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TRI-Continental Corp
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Overview Fund Activity

71 hedge funds and large institutions have $229M invested in TRI-Continental Corp in 2015 Q3 according to their latest regulatory filings, with 13 funds opening new positions, 20 increasing their positions, 17 reducing their positions, and 7 closing their positions.

Holders
71
Holders Change
+5
Holders Change %
+7.58%
% of All Funds
1.98%
Holding in Top 10
6
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.17%
New
13
Increased
20
Reduced
17
Closed
7
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

1
KIM
1
Karpus Investment Management
New York
$38.3M
2
Bank of Nova Scotia
2
Bank of Nova Scotia
Ontario, Canada
$1.69M
3
PPA
3
Parametric Portfolio Associates
Washington
$2.02M
4
BBPWM
4
Blue Bell Private Wealth Management
Pennsylvania
$8.76M
5
TJHA
5
Thomas J. Herzfeld Advisors
Florida
$4.98M

Top Sellers

1
UCFA
1
United Capital Financial Advisors
Texas
$0
2
WAM
2
Wolverine Asset Management
Illinois
$0
3
Envestnet Asset Management
3
Envestnet Asset Management
Illinois
$21K
4
CA
4
Cornerstone Advisors
North Carolina
$0
5
Morgan Stanley
5
Morgan Stanley
New York
$4.36M
Name Market Value Shares Shares
Change 		Shares
Change %
KIM
1
Karpus Investment Management
New York
$38.3M 1,962,649 +165,313 +9%
RVPG
2
Relative Value Partners Group
$36.9M 1,889,754 -2,102 -0.1%
Lazard Asset Management
3
Lazard Asset Management
New York
$25.9M 1,329,414 -25,900 -2%
GFM
4
Gramercy Funds Management
Connecticut
$22.9M 1,175,463 -32,825 -3%
RCM
5
Rivernorth Capital Management
Florida
$22M 1,129,780 +3,596 +0.3%
1CP
6
1607 Capital Partners
Virginia
$12M 616,912 -4,856 -0.8%
RJA
7
Raymond James & Associates
Florida
$8.93M 457,872 -7,825 -2%
BBPWM
8
Blue Bell Private Wealth Management
Pennsylvania
$8.76M 449,349 +43,997 +11%
BI
9
Bulldog Investors
New Jersey
$7.66M 392,619 – –
TJHA
10
Thomas J. Herzfeld Advisors
Florida
$4.98M 255,411 +36,995 +17%
Morgan Stanley
11
Morgan Stanley
New York
$4.36M 223,323 -63,639 -22%
SFS
12
Shaker Financial Services
Virginia
$3.34M 171,229 +23,971 +16%
Bank of America
13
Bank of America
North Carolina
$2.66M 136,340 -2,183 -2%
1832 Asset Management
14
1832 Asset Management
Ontario, Canada
$2.35M 120,000 – –
MNA
15
Manning & Napier Advisors
New York
– – – –
PPA
16
Parametric Portfolio Associates
Washington
$2.02M 103,583 +46,993 +83%
Geode Capital Management
17
Geode Capital Management
Massachusetts
– – – –
Bank of Nova Scotia
18
Bank of Nova Scotia
Ontario, Canada
$1.69M 86,828 +86,828 New
Wells Fargo
19
Wells Fargo
California
$1.6M 82,279 -2,615 -3%
PNC Financial Services Group
20
PNC Financial Services Group
Pennsylvania
$1.33M 68,148 +5,361 +9%
AA
21
Ancora Advisors
Ohio
$1.17M 60,000 – –
YMRC
22
Yorktown Management & Research Company
Virginia
$980K 50,239 -50,000 -50%
Commonwealth Equity Services
23
Commonwealth Equity Services
Massachusetts
$973K 49,918 -468 -0.9%
CB
24
Commerce Bank
Missouri
$921K 47,212 – –
Royal Bank of Canada
25
Royal Bank of Canada
Ontario, Canada
$907K 46,522 +571 +1%
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