Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company (n-q)
28 November 2018 - 1:54PM
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM
N-Q
QUARTERLY
SCHEDULE OF PORTFOLIO HOLDINGS
OF REGISTERED MANAGEMENT INVESTMENT COMPANY
Investment Company Act file number
811-00266
Tri-Continental
Corporation
(Exact name of registrant as specified in charter)
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225 Franklin Street, Boston, Massachusetts
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02110
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(Address of principal executive offices)
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(Zip code)
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Christopher O. Petersen
c/o Columbia Management Investment Advisors, LLC
225 Franklin Street
Boston, Massachusetts 02110
Ryan C. Larrenaga, Esq.
c/o Columbia Management Investment Advisers, LLC
225 Franklin Street
Boston, MA 02110
(Name
and address of agent for service)
Registrants telephone number, including area code: (800)
345-6611
Date of fiscal year end: December 31
Date of reporting period: September 30, 2018
Item 1. Schedule of Investments.
Portfolio of Investments
Tri-Continental Corporation, September 30, 2018 (Unaudited)
(Percentages represent value of investments compared to net
assets)
Investments in securities
Common
Stocks 67.1%
|
Issuer
|
Shares
|
Value
($)
|
Consumer
Discretionary 7.7%
|
Hotels,
Restaurants & Leisure 2.1%
|
Carnival
Corp.
|
70,000
|
4,463,900
|
Extended
Stay America, Inc.
|
400,000
|
8,092,000
|
Marriott
International, Inc., Class A
|
120,500
|
15,909,615
|
Six
Flags Entertainment Corp.
|
97,500
|
6,807,450
|
Total
|
|
35,272,965
|
Household
Durables 0.2%
|
PulteGroup,
Inc.
|
145,500
|
3,604,035
|
Internet
& Direct Marketing Retail 1.5%
|
Amazon.com,
Inc.
(a)
|
7,775
|
15,573,325
|
Booking
Holdings, Inc.
(a)
|
5,475
|
10,862,400
|
Total
|
|
26,435,725
|
Leisure
Products 0.3%
|
Hasbro,
Inc.
|
42,500
|
4,467,600
|
Media
0.9%
|
Comcast
Corp., Class A
|
301,500
|
10,676,115
|
News
Corp., Class A
|
311,100
|
4,103,409
|
Viacom,
Inc., Class B
|
36,500
|
1,232,240
|
Total
|
|
16,011,764
|
Multiline
Retail 0.6%
|
Kohl’s
Corp.
|
143,800
|
10,720,290
|
Specialty
Retail 1.3%
|
Best
Buy Co., Inc.
|
170,400
|
13,522,944
|
Foot
Locker, Inc.
|
181,800
|
9,268,164
|
Total
|
|
22,791,108
|
Textiles,
Apparel & Luxury Goods 0.8%
|
Ralph
Lauren Corp.
|
94,700
|
13,025,985
|
Total
Consumer Discretionary
|
132,329,472
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Consumer
Staples 4.5%
|
Food
& Staples Retailing 1.8%
|
Walgreens
Boots Alliance, Inc.
|
230,050
|
16,770,645
|
Walmart,
Inc.
|
146,400
|
13,748,424
|
Total
|
|
30,519,069
|
Common
Stocks (continued)
|
Issuer
|
Shares
|
Value
($)
|
Food
Products 0.9%
|
Kellogg
Co.
|
130,000
|
9,102,600
|
Tyson
Foods, Inc., Class A
|
105,200
|
6,262,556
|
Total
|
|
15,365,156
|
Household
Products 0.6%
|
Kimberly-Clark
Corp.
|
96,150
|
10,926,486
|
Tobacco
1.2%
|
Altria
Group, Inc.
|
112,500
|
6,784,875
|
Philip
Morris International, Inc.
|
167,500
|
13,657,950
|
Total
|
|
20,442,825
|
Total
Consumer Staples
|
77,253,536
|
Energy
3.9%
|
Energy
Equipment & Services 0.3%
|
National
Oilwell Varco, Inc.
|
102,400
|
4,411,392
|
Oil,
Gas & Consumable Fuels 3.6%
|
BP
PLC, ADR
|
200,000
|
9,220,000
|
Chevron
Corp.
