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| Reporting Date | Major Shareholder Name | Shares Held | Market Value | Change in Shares | Ownership |
|---|---|---|---|---|---|
| 04/29/2024 | ALLSPRING GLOBAL INVESTMENTS HOLDINGS, LLC | 548,544 | $16.90 M | -3.27% | 1.04% |
| 05/15/2024 | MORGAN STANLEY | 539,952 | $16.63 M | -9.53% | 1.02% |
| 05/06/2024 | BARD FINANCIAL SERVICES, INC. | 516,795 | $15.92 M | -3.80% | 0.98% |
| 05/14/2024 | LAZARD ASSET MANAGEMENT LLC | 449,805 | $13.85 M | 0.00% | 0.85% |
| 04/24/2024 | BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC | 413,891 | $12.75 M | -0.48% | 0.78% |
| 04/22/2024 | RAYMOND JAMES & ASSOCIATES | 298,712 | $9.20 M | -1.84% | 0.56% |
| 05/10/2024 | WELLS FARGO & COMPANY/MN | 265,035 | $8.16 M | -1.75% | 0.50% |
| 05/13/2024 | UBS GROUP AG | 243,348 | $7.50 M | -3.19% | 0.46% |
| 05/13/2024 | RELATIVE VALUE PARTNERS GROUP, LLC | 236,144 | $6.84 M | -2.19% | 0.45% |
| 04/25/2024 | HTLF BANK | 234,037 | $7.21 M | -2.10% | 0.44% |
| 04/22/2024 | RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC. | 213,487 | $6.58 M | -4.25% | 0.40% |
| 04/19/2024 | UNCOMMON CENTS INVESTING LLC | 167,959 | $5.17 M | -0.45% | 0.32% |
| 05/10/2024 | CORNERSTONE ADVISORS, LLC | 141,736 | $4.37 M | 63.68% | 0.27% |
| 04/17/2024 | HENNION & WALSH ASSET MANAGEMENT, INC. | 130,014 | $4.00 M | -1.99% | 0.25% |
| 04/15/2024 | WEALTH ENHANCEMENT ADVISORY SERVICES, LLC | 114,038 | $3.51 M | -4.17% | 0.22% |
| 05/14/2024 | STIFEL FINANCIAL CORP | 101,858 | $3.14 M | -2.19% | 0.19% |
| 05/13/2024 | 1620 INVESTMENT ADVISORS, INC. | 88,692 | $2.73 M | 1.68% | 0.17% |
| 05/15/2024 | ROYAL BANK OF CANADA | 86,810 | $2.67 M | -3.19% | 0.16% |
| 05/13/2024 | D.A. DAVIDSON & CO. | 80,722 | $2.49 M | -0.87% | 0.15% |
| 05/14/2024 | CAPSTONE FINANCIAL ADVISORS, INC. | 75,513 | $2.33 M | 0.00% | 0.14% |
| 05/15/2024 | MARINER, LLC | 74,116 | $2.28 M | 0.81% | 0.14% |
| 05/10/2024 | ADVISOR GROUP HOLDINGS, INC. | 71,701 | $1.99 M | -1.24% | 0.14% |
| 05/13/2024 | SHAKER FINANCIAL SERVICES, LLC | 69,475 | $2.14 M | 90.53% | 0.13% |
| 05/15/2024 | INTEGRATED WEALTH CONCEPTS LLC | 68,494 | $2.11 M | -4.13% | 0.13% |
| 05/13/2024 | RB CAPITAL MANAGEMENT, LLC | 57,681 | $1.78 M | -4.65% | 0.11% |
| 04/24/2024 | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | 56,687 | $1.75 M | 6.44% | 0.11% |
| 05/10/2024 | CIBC PRIVATE WEALTH GROUP, LLC | 53,470 | $1.64 M | 100.00% | 0.10% |
| 04/09/2024 | STOLPER CO | 53,152 | $1.64 M | 0.72% | 0.10% |
| 05/13/2024 | FIRST TRUST ADVISORS LP | 52,793 | $1.63 M | 6.51% | 0.10% |
| 05/14/2024 | THRIVENT FINANCIAL FOR LUTHERANS | 52,564 | $1.62 M | -2.40% | 0.10% |
| 05/09/2024 | LANDSCAPE CAPITAL MANAGEMENT, L.L.C. | 51,411 | $1.58 M | 52.80% | 0.10% |
| 05/15/2024 | AQR ARBITRAGE LLC | 50,070 | $1.54 M | 34.99% | 0.09% |
| 04/29/2024 | COMMONWEALTH EQUITY SERVICES, LLC | 45,784 | $1.41 M | 100.00% | 0.09% |
| 05/15/2024 | BANK OF AMERICA CORP /DE/ | 44,916 | $1.38 M | -1.95% | 0.08% |
| 05/08/2024 | HERITAGE WEALTH ADVISORS | 42,785 | $1.67 M | 101.98% | 0.08% |
| 04/19/2024 | ALBION FINANCIAL GROUP /UT | 36,595 | $1.13 M | 0.00% | 0.07% |
| 04/16/2024 | WHITENER CAPITAL MANAGEMENT, INC. | 35,590 | $1.10 M | 0.38% | 0.07% |
| 05/02/2024 | ALTUS WEALTH GROUP LLC | 33,199 | $1.02 M | 26.84% | 0.06% |
| 05/10/2024 | LPL FINANCIAL LLC | 32,203 | $991,849 | -20.53% | 0.06% |
| 05/13/2024 | WOLVERINE ASSET MANAGEMENT LLC | 28,706 | $884,144 | 100.00% | 0.05% |
| 05/06/2024 | HIGHTOWER ADVISORS, LLC | 27,039 | $833,000 | 7.74% | 0.05% |
| 05/07/2024 | CONCURRENT INVESTMENT ADVISORS, LLC | 24,469 | $753,617 | 2.60% | 0.05% |
| 05/14/2024 | MGO ONE SEVEN LLC | 23,608 | $727,114 | 1.01% | 0.04% |
| 05/10/2024 | TIAA TRUST, NATIONAL ASSOCIATION | 22,767 | $701,224 | 0.00% | 0.04% |
| 05/24/2024 | CETERA INVESTMENT ADVISERS | 20,655 | $636,160 | 100.00% | 0.04% |
| 05/15/2024 | KESTRA ADVISORY SERVICES, LLC | 18,543 | $571,121 | 9.77% | 0.04% |
| 04/16/2024 | TRANSFORM WEALTH, LLC | 18,264 | $562,527 | 0.85% | 0.03% |
| 05/06/2024 | SAVANT CAPITAL, LLC | 16,920 | $521,131 | -20.85% | 0.03% |
| 05/15/2024 | CETERA ADVISORS LLC | 16,868 | $519,534 | 105.33% | 0.03% |
| 04/12/2024 | FIRST PREMIER BANK | 16,574 | $510,000 | 0.00% | 0.03% |
A. During the previous two years, 186 institutional investors and hedge funds held shares of Tri-Continental Corporation. The most heavily invested institutionals were:
Allspring Global Investments Holdings, LLC: 548,544
MORGAN STANLEY: 539,952
Bard Financial Services, Inc.: 516,795
LAZARD ASSET MANAGEMENT LLC: 449,805
BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC: 413,891
RAYMOND JAMES & ASSOCIATES: 298,712
A. 12.57% of Tri-Continental Corporation stock is owned by institutional investors.
A. Institutional investors have bought a total of 9.92 M shares in the last 24 months. This purchase volume represents approximately $310.64 M in transactions.
