TY on NYSE

TRI-CONTINENTAL Corp

TRI-CONTINENTAL Corp is a corporation registered in the United States, active since 1929.² It is headquartered in Lutherville Timonium, United States.² Its shares trade on NYSE under the symbol TY.²

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Last updated Oct 21, 2026.

Overview

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TickerTY on NYSE²
HeadquartersLutherville Timonium, United States²
Incorporated inMD³
Business address290 Congress Street, Boston, Ma 02210³
Legal formStock Corporation²
LEI6QVMFZKY1QSOOIHD7Y77²
StatusActive²
LEI statusIssued and current²
Registered addressc/o THE CORPORATION TRUST, INCORPORATED, 2405 YORK ROAD, SUITE 201, 21093-2264 Lutherville Timonium, United States²
Registered withBusiness Services (Maryland Department of Assessments and Taxation), D00212381²

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Leadership

Who has led TRI-CONTINENTAL Corp, and when. Pick a name to see everywhere that person has worked.

President

2010201520202025

PresidentChristopher O. Petersen Nov 19, 2020 to Nov 19, 2020⁴
PresidentPatrick T. Bannigan Nov 17, 2008 to Nov 17, 2008⁵

Board members and other officers (45)

VP and Assistant SecretaryJoseph D'Alessandro Feb 3, 2026 to now⁶
Vice PresidentVictoria K. Bender Feb 4, 2026 to now⁷
Vice PresidentChristie M. Wiley Apr 1, 2026 to now⁸
(title in explanation below)Charles H. Chiesa Jul 1, 2024 to Jul 1, 2024⁹
Vice PresidentVeronica A. Seaman Oct 8, 2024 to Oct 8, 2024¹⁰
Treasurer of IssuerJoseph Beranek Feb 5, 2019 to Feb 5, 2019¹¹
Vice PresidentGeralynn A. Kephart-Strong Jan 9, 2015 to Jan 9, 2015¹²
Vice President and SecretaryRyan Collins Larrenaga Jan 9, 2015 to now¹³
CCO of IssuerThomas P. McGuire Mar 23, 2012 to Mar 23, 2012¹⁴
Vice PresidentStephen T. Welsh Mar 29, 2012 to Mar 5, 2014¹⁵
Vice President and SecretaryChristopher O. Petersen Apr 22, 2011 to now¹⁶
VP and CAO of IssuerJoseph F. Dimaria Apr 22, 2011 to Apr 22, 2011¹⁷
VP and Assistant SecretaryMichael E. Defao Apr 22, 2011 to Apr 22, 2011¹⁸
Treasurer of IssuerMichael G. Clarke Apr 22, 2011 to Apr 22, 2011¹⁹
VP and Assistant SecretaryPaul B. Goucher Apr 22, 2011 to Apr 22, 2011²⁰
VP and Assistant TreasurerPaul D. Pearson Apr 22, 2011 to Apr 22, 2011²¹
Vice President of IssuerAmy K. Johnson Nov 17, 2008 to Nov 17, 2008²²
Assistant Treasurer of IssuerJeffrey P. Fox Nov 17, 2008 to Nov 17, 2008²³
Vice PresidentMichelle M. Keeley Nov 17, 2008 to Nov 17, 2008²⁴
VP, GC and Secretary of IssuerScott R. Plummer Nov 17, 2008 to Nov 17, 2008²⁵
Vice PresidentWilliam F. Truscott Nov 17, 2008 to Nov 19, 2024²⁶
Corp.Sect.Issuer/Mg.Dtr AdvisFrank J. Nasta Nov 29, 2006 to Nov 29, 2006²⁷
Board memberNancy Therese Lukitsh Jan 2, 2026 to now²⁸
Board memberDavid M. Moffett Jan 2, 2024 to Jan 2, 2024²⁹
Board memberJanet Carrig Jan 4, 2023 to Jan 18, 2024³⁰
Board memberDouglas A. Hacker Jan 4, 2022 to Jan 4, 2022³¹
Board memberBrian J. Gallagher Jan 6, 2020 to Jan 6, 2020³²
Board memberSandra Yeager Jun 15, 2020 to Jun 15, 2020³³
Board memberAnthony M. Santomero Apr 17, 2019 to Apr 17, 2019³⁴
Board memberEdward J. Boudreau Jr. Jan 5, 2018 to Jan 5, 2018³⁵
Board memberGeorge S. Batejan Jan 5, 2018 to Jan 5, 2018³⁶
Board memberMinor M. Shaw Apr 21, 2016 to Apr 21, 2016³⁷
Board memberWilliam P. Carmichael Jan 6, 2014 to Jan 6, 2014³⁸
Board memberAlison Taunton Rigby Nov 17, 2008 to Nov 17, 2008³⁹
Board memberAnne Patricia Jones Nov 17, 2008 to Nov 17, 2008⁴⁰
Board memberArne H. Carlson Nov 17, 2008 to Nov 17, 2008⁴¹
Board memberJeffrey Laikind Nov 17, 2008 to Nov 17, 2008⁴²
Board memberKathleen Blatz Nov 17, 2008 to Nov 17, 2008⁴³
Board memberPamela G. Carlton Nov 17, 2008 to now⁴⁴
Board memberStephen R. Lewis Jr. Nov 17, 2008 to Nov 17, 2008⁴⁵
Board memberWilliam F. Truscott Nov 17, 2008 to Mar 2, 2010²⁶
Board memberMaureen Fonseca Aug 1, 2007 to Aug 1, 2007⁴⁶
Board memberFrank A. McPherson Oct 12, 2006 to Feb 1, 2008⁴⁷
Board memberLeroy C. Richie Oct 20, 2006 to Oct 13, 2009⁴⁸
Board memberJohn F. Maher Dec 18, 2006 to Dec 18, 2006⁴⁹