(b)
|
33,500
|
4,096,380
|
ConocoPhillips
|
244,100
|
18,893,340
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Marathon
Petroleum Corp.
|
80,800
|
6,461,576
|
Suncor
Energy, Inc.
|
215,000
|
8,318,350
|
Valero
Energy Corp.
|
137,000
|
15,583,750
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Total
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62,573,396
|
Total
Energy
|
66,984,788
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Financials
10.3%
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Banks
4.9%
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Bank
of America Corp.
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275,000
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8,101,500
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BB&T
Corp.
|
125,000
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6,067,500
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Citigroup,
Inc.
|
277,700
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19,922,198
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Citizens
Financial Group, Inc.
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16,800
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647,976
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Fifth
Third Bancorp
|
124,200
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3,467,664
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JPMorgan
Chase & Co.
|
340,100
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38,376,884
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PacWest
Bancorp
|
165,000
|
7,862,250
|
Total
|
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84,445,972
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Tri-Continental
Corporation | Quarterly Report 2018
|
1
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Portfolio of Investments
(continued)
Tri-Continental Corporation, September 30, 2018 (Unaudited)
Common
Stocks (continued)
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Issuer
|
Shares
|
Value
($)
|
Capital
Markets 2.7%
|
Ares
Capital Corp.
|
500,000
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8,595,000
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BlackRock,
Inc.
|
17,850
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8,413,240
|
S&P
Global, Inc.
|
78,500
|
15,338,115
|
T.
Rowe Price Group, Inc.
|
95,300
|
10,404,854
|
TCG
BDC, Inc.
|
250,000
|
4,175,000
|
Total
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46,926,209
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Consumer
Finance 0.4%
|
Capital
One Financial Corp.
|
61,300
|
5,819,209
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Insurance
1.6%
|
Allstate
Corp. (The)
|
137,000
|
13,521,900
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Principal
Financial Group, Inc.
|
115,000
|
6,737,850
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Prudential
Financial, Inc.
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71,500
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7,244,380
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Total
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27,504,130
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Mortgage
Real Estate Investment Trusts (REITS) 0.7%
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Blackstone
Mortgage Trust, Inc.
|
112,500
|
3,769,875
|
Starwood
Property Trust, Inc.
|
400,000
|
8,608,000
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Total
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12,377,875
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Total
Financials
|
177,073,395
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Health
Care 9.9%
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Biotechnology
2.3%
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AbbVie,
Inc.
|
66,280
|
6,268,762
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Alexion
Pharmaceuticals, Inc.
(a)
|
34,700
|
4,823,647
|
Biogen,
Inc.
(a)
|
16,900
|
5,970,939
|
BioMarin
Pharmaceutical, Inc.
(a)
|
37,600
|
3,646,072
|
Gilead
Sciences, Inc.
|
172,600
|
13,326,446
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TESARO,
Inc.
(a)
|
15,200
|
592,952
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Vertex
Pharmaceuticals, Inc.
(a)
|
26,250
|
5,059,425
|
Total
|
|
39,688,243
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Health
Care Equipment & Supplies 1.2%
|
Abbott
Laboratories
|
97,800
|
7,174,608
|
Baxter
International, Inc.
|
171,900
|
13,251,771
|
Total
|
|
20,426,379
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Common
Stocks (continued)
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Issuer
|
Shares
|
Value
($)
|
Health
Care Providers & Services 1.4%
|
AmerisourceBergen
Corp.
|
44,700
|
4,122,234
|
Express
Scripts Holding Co.
(a)
|
94,679
|
8,995,452
|
Humana,
Inc.
|
23,000
|
7,785,960
|
WellCare
Health Plans, Inc.
(a)
|
12,501
|
4,006,445
|
Total
|
|
24,910,091
|
Pharmaceuticals
5.0%
|
Allergan
PLC
|
10,300
|
1,961,944
|
Bristol-Myers
Squibb Co.
|
354,900
|
22,032,192
|
Eli
Lilly & Co.
|
174,700
|
18,747,057
|
Johnson
& Johnson
|
108,700
|
15,019,079
|
Merck
& Co., Inc.
|
92,500
|
6,561,950
|
Pfizer,
Inc.
|
483,809
|
21,321,463
|
Total
|
|
85,643,685
|
Total
Health Care
|
170,668,398
|
Industrials
6.1%
|
Aerospace
& Defense 2.2%
|
Boeing
Co. (The)
|
78,400
|
29,156,960
|
General
Dynamics Corp.
