Statement of Changes in Beneficial Ownership (4)
March 03 2020 - 3:14PM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
KING DAVID L |
2. Issuer Name and Ticker or Trading Symbol
TRI-CONTINENTAL CORP
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TY
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner _____ Officer (give title below) __X__ Other (specify below) Portfolio Manager of Issuer |
(Last)
(First)
(Middle)
225 FRANKLIN STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/2/2020 |
(Street)
BOSTON, MA 02110
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Tri-Continental Corporation Common Stock | 3/2/2020 | | P | | 63 | A | $26.24 | 145700 | D | |
Tri-Continental Corporation Common Stock | 3/2/2020 | | P | | 562 | A | $26.19 | 146262 | D | |
Tri-Continental Corporation Common Stock | 3/2/2020 | | P | | 141 | A | $26.09 | 146403 | D | |
Tri-Continental Corporation Common Stock | 3/2/2020 | | P | | 100 | A | $26.13 | 146503 | D | |
Tri-Continental Corporation Common Stock | 3/2/2020 | | P | | 188 | A | $26.11 | 146691 | D | |
Tri-Continental Corporation Common Stock | 3/2/2020 | | P | | 100 | A | $26.175 | 146791 | D | |
Tri-Continental Corporation Common Stock | 3/2/2020 | | P | | 292 | A | $26.18 | 147083 | D | |
Tri-Continental Corporation Common Stock | 3/2/2020 | | P | | 186 | A | $26.12 | 147269 | D | |
Tri-Continental Corporation Common Stock | 3/2/2020 | | P | | 188 | A | $26.115 | 147457 | D | |
Tri-Continental Corporation Common Stock | 3/2/2020 | | P | | 100 | A | $26.39 | 147557 | D | |
Tri-Continental Corporation Common Stock | 3/2/2020 | | P | | 88 | A | $26.4 | 147645 | D | |
Tri-Continental Corporation Common Stock | 3/2/2020 | | P | | 100 | A | $26.355 | 147745 | D | |
Tri-Continental Corporation Common Stock | 3/2/2020 | | P | | 260 | A | $26.37 | 148005 | D | |
Tri-Continental Corporation Common Stock | 3/2/2020 | | P | | 148 | A | $26.38 | 148153 | D | |
Tri-Continental Corporation Common Stock | 3/2/2020 | | P | | 150 | A | $26.36 | 148303 | D | |
Tri-Continental Corporation Common Stock | 3/1/2020 | | P | | 88 | A | $26.62 | 148391 | D | |
Tri-Continental Corporation Common Stock | 3/2/2020 | | P | | 54 | A | $26.6 | 148445 | D | |
Tri-Continental Corporation Common Stock | 3/2/2020 | | P | | 51 | A | $26.5 | 148496 | D | |
Tri-Continental Corporation Common Stock | 3/2/2020 | | P | | 822 | A | $26.29 | 149318 | D | |
Tri-Continental Corporation Common Stock | 3/2/2020 | | P | | 247 | A | $26.28 | 149565 | D | |
Tri-Continental Corporation Common Stock | 3/2/2020 | | P | | 10 | A | $26.395 | 149575 | D | |
Tri-Continental Corporation Common Stock | 3/2/2020 | | P | | 32 | A | $26.46 | 149607 | D | |
Tri-Continental Corporation Common Stock | 3/2/2020 | | P | | 247 | A | $26.45 | 149854 | D | |
Tri-Continental Corporation Common Stock | 3/2/2020 | | P | | 37 | A | $26.44 | 149891 | D | |
Tri-Continental Corporation Common Stock | 3/2/2020 | | P | | 109 | A | $26.43 | 150000 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
KING DAVID L 225 FRANKLIN STREET BOSTON, MA 02110 |
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| Portfolio Manager of Issuer |
Signatures
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Joseph D'Alessandro, Power of Attorney | | 3/3/2020 |
**Signature of Reporting Person | Date |
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