Former names

TRI CONTINENTAL CORPMar 2, 1994 to Jun 18, 2003³

Timeline

Sep 4, 20268-K Regulation FD disclosure⁵⁰
Jun 16, 20268-K Regulation FD disclosure⁵¹
May 21, 20268-K Regulation FD disclosure⁵²
Mar 19, 20268-K Regulation FD disclosure⁵³
Mar 6, 20268-K Regulation FD disclosure⁵⁴
Nov 18, 20258-K Regulation FD disclosure⁵⁵
Sep 5, 20258-K Regulation FD disclosure⁵⁶
Jun 24, 20258-K Regulation FD disclosure⁵⁷
May 22, 20258-K Regulation FD disclosure⁵⁸
Mar 31, 20258-K Regulation FD disclosure⁵⁹
Mar 7, 20258-K Regulation FD disclosure⁶⁰
Nov 19, 20248-K Regulation FD disclosure⁶¹
Jan 4, 1929Founded TRI-CONTINENTAL Corp is founded²

Filings

109 filings to the SEC since October 2021: 30 major events, 23 insider forms, 56 other. The latest 20:

Sep 28, 2026424B3 EDGAR
Sep 4, 2026N-CSRS EDGAR
Sep 4, 20268-K EDGAR
Aug 28, 2026NPORT-P EDGAR
Aug 18, 2026N-PX EDGAR
Jun 16, 20268-K EDGAR
May 28, 2026NPORT-P EDGAR
May 28, 20264 EDGAR
May 21, 20268-K EDGAR
Apr 27, 2026DEF 14A EDGAR
Apr 1, 20263 EDGAR
Mar 19, 20268-K EDGAR
Mar 10, 2026N-CEN EDGAR
Mar 6, 2026N-CSR EDGAR
Mar 6, 20268-K EDGAR
Feb 26, 2026NPORT-P EDGAR
Feb 4, 20263 EDGAR
Feb 3, 20263 EDGAR
Jan 2, 20263 EDGAR
Nov 26, 2025NPORT-P EDGAR

The 109 filings since October 2021 can be filtered by form type and year here when JavaScript is on.

Every filing from the last five years, summarized. The full record is on SEC EDGAR.

Insider trades

8 open-market trades by officers, directors and large owners since October 2021: 4 buys and 4 sales. Grants, option exercises and gifts are left out.

Date	Who	Trade	Shares	Price	Value	Filing
May 27, 2026	Jin Yan	Sale	2,500	$34.87	$87.2K	Form 4
Sep 4, 2025	Petersen Christopher O.SVP & Asst Secretary	Sale	151	$33.56	$5.1K	Form 4
Aug 20, 2025	Larrenaga Ryan CollinsSee Remarks	Buy	100	$33.04	$3.3K	Form 4
Mar 7, 2025	Carlton Pamela GDirector	Sale	1,815	$31.23	$56.7K	Form 4
Nov 18, 2024	TRUSCOTT WILLIAM FSenior Vice President	Buy	4,000	$33.60	$134.4K	Form 4
Aug 29, 2023	Carrig JanetDirector	Sale	27	$27.71	$748	Form 4
Jul 6, 2023	Sivaraman Raghavendran	Buy	3,000	$27.07	$81.2K	Form 4
Mar 14, 2022	Lee Grace	Buy	2,000	$29.15	$58.3K	Form 4

From Forms 4 filed with the SEC.