|
7,600
|
1,555,872
|
Lockheed
Martin Corp.
|
20,000
|
6,919,200
|
Raytheon
Co.
|
4,200
|
867,972
|
Total
|
|
38,500,004
|
Airlines
0.9%
|
Delta
Air Lines, Inc.
|
279,350
|
16,154,811
|
Electrical
Equipment 0.8%
|
Acuity
Brands, Inc.
|
45,200
|
7,105,440
|
AMETEK,
Inc.
|
51,700
|
4,090,504
|
Emerson
Electric Co.
|
38,600
|
2,955,988
|
Total
|
|
14,151,932
|
Industrial
Conglomerates 0.3%
|
Honeywell
International, Inc.
|
35,600
|
5,923,840
|
Machinery
0.5%
|
Illinois
Tool Works, Inc.
|
19,900
|
2,808,288
|
Snap-On,
Inc.
|
12,600
|
2,313,360
|
Stanley
Black & Decker, Inc.
|
21,000
|
3,075,240
|
Total
|
|
8,196,888
|
2
|
Tri-Continental Corporation
| Quarterly Report 2018
|
Portfolio of Investments
(continued)
Tri-Continental Corporation, September 30, 2018 (Unaudited)
Common
Stocks (continued)
|
Issuer
|
Shares
|
Value
($)
|
Professional
Services —%
|
Nielsen
Holdings PLC
|
15,300
|
423,198
|
Road
& Rail 0.3%
|
Union
Pacific Corp.
|
27,900
|
4,542,957
|
Trading
Companies & Distributors 0.8%
|
W.W.
Grainger, Inc.
|
36,300
|
12,973,983
|
Transportation
Infrastructure 0.3%
|
Macquarie
Infrastructure Corp.
|
95,000
|
4,382,350
|
Total
Industrials
|
105,249,963
|
Information
Technology 17.4%
|
Communications
Equipment 1.9%
|
Cisco
Systems, Inc.
|
581,300
|
28,280,245
|
F5
Networks, Inc.
(a)
|
21,900
|
4,367,298
|
Total
|
|
32,647,543
|
Electronic
Equipment, Instruments & Components 0.4%
|
Corning,
Inc.
|
200,000
|
7,060,000
|
Internet
Software & Services 2.8%
|
Alphabet,
Inc., Class A
(a)
|
8,100
|
9,777,348
|
Facebook,
Inc., Class A
(a)
|
155,200
|
25,524,192
|
VeriSign,
Inc.
(a)
|
85,500
|
13,690,260
|
Total
|
|
48,991,800
|
IT
Services 2.2%
|
Automatic
Data Processing, Inc.
|
30,000
|
4,519,800
|
MasterCard,
Inc., Class A
|
101,600
|
22,617,176
|
Visa,
Inc., Class A
|
69,700
|
10,461,273
|
Total
|
|
37,598,249
|
Semiconductors
& Semiconductor Equipment 3.9%
|
Analog
Devices, Inc.
|
81,600
|
7,544,736
|
Broadcom,
Inc.
|
61,000
|
15,050,530
|
Intel
Corp.
|
235,000
|
11,113,150
|
KLA-Tencor
Corp.
|
52,500
|
5,339,775
|
Lam
Research Corp.
|
40,000
|
6,068,000
|
Maxim
Integrated Products, Inc.
|
70,000
|
3,947,300
|
QUALCOMM,
Inc.
|
242,900
|
17,496,087
|
Texas
Instruments, Inc.
|
9,700
|
1,040,713
|
Total
|
|
67,600,291
|
Common
Stocks (continued)
|
Issuer
|
Shares
|
Value
($)
|
Software
3.9%
|
Adobe
Systems, Inc.
(a)
|
74,700
|
20,165,265
|
Microsoft
Corp.
|
344,600
|
39,411,902
|
VMware,
Inc., Class A
(a)
|
44,200
|
6,897,852
|
Total
|
|
66,475,019
|
Technology
Hardware, Storage & Peripherals 2.3%
|
Apple,
Inc.
|
108,450
|
24,481,503
|
HP,
Inc.
|
158,300
|
4,079,391
|
NetApp,
Inc.
|
67,400
|
5,788,986
|
Western
Digital Corp.
|
75,000
|
4,390,500
|
Total
|
|
38,740,380
|
Total
Information Technology
|
299,113,282
|
Materials
1.1%
|
Chemicals
1.0%
|
Eastman
Chemical Co.
