0001193125-17-128573.txt : 20170419 0001193125-17-128573.hdr.sgml : 20170419 20170419144102 ACCESSION NUMBER: 0001193125-17-128573 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170419 ITEM INFORMATION: Regulation FD Disclosure FILED AS OF DATE: 20170419 DATE AS OF CHANGE: 20170419 FILER: COMPANY DATA: COMPANY CONFORMED NAME: TRI-CONTINENTAL CORP CENTRAL INDEX KEY: 0000099614 IRS NUMBER: 135441850 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 811-00266 FILM NUMBER: 17769704 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 8-K 1 d381911d8k.htm 8-K 8-K

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

 

 

FORM 8-K

 

 

CURRENT REPORT

PURSUANT TO SECTION 13 OR 15(d)

OF THE SECURITIES EXCHANGE ACT OF 1934

DATE OF REPORT (DATE OF EARLIEST EVENT REPORTED): April 19, 2017

 

 

TRI-CONTINENTAL CORPORATION

(EXACT NAME OF REGISTRANT AS SPECIFIED IN ITS CHARTER)

 

 

 

MARYLAND   811-00266   13-5441850

(STATE OR OTHER JURISDICTION

OF INCORPORATION)

  

(COMMISSION

FILE NUMBER)

  

(I.R.S. EMPLOYER

IDENTIFICATION NO.)

225 Franklin Street

Boston, Massachusetts 02110

(ADDRESS OF PRINCIPAL EXECUTIVE OFFICES, ZIP CODE)

REGISTRANT’S TELEPHONE NUMBER, INCLUDING AREA CODE (800)345-6611

NOT APPLICABLE

(FORMER NAME OR FORMER ADDRESS, IF CHANGED SINCE LAST REPORT.)

 

 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):

 

☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

 

 

SECTION 7 — REGULATION FD DISCLOSURE

Item 7.01 Regulation FD Disclosure.

Registrant is furnishing as Exhibit 99.1 the attached Press Release dated April 19, 2017 for Tri-Continental Corporation.

2

SIGNATURE

Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

  TRI-CONTINENTAL CORPORATION
Date: April 19, 2017   By: /s/ Joseph D’ Alessandro                    
        Joseph D’ Alessandro
        Assistant Secretary
 EX-99.1 2 d381911dex991.htm EX-99.1 EX-99.1
Stockholder contact:      

Kevin Howley

617-385-9517

kevin.howley@columbiathreadneedle.com

Media contact:      

Elizabeth Kennedy

617-897-9394

liz.kennedy@ampf.com

TRI-CONTINENTAL CORPORATION

HOLDS 87th ANNUAL MEETING OF STOCKHOLDERS

MINNEAPOLIS, MN, April 19, 2017 – Tri-Continental Corporation (the “Corporation”) (NYSE: TY) today held its 87th Annual Meeting of Stockholders (the “Meeting”) in Minneapolis, Minnesota. Stockholders voted in accordance with the recommendations of the Corporation’s Board of Directors (the “Board”) on each of the two proposals at the Meeting.

Stockholders elected three Directors at the Meeting. Mses. Patricia M. Flynn and Catherine James Paglia and Mr. William A. Hawkins were each elected as Director for a term that will expire at the Corporation’s 2020 Annual Meeting of Stockholders. It is anticipated that Mr. Hawkins, pursuant to the Board’s current retirement policy, will retire at the end of 2017. Stockholders also ratified the Board’s selection of PricewaterhouseCoopers LLP as the Corporation’s independent registered public accounting firm for 2017.

The Corporation is managed by Columbia Management Investment Advisers, LLC. This material is distributed by Columbia Management Investment Distributors, Inc., member FINRA.

You should consider the investment objectives, risks, charges, and expenses of the Corporation carefully before investing. A prospectus containing information about the Corporation (including its investment objectives, risks, charges, expenses, and other information) may be obtained by contacting your financial advisor or Columbia Management Investment Services Corp. at 800-345-6611 or visiting www.columbiathreadneedleus.com. The prospectus can also be found on the Securities and Exchange Commission’s EDGAR database. The prospectus should be read carefully before investing in the Corporation. There is no guarantee that the Corporation’s investment goals/objectives will be met or that distributions will be made, and you could lose money.

The net asset value of the Corporation’s shares may not always correspond to their market price. Shares of closed-end funds frequently trade at a discount from their net asset value. The Corporation’s share price may be adversely affected if the market value of its portfolio securities falls, fails to rise, or fluctuates due to factors affecting a single issuer, sector of the economy, industry or the market as a whole.

Columbia Threadneedle Investments is the global brand name of the Columbia and Threadneedle group of companies.

Investment products are not federally or FDIC-insured, are not deposits or obligations of, or guaranteed by any financial institution, and involve investment risks including possible loss of principal and fluctuation in value.

© 2017 Columbia Management Investment Advisers, LLC. All rights reserved.

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