Held by these funds

The largest holders among investment managers' 13F reports for the quarter ending Jun 30, 2026, the top 25 of 100. Change is in shares since the quarter before.

Fund	Shares	Value	Share of the fund	Change
Saba Capital Management, L.P.	689,725	$23.7M	0.7%	−45,373
Lazard Asset Management LLC	671,046	$23.1M	0.0%	+156,511
Morgan Stanley	543,357	$18.7M	0.0%	−10,440
Allspring Global Investments Holdings, LLC	445,614	$15.3M	0.0%	+79,600
Blue Bell Private Wealth Management, LLC	429,902	$14.8M	1.8%	−141
Raymond James Financial Inc	249,337	$8.6M	0.0%	−11,647
UBS Group AG	226,335	$7.8M	0.0%	+13,065
Focus Partners Wealth	187,432	$6.5M	0.0%	−11,304
UMB Bank, n.a.	163,808	$5.6M	0.1%	−13,984
Uncommon Cents Investing LLC	159,026	$5.5M	1.2%	−645
Hennion & Walsh Asset Management, Inc.	156,550	$5.4M	0.2%	+11,778
Cornerstone Advisory, LLC	155,211	$5.3M	0.4%	+3,640
Wells Fargo & Company/mn	147,471	$5.1M	0.0%	−18,622
Osaic Holdings, Inc.	127,904	$4.4M	0.0%	+4,827
Mariner, LLC	111,679	$3.8M	0.0%	+15,088
Stifel Financial Corp	103,544	$3.6M	0.0%	−108
LPL Financial LLC	91,759	$3.2M	0.0%	+13,068
1620 Investment Advisors, Inc.	90,360	$3.1M	1.9%	−2,290
Altium Capital Management LLC	86,458	$3.0M	6.3%	+7,538
First Trust Advisors LP	83,694	$2.9M	0.0%	−898
Wealth Enhancement Advisory Services, LLC	80,682	$2.9M	0.0%	−1,948
Capstone Financial Advisors, Inc.	75,513	$2.6M	0.1%	No change
EP Wealth Advisors, LLC	75,065	$2.6M	0.0%	−11,205
Platform Technology Partners	68,034	$2.3M	0.4%	+1,038
D.a. Davidson & Co.	66,669	$2.3M	0.0%	−6,439

13F reports cover disclosed long positions in U.S. stocks only.

SEC filer profile

How TRI-CONTINENTAL Corp is registered with the Securities and Exchange Commission, from its EDGAR record and the cover page of its latest annual report.

Name on EDGARTRI-CONTINENTAL Corp¹
CIK0000099614
Employer ID (EIN)13-5441850¹
Incorporated inMaryland¹
Fiscal year endsDecember 31¹
Business address290 Congress Street, Boston, MA 02210¹
Phone612-671-4321¹
On EDGAR sinceMar 2, 1994¹
Filings1,067 in all: 8-K (193), N-23C-1 (104), 3 (99), 4 (80), 497 (78), DEF 14A (33), DEFA14A (30), N-Q (29)¹
All 57 form types
NPORT-P (28), N-30B-2 (26), 40-17G (24), DFAN14A (24), N-CSRS (24), NSAR-B (24), POS 8C (24), N-CSR (23), N-PX (23), N-30D (22), NSAR-A (22), EFFECT (16), SC 13D/A (15), 497J (13), CORRESP (12), N-2 (10), 40-APP/A (9), N-CEN (8), PRE 14A (6), 424B3 (5), N-2/A (5), NO ACT (5), SC TO-I/A (5), 40-17G/A (4), 8-K/A (4), PREC14A (4), 5 (3), DEFC14A (3), DEFR14A (3), 4/A (2), 40-APP (2), N-2ASR (2), NSAR-B/A (2), POS EX (2), SC 13D (2), SC TO-I (2), 40-6C (1), 486BPOS (1), APP NTC (1), APP ORDR (1), DEL AM (1), DFRN14A (1), N-CEN/A (1), NPORT-EX (1), NPORT-P/A (1), NSAR-A/A (1), NSAR-AT (1), NSAR-BT (1), POS AMI (1)
Latest filingsProxy statement (DEF 14A) Apr 27, 2026
Latest 8-K (8-K) Sep 4, 2026

Sources

The numbers on this page point here. Each one links to the record it came from.

