0001140361-18-012729.txt : 20180309 0001140361-18-012729.hdr.sgml : 20180309 20180309094836 ACCESSION NUMBER: 0001140361-18-012729 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120404 FILED AS OF DATE: 20180309 DATE AS OF CHANGE: 20180309 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Carlton Pamela G CENTRAL INDEX KEY: 0001449984 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-00266 FILM NUMBER: 18678725 MAIL ADDRESS: STREET 1: 901 S. MARQUETTE AVENUE CITY: MINNEAPOLIS STATE: MN ZIP: 55402 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: TRI-CONTINENTAL CORP CENTRAL INDEX KEY: 0000099614 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] IRS NUMBER: 135441850 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 225 FRANKLIN STREET CITY: BOSTON STATE: MA ZIP: 02110 BUSINESS PHONE: 612-671-4321 MAIL ADDRESS: STREET 1: 225 FRANKLIN STREET CITY: BOSTON STATE: MA ZIP: 02110 FORMER COMPANY: FORMER CONFORMED NAME: TRI CONTINENTAL CORP DATE OF NAME CHANGE: 19920703 4 1 doc1.xml FORM 4 X0306 4 2012-04-04 0 0000099614 TRI-CONTINENTAL CORP TY 0001449984 Carlton Pamela G 225 FRANKLIN ST BOSTON MA 02110 1 0 0 0 Tri-Continental Corporation Common Stock 2012-04-04 4 S 0 100.000 15.8989 D 0 D Tri-Continental Corporation Common Stock 2012-04-10 4 P 0 1300 15.55 A 1300 D Tri-Continental Corporation Common Stock 2012-04-10 4 P 0 800 15.56 A 2100 D Late filing being made as a result of administrative oversight. A small, short swing profit was identified in connection with the above transactions and reimbursement made to the Issuer. Joseph D'Alessandro, Power of Attorney 2018-03-09