Tri-Continental VP files Form 3 with no holdings

Tri-Continental Corp (TY) officer files an initial insider ownership report.

Rhea-AI Filing Summary

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.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What does the Tri-Continental Corp (TY) Form 3 filing disclose about Joseph D'Alessandro?

The Form 3 shows that Joseph D'Alessandro is an officer of Tri-Continental Corp, serving as Vice President and Assistant Secretary. As of the 02/01/2026 event date, the filing reports that he beneficially owns no Tri-Continental Corp securities, derivative or non-derivative.

What is Joseph D'Alessandro’s role at Tri-Continental Corp (TY) in the Form 3?

The filing identifies Joseph D'Alessandro as an officer of Tri-Continental Corp, with the title Vice President and Assistant Secretary. He is not listed as a director or 10% owner. This establishes his status as a reporting person under insider ownership rules for the company.

Does the Tri-Continental Corp (TY) Form 3 report any shares owned by Joseph D'Alessandro?

No, the Form 3 explicitly states that no securities are beneficially owned. Both the Table I non-derivative section and Table II derivative section contain no reported holdings, and the explanation of responses confirms that he has no beneficial ownership of Tri-Continental Corp securities.

Why is a Form 3 being filed for Tri-Continental Corp (TY) and Joseph D'Alessandro?

Form 3 is filed when someone becomes a reporting person such as an officer, director, or large shareholder. Here, it records Joseph D'Alessandro’s status as Vice President and Assistant Secretary of Tri-Continental Corp and formally notes that he currently has no beneficial ownership in company securities.

What is the event date listed in Joseph D'Alessandro’s Tri-Continental Corp (TY) Form 3?

The Form 3 lists 02/01/2026 as the date of the event requiring the statement. This date anchors when Joseph D'Alessandro’s status as a reporting person, and the related disclosure of zero beneficial ownership, are measured for Tri-Continental Corp under insider reporting rules.

AI-generated analysis. How Rhea-AI works. Not financial advice.

Understanding Insider Trading Forms →

See more from StockTitan in Google Search and AI answers. Adds StockTitan as a preferred source · opens Google

Add on Google Not now

Accepted by SEC EDGAR 02/03/2026 - 03:22 PM Learn about SEC filing dates

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0104
Estimated average burden
hours per response:			0.5

1. Name and Address of Reporting Person^*

D'Alessandro Joseph

(Last) (First) (Middle)

485 LEXINGTON AVENUE 12TH FLOOR

(Street)

NEW YORK NY 10017

(City) (State) (Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
02/01/2026

3. Issuer Name and Ticker or Trading Symbol
TRI-CONTINENTAL Corp [ TY ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	VP and Assistant Secretary

5. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

No securities are beneficially owned.

	/s/ Joseph D'Alessandro	02/03/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.