|
39,700
|
3,800,084
|
LyondellBasell
Industries NV, Class A
|
141,500
|
14,505,165
|
Total
|
|
18,305,249
|
Metals
& Mining 0.1%
|
Freeport-McMoRan,
Inc.
|
87,300
|
1,215,216
|
Total
Materials
|
19,520,465
|
Real
Estate 2.1%
|
Equity
Real Estate Investment Trusts (REITS) 2.1%
|
Alexandria
Real Estate Equities, Inc.
|
52,500
|
6,603,975
|
American
Tower Corp.
|
31,600
|
4,591,480
|
Equinix,
Inc.
|
15,000
|
6,493,350
|
Host
Hotels & Resorts, Inc.
|
613,000
|
12,934,300
|
Simon
Property Group, Inc.
|
27,200
|
4,807,600
|
Total
|
|
35,430,705
|
Total
Real Estate
|
35,430,705
|
Telecommunication
Services 1.3%
|
Diversified
Telecommunication Services 1.3%
|
AT&T,
Inc.
|
441,100
|
14,812,138
|
Verizon
Communications, Inc.
|
154,800
|
8,264,772
|
Total
|
|
23,076,910
|
Total
Telecommunication Services
|
23,076,910
|
Tri-Continental
Corporation | Quarterly Report 2018
|
3
|
Portfolio of Investments
(continued)
Tri-Continental Corporation, September 30, 2018 (Unaudited)
Common
Stocks (continued)
|
Issuer
|
Shares
|
Value
($)
|
Utilities
2.8%
|
Electric
Utilities 0.9%
|
American
Electric Power Co., Inc.
|
90,000
|
6,379,200
|
Edison
International
|
95,000
|
6,429,600
|
Entergy
Corp.
|
32,200
|
2,612,386
|
Total
|
|
15,421,186
|
Independent
Power and Renewable Electricity Producers 1.3%
|
Clearway
Energy, Inc., Class A
|
440,000
|
8,377,600
|
NRG
Energy, Inc.
|
380,700
|
14,238,180
|
Total
|
|
22,615,780
|
Multi-Utilities
0.6%
|
CenterPoint
Energy, Inc.
|
204,700
|
5,659,955
|
Public
Service Enterprise Group, Inc.
|
87,800
|
4,634,962
|
Total
|
|
10,294,917
|
Total
Utilities
|
48,331,883
|
Total
Common Stocks
(Cost $965,621,026)
|
1,155,032,797
|
Convertible
Bonds 8.2%
|
Issuer
|
Coupon
Rate
|
|
Principal
Amount ($)
|
Value
($)
|
Cable
and Satellite 0.4%
|
DISH
Network Corp.
|
08/15/2026
|
3.375%
|
|
7,000,000
|
6,676,362
|
Gaming
0.3%
|
Caesars
Entertainment Corp.
|
10/01/2024
|
5.000%
|
|
2,800,000
|
4,560,044
|
Health
Care 0.5%
|
Invacare
Corp.
|
02/15/2021
|
5.000%
|
|
3,600,000
|
3,893,123
|
Novavax,
Inc.
|
02/01/2023
|
3.750%
|
|
6,800,000
|
4,131,000
|
Total
|
8,024,123
|
Home
Construction 0.4%
|
SunPower
Corp.
|
01/15/2023
|
4.000%
|
|
7,500,000
|
6,275,137
|
Independent
Energy 0.5%
|
Chesapeake
Energy Corp.
|
09/15/2026
|
5.500%
|
|
8,500,000
|
8,395,849
|
12/15/2038
|
2.250%
|
|
10,000
|
9,525
|
Total
|
8,405,374
|
Convertible
Bonds (continued)
|
Issuer
|
Coupon
Rate
|
|
Principal
Amount ($)
|
Value
($)
|
Life
Insurance 0.3%
|
AXA
SA
(c)
|
05/15/2021
|
7.250%
|
|
4,100,000
|
4,400,817
|
Metals
and Mining 0.2%
|
Endeavour
Mining Corp.
