Welcome to our dedicated page for Tri-Continental Corporation SEC filings (Ticker: TY), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
The Tri-Continental Corporation (NYSE: TY) SEC filings page on Stock Titan provides access to the Corporation’s regulatory disclosures as a closed-end management investment company. Tri-Continental Corporation is organized under Maryland law and registers its common stock (TY) and preferred stock (TYPR) under Section 12(b) of the Securities Exchange Act of 1934, with both classes listed on the New York Stock Exchange.
Among the key filings available are current reports on Form 8-K, where the Corporation furnishes press releases under Regulation FD. Recent 8-K filings have included exhibits such as press releases announcing ordinary income distributions and capital gain distributions, as well as reports on the results of the Corporation’s annual meeting of stockholders. These filings document matters such as the re-election of directors and the ratification of PricewaterhouseCoopers LLP as the independent registered public accounting firm for a given fiscal year.
Investors can also use this page to track how Tri-Continental Corporation communicates information about its investment objectives, risks, charges, and expenses through references to its prospectus and other disclosures. While the full prospectus is available through the SEC’s EDGAR database and other channels, the filings listed here highlight material updates and regulatory communications.
Stock Titan enhances access to these documents with AI-powered summaries that explain the key points of lengthy filings in plain language. Real-time updates from EDGAR allow users to see new 8-Ks and other forms as they are filed, and dedicated sections help identify items related to distributions, governance decisions, and other material events. This makes it easier to understand how Tri-Continental Corporation’s regulatory filings relate to its operations as a closed-end fund and to its listed common and preferred shares.
Tri-Continental Corporation is informing investors about its upcoming 96th Annual Meeting of Stockholders. The meeting will be held on June 16, 2026 in Minneapolis, Minnesota.
The Board set April 21, 2026 as the record date to determine which stockholders are entitled to receive notice of, and vote at, the meeting. Stockholders will be asked to elect four directors—Brian J. Gallagher, Ryan C. Larrenaga, Nancy T. Lukitsh, and Catherine James Paglia—to serve until the 2029 annual meeting, and to vote on ratifying the selection of PricewaterhouseCoopers LLP as the independent registered public accounting firm for the 2026 fiscal year. Additional details, including how to access the meeting, will be provided in a notice and proxy statement that the company plans to file with the SEC.
TY filed an N-CEN annual report providing its registrant template responses for a fund's annual reporting requirements. The filing lists aggregate brokerage commissions of 255,644.07 and itemized broker commissions and principal transaction values for multiple counterparties, with principal trades showing values such as 117,015,024.49, 100,518,202.88, and other line items.
The report is presented as the standard N-CEN form with many fields left as template placeholders (registrant name, CIK, addresses, directors, and several itemized disclosures). Where numeric detail is provided, it is limited to brokerage commissions and principal transaction totals; other items remain blank in the provided excerpt.
Tri-Continental Corporation filed its certified annual stockholder report for the period ended December 31, 2025, reporting net assets of $1,982,803,354 and a closing market price of $32.66 versus an NAV of $36.35 on December 31, 2025. The Fund lists asset mix as 67.8% common stocks, 18.7% corporate bonds & notes, 6.6% convertible bonds and 5.3% convertible preferred stocks.
The report discloses 1‑year market price return of 16.14 and NAV return of 15.45, top equity holdings including NVIDIA, Alphabet, Apple, and leverage via 752,740 preferred shares with a $2.50 annual dividend. Portfolio concentration, derivatives use, and extensive principal risk disclosures are included.
Tri-Continental Corporation filed an 8-K to share a press release announcing its first quarter 2026 distributions. The company declared an ordinary income distribution of $0.2848 per share for its Common Stock and $0.6250 per share for its Preferred Stock.
Distributions on Common Stock will be paid on March 25, 2026 to stockholders of record on March 17, 2026, while Preferred Stock dividends will be paid on April 1, 2026 to stockholders of record on March 17, 2026. The ex-dividend date for both classes is March 17, 2026. The common stock distribution follows the company’s distribution policy, and the company notes it has paid dividends on its common stock for 82 consecutive years.
Tri-Continental Corporation filed an initial ownership report for executive Victoria K. Bender, who serves as a Vice President. The Form 3 states that she has no securities of Tri-Continental Corp beneficially owned as of the event date of 02/01/2026.
Tri-Continental Corp (TY) officer files an initial insider ownership report. Vice President and Assistant Secretary Joseph D'Alessandro submitted a Form 3 reflecting his relationship to the company as an officer.
The filing states that as of the event date of 02/01/2026, no securities of Tri-Continental Corp are beneficially owned, and both the non-derivative and derivative securities tables report no holdings.
A director of Tri-Continental Corporation reported beneficial ownership of 100 shares of Tri-Continental Corporation common stock as of an event dated 01/01/2026. The shares are listed as held in direct ownership form. The report is filed for one reporting person in connection with the company’s shares trading under the symbol TY.
Tri-Continental Corporation filed a current report to make a company press release publicly available under Regulation FD, which is a rule designed to ensure fair disclosure of important information. The report states that the press release, dated November 18, 2025, is provided as Exhibit 99.1. The company’s common stock (trading symbol TY) and preferred stock (trading symbol TYPR) are listed on the New York Stock Exchange.
Christopher O. Petersen, a director and SVP & Assistant Secretary of Tri-Continental Corporation (TY), reported a sale of 151.282 shares of the issuer's common stock on 09/04/2025 at a price of $33.56 per share. Following the reported transaction the filing shows 0 shares beneficially owned by the reporting person.
Tri-Continental Corporation filed a current report to furnish a press release dated September 5, 2025. The company used this report to provide information under Regulation FD, which is intended to ensure fair disclosure of material information to all investors at the same time.
The press release is attached as Exhibit 99.1, but its detailed contents are not included in this excerpt. Tri-Continental’s common stock, trading under symbol TY, and preferred stock, trading under TYPR, are listed on the New York Stock Exchange.