
$14.3M
Name Market Value Shares Shares
Change 		Shares
Change %
RVP
1
Relative Value Partners
Illinois
$42.3M 1,948,953 +26,641 +1%
KIM
2
Karpus Investment Management
New York
$37.3M 1,721,259 +40,587 +2%
Lazard Asset Management
3
Lazard Asset Management
New York
$29.6M 1,362,914 -24,100 -2%
GFM
4
Gramercy Funds Management
Connecticut
$26.5M 1,220,747 -32,500 -3%
RCM
5
Rivernorth Capital Management
Florida
$24.3M 1,119,584 +40,388 +4%
1CP
6
1607 Capital Partners
Virginia
$14.3M 659,014 -35,100 -5%
RJA
7
Raymond James & Associates
Florida
$10M 460,963 +29,637 +7%
BI
8
Bulldog Investors
New Jersey
$8.52M 392,619 – –
BBPWM
9
Blue Bell Private Wealth Management
Pennsylvania
$8.27M 381,204 +4,067 +1%
Morgan Stanley
10
Morgan Stanley
New York
$6.07M 280,003 -772 -0.3%
TJHA
11
Thomas J. Herzfeld Advisors
Florida
$4.56M 210,010 -2,726 -1%
UCFA
12
United Capital Financial Advisors
Texas
$4.12M 189,166 +96,536 +104%
Envestnet Asset Management
13
Envestnet Asset Management
Illinois
$3.8M 174,987 +86,083 +97%
COLIM
14
City of London Investment Management
United Kingdom
$3.27M 151,085 +1,600 +1%
Geode Capital Management
15
Geode Capital Management
Massachusetts
– – – –
CA
16
Cornerstone Advisors
North Carolina
$2.95M 136,207 +31,800 +30%
Bank of America
17
Bank of America
North Carolina
$2.85M 131,557 +13,767 +12%
AA
18
Ancora Advisors
Ohio
– – -90,000 Closed
1832 Asset Management
19
1832 Asset Management
Ontario, Canada
$2.61M 120,000 – –
Wells Fargo
20
Wells Fargo
California
$2.41M 111,173 +14,312 +15%
SFS
21
Shaker Financial Services
Virginia
$2.41M 110,927 -56,198 -34%
YMRC
22
Yorktown Management & Research Company
Virginia
$2.17M 100,239 +100,239 New
IT
23
Independence Trust
Tennessee
$1.82M 84,000 -7,261 -8%
SG Americas Securities
24
SG Americas Securities
New York
$1.64M 75,817 -15,858 -17%
RJFSA
25
Raymond James Financial Services Advisors
Florida
$1.25M 57,467 -1,500 -3%
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