(c)
|
02/15/2023
|
3.000%
|
|
4,600,000
|
4,393,000
|
Oil
Field Services 0.2%
|
Bristow
Group, Inc.
|
06/01/2023
|
4.500%
|
|
3,658,000
|
3,683,606
|
Other
Industry 0.2%
|
Green
Plains, Inc.
|
09/01/2022
|
4.125%
|
|
4,600,000
|
4,399,923
|
Other
REIT 0.9%
|
Blackstone
Mortgage Trust, Inc.
|
05/05/2022
|
4.375%
|
|
5,000,000
|
4,987,930
|
IH
Merger Sub LLC
|
01/15/2022
|
3.500%
|
|
5,800,000
|
6,374,670
|
New
York Mortgage Trust, Inc.
|
01/15/2022
|
6.250%
|
|
4,300,000
|
4,281,239
|
Total
|
15,643,839
|
Pharmaceuticals
2.8%
|
Aegerion
Pharmaceuticals, Inc.
|
08/15/2019
|
2.000%
|
|
5,000,000
|
3,746,265
|
Alder
Biopharmaceuticals, Inc.
|
02/01/2025
|
2.500%
|
|
3,800,000
|
4,065,677
|
Clovis
Oncology, Inc.
|
05/01/2025
|
1.250%
|
|
6,800,000
|
5,256,400
|
Dermira,
Inc.
|
05/15/2022
|
3.000%
|
|
5,200,000
|
4,315,184
|
Fluidigm
Corp.
|
02/01/2034
|
2.750%
|
|
4,000,000
|
4,135,736
|
Innoviva,
Inc.
|
Subordinated
|
01/15/2023
|
2.125%
|
|
4,500,000
|
4,559,062
|
Insmed,
Inc.
|
01/15/2025
|
1.750%
|
|
5,000,000
|
4,208,975
|
Intercept
Pharmaceuticals, Inc.
|
07/01/2023
|
3.250%
|
|
6,500,000
|
6,569,062
|
PTC
Therapeutics, Inc.
|
08/15/2022
|
3.000%
|
|
4,000,000
|
4,582,148
|
Radius
Health, Inc.
|
09/01/2024
|
3.000%
|
|
5,700,000
|
4,354,612
|
4
|
Tri-Continental Corporation
| Quarterly Report 2018
|
Portfolio of Investments
(continued)
Tri-Continental Corporation, September 30, 2018 (Unaudited)
Convertible
Bonds (continued)
|
Issuer
|
Coupon
Rate
|
|
Principal
Amount ($)
|
Value
($)
|
TESARO,
Inc.
|
10/01/2021
|
3.000%
|
|
1,500,000
|
1,995,389
|
Total
|
47,788,510
|
Property
& Casualty 0.6%
|
Heritage
Insurance Holdings, Inc.
|
08/01/2037
|
5.875%
|
|
3,600,000
|
4,152,600
|
MGIC
Investment Corp.
(c),(d)
|
Junior
Subordinated
|
04/01/2063
|
9.000%
|
|
4,711,000
|
6,314,450
|
Total
|
10,467,050
|
Retailers
0.2%
|
GNC
Holdings, Inc.
|
08/15/2020
|
1.500%
|
|
5,700,000
|
4,389,000
|
Technology
0.5%
|
Microchip
Technology, Inc.
|
Junior
Subordinated
|
02/15/2037
|
2.250%
|
|
8,000,000
|
8,437,088
|
Transportation
Services 0.2%
|
Aegean
Marine Petroleum Network, Inc.
|
12/15/2021
|
4.250%
|
|
6,000,000
|
3,480,072
|
Total
Convertible Bonds
(Cost $146,968,256)
|
141,023,945
|
Convertible
Preferred Stocks 6.5%
|
Issuer
|
|
Shares
|
Value
($)
|
Consumer
Staples 0.5%
|
Food
Products 0.5%
|
Bunge
Ltd.
|
4.875%
|
82,500
|
8,877,000
|
Total
Consumer Staples
|
8,877,000
|
Energy
0.8%
|
Energy
Equipment & Services 0.4%
|
Nabors
Industries Ltd.
|
6.000%
|
145,000
|
6,400,300
|
Oil,
Gas & Consumable Fuels 0.4%
|
Hess
Corp.
|
8.000%
|
85,000
|
6,755,800
|
Total
Energy
|
13,156,100
|
Financials
1.9%
|
Banks
1.0%
|
Bank
of America Corp.
|
7.250%
|
6,700
|
8,671,475
|
Wells
Fargo & Co.
