Tri-Continental (TY) Form 4: Officer/director disposes of all reported shares

Rhea-AI Filing Summary

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.

Insights

Financial Analyst

TL;DR: Insider sale of 151.282 shares at $33.56 reduces beneficial ownership to zero; transaction is disclosed on Form 4.

The Form 4 reports a straightforward non-derivative disposition by an officer/director. The sale size (151.282 shares) appears modest in absolute terms given no total prior holding or percentage of float is stated. For investors, the filing establishes that the reporting person no longer holds beneficially any common stock disclosed on this form.

Corporate Governance Expert

TL;DR: The filing documents a compliant disclosure of an officer/director sale that leaves the individual with no reported beneficial ownership.

The Form 4 contains required details: position of the reporting person, transaction type (sale), number of shares, transaction date, and price. There are no derivative transactions disclosed. The record shows compliance with Section 16 reporting; no additional governance events or plan-based transactions are indicated.

Insider Trade Summary

Net Seller: 151.282 shares

Net Sell 1 txn

Insider Petersen Christopher O.

Role SVP & Asst Secretary

Sold 151.282 shs ($5K)

Type	Security	Shares	Price	Value
Sale	Tri-Continental Corporation Common Stock	151.282	$33.56	$5K

Holdings After Transaction: Tri-Continental Corporation Common Stock — 0 shares (Direct)

FAQ

What did the Form 4 for TRI-Continental Corporation (TY) report?

The Form 4 reports a sale of 151.282 shares of TY common stock by Christopher O. Petersen at $33.56 per share.

When was the TY insider transaction executed?

The reported transaction date is 09/04/2025.

How many TY shares does the reporting person own after the transaction?

The Form 4 shows 0 shares beneficially owned following the reported sale.

Was the transaction a derivative or a direct sale?

It was a non-derivative sale (direct disposition) of common stock; no derivative securities were reported.

What is the reporting person's role at the company?

The reporting person is listed as a Director and SVP & Assistant Secretary of TRI-Continental Corporation.

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Form 4 Insider Transactions: What Each Field Means →

Accepted by SEC EDGAR 09/08/2025 - 02:12 PM Learn about SEC filing dates

SEC Form 4

FORM 4

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

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Petersen Christopher O.

(Last) (First) (Middle)

901 3RD AVE S

(Street)

MINNEAPOLIS MN 55402

(City) (State) (Zip)

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

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

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	SVP & Asst Secretary

3. Date of Earliest Transaction (Month/Day/Year)
09/04/2025

4. 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 Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Tri-Continental Corporation Common Stock	09/04/2025		S		151.282	D	$33.56	0	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

	/s/ Joseph D'Alessandro, Power of Attorney	09/08/2025
	** 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 4 (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.