1
SEC EDGARTRI-CONTINENTAL Corp filings on SEC EDGAR
2
GLEIFTRI-CONTINENTAL Corp LEI record (6QVMFZKY1QSOOIHD7Y77)
3
SEC EDGARTRI-CONTINENTAL Corp filings on SEC EDGAR
4
SEC EDGARChristopher O. Petersen, President
5
SEC EDGARPatrick T. Bannigan, President
6
SEC EDGARJoseph D'Alessandro, VP and Assistant Secretary
7
SEC EDGARVictoria K. Bender, Vice President
8
SEC EDGARChristie M. Wiley, Vice President
9
SEC EDGARCharles H. Chiesa, (title in explanation below)
10
SEC EDGARVeronica A. Seaman, Vice President
11
SEC EDGARJoseph Beranek, Treasurer of Issuer
12
SEC EDGARGeralynn A. Kephart-Strong, Vice President
13
SEC EDGARRyan Collins Larrenaga, Vice President and Secretary
14
SEC EDGARThomas P. McGuire, CCO of Issuer
15
SEC EDGARStephen T. Welsh, Vice President
16
SEC EDGARChristopher O. Petersen, Vice President and Secretary
17
SEC EDGARJoseph F. Dimaria, VP and CAO of Issuer
18
SEC EDGARMichael E. Defao, VP and Assistant Secretary
19
SEC EDGARMichael G. Clarke, Treasurer of Issuer
20
SEC EDGARPaul B. Goucher, VP and Assistant Secretary
21
SEC EDGARPaul D. Pearson, VP and Assistant Treasurer
22
SEC EDGARAmy K. Johnson, Vice President of Issuer
23
SEC EDGARJeffrey P. Fox, Assistant Treasurer of Issuer
24
SEC EDGARMichelle M. Keeley, Vice President
25
SEC EDGARScott R. Plummer, VP, GC and Secretary of Issuer
26
SEC EDGARWilliam F. Truscott, Vice President
27
SEC EDGARFrank J. Nasta, Corp.Sect.Issuer/Mg.Dtr Advis
28
SEC EDGARNancy Therese Lukitsh, Board member
29
SEC EDGARDavid M. Moffett, Board member
30
SEC EDGARJanet Carrig, Board member
31
SEC EDGARDouglas A. Hacker, Board member
32
SEC EDGARBrian J. Gallagher, Board member
33
SEC EDGARSandra Yeager, Board member
34
SEC EDGARAnthony M. Santomero, Board member
35
SEC EDGAREdward J. Boudreau Jr., Board member
36
SEC EDGARGeorge S. Batejan, Board member
37
SEC EDGARMinor M. Shaw, Board member
38
SEC EDGARWilliam P. Carmichael, Board member
39
SEC EDGARAlison Taunton Rigby, Board member
40
SEC EDGARAnne Patricia Jones, Board member
41
SEC EDGARArne H. Carlson, Board member
42
SEC EDGARJeffrey Laikind, Board member
43
SEC EDGARKathleen Blatz, Board member
44
SEC EDGARPamela G. Carlton, Board member
45
SEC EDGARStephen R. Lewis Jr., Board member
46
SEC EDGARMaureen Fonseca, Board member
47
SEC EDGARFrank A. McPherson, Board member
48
SEC EDGARLeroy C. Richie, Board member
49
SEC EDGARJohn F. Maher, Board member
50
SEC EDGARRegulation FD disclosure
51
SEC EDGARRegulation FD disclosure
52
SEC EDGARRegulation FD disclosure
53
SEC EDGARRegulation FD disclosure
54
SEC EDGARRegulation FD disclosure
55
SEC EDGARRegulation FD disclosure
56
SEC EDGARRegulation FD disclosure
57
SEC EDGARRegulation FD disclosure
58
SEC EDGARRegulation FD disclosure
59
SEC EDGARRegulation FD disclosure
60
SEC EDGARRegulation FD disclosure
61
SEC EDGARRegulation FD disclosure