SAI | SAI Dated |
Tri-Continental Corporation | 5/1/2019 |
Other Accounts Managed (excluding the Fund) | |||||
Fund | Portfolio Manager | Number
and type of account* |
Approximate
Total Net Assets (excluding the fund) |
Performance
Based Accounts** |
Ownership
of Fund Shares |
Information is as of December 31, 2018, unless otherwise noted | |||||
Tri-Continental
Corporation |
Brian Condon(b) | 22
RICs 2 PIVs 66 other accounts |
$11.30
billion $94.13 million $6.74 billion |
None | $100,001-$500,000 (a) |
David L. King | 5
RICs 7 other accounts |
$5.64
billion $24.17 million |
None | Over $1,000,000(a) | |
Yan Jin | 5
RICs 10 other accounts |
$5.64
billion $4.39 million |
None | $100,001-$500,000 (a) | |
Peter Albanese | 16
RICs 2 PIVs 64 other accounts |
$11.25
billion $94.13 million $6.73 billion |
None | $100,001-$500,000 (a) | |
Raghavendran Sivaraman(c) | 12
RICs 4 other accounts |
$10.31
billion $20.47 million |
None | None |
* | RIC refers to a Registered Investment Company; PIV refers to a Pooled Investment Vehicle. |
** | Number and type of accounts for which the advisory fee paid is based in part or wholly on performance and the aggregate net assets in those accounts. |
(a) | Excludes any notional investments. |
(b) | Brian Condon has announced that he plans to retire from the Investment Manager, on May 31, 2020. Until then, Mr. Condon will continue to serve as a Co-Portfolio Manager of the Fund. |
(c) | The portfolio manager began managing the Fund after its last fiscal year end; reporting information is provided as of February 29,2020. |