SEC Form 4 · accession 0001140361-18-012729
TRI-CONTINENTAL CORP · TY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Pamela G Carlton
Director
Period of report
Apr 4, 2012
Accepted (ET)
Mar 9, 2018 · 9:48 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000099614
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Tri-Continental Corporation Common Stock | Apr 4, 2012 | S | 100 | $15.8989 | D | 0 | D | |
| Tri-Continental Corporation Common Stock | Apr 10, 2012 | P | 1,300 | $15.55 | A | 1,300 | D | |
| Tri-Continental Corporation Common Stock | Apr 10, 2012 | P | 800 | $15.56 | A | 2,100 | D |
Table II — derivative securities
No Table II lines on this filing.
Remarks
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.