|
7.500%
|
6,500
|
8,390,720
|
Total
|
|
|
17,062,195
|
Convertible
Preferred Stocks (continued)
|
Issuer
|
|
Shares
|
Value
($)
|
Capital
Markets 0.7%
|
AMG
Capital Trust II
|
5.150%
|
130,000
|
7,461,246
|
Cowen,
Inc.
|
5.625%
|
5,200
|
4,605,432
|
Total
|
|
|
12,066,678
|
Insurance
0.2%
|
Assurant,
Inc.
|
6.500%
|
40,000
|
4,502,400
|
Total
Financials
|
33,631,273
|
Health
Care 0.5%
|
Health
Care Equipment & Supplies 0.5%
|
Becton
Dickinson and Co.
|
6.125%
|
135,000
|
8,823,600
|
Total
Health Care
|
8,823,600
|
Industrials
1.0%
|
Machinery
1.0%
|
Fortive
Corp.
|
5.000%
|
6,000
|
6,398,811
|
Rexnord
Corp.
|
5.750%
|
70,000
|
4,550,000
|
Stanley
Black & Decker, Inc.
|
5.375%
|
52,500
|
5,754,525
|
Total
|
|
|
16,703,336
|
Total
Industrials
|
16,703,336
|
Information
Technology 0.5%
|
Electronic
Equipment, Instruments & Components 0.5%
|
Belden,
Inc.
|
6.750%
|
90,000
|
8,514,000
|
Total
Information Technology
|
8,514,000
|
Real
Estate 0.5%
|
Equity
Real Estate Investment Trusts (REITS) 0.5%
|
Crown
Castle International Corp.
|
6.875%
|
8,000
|
8,688,000
|
Total
Real Estate
|
8,688,000
|
Utilities
0.8%
|
Multi-Utilities
0.8%
|
CenterPoint
Energy, Inc.
|
7.000%
|
87,500
|
4,408,775
|
DTE
Energy Co.
|
6.500%
|
167,500
|
8,663,100
|
Total
|
|
|
13,071,875
|
Total
Utilities
|
13,071,875
|
Total
Convertible Preferred Stocks
(Cost $106,097,966)
|
111,465,184
|
Tri-Continental
Corporation | Quarterly Report 2018
|
5
|
Portfolio of Investments
(continued)
Tri-Continental Corporation, September 30, 2018 (Unaudited)
Corporate
Bonds & Notes 14.7%
|
Issuer
|
Coupon
Rate
|
|
Principal
Amount ($)
|
Value
($)
|
Brokerage/Asset
Managers/Exchanges 0.5%
|
LPL
Holdings, Inc.
(c)
|
09/15/2025
|
5.750%
|
|
8,550,000
|
8,347,852
|
Cable
and Satellite 0.8%
|
Charter
Communications Operating LLC/Capital
|
10/23/2045
|
6.484%
|
|
8,000,000
|
8,602,040
|
Telesat
Canada/LLC
(c)
|
11/15/2024
|
8.875%
|
|
5,360,000
|
5,741,739
|
Total
|
14,343,779
|
Chemicals
0.5%
|
Starfruit
Finco BV/US Holdco LLC
(c),(e)
|
10/01/2026
|
8.000%
|
|
8,500,000
|
8,605,519
|
Consumer
Products 0.5%
|
Mattel,
Inc.
(c)
|
12/31/2025
|
6.750%
|
|
8,742,000
|
8,567,282
|
Electric
0.5%
|
Covanta
Holding Corp.
|
07/01/2025
|
5.875%
|
|
8,723,000
|
8,806,331
|
Finance
Companies 1.4%
|
Fortress
Transportation & Infrastructure Investors LLC
(c)
|
10/01/2025
|
6.500%
|
|
6,500,000
|
6,455,735
|
iStar,
Inc.
|
04/01/2022
|
6.000%
|
|
8,543,000
|
8,623,834
|
Springleaf
Finance Corp.
|
03/15/2025
|
6.875%
|
|
8,400,000
|
8,378,404
|
Total
|
23,457,973
|
Food
and Beverage 0.5%
|
Chobani
LLC/Finance Corp., Inc.
(c)
|
04/15/2025
|
7.500%
|
|
4,097,000
|
3,723,120
|
Lamb
Weston Holdings, Inc.
(c)
|
11/01/2026
|
4.875%
|
|
4,300,000
|
4,215,690
|
Total
|
7,938,810
|
Health
Care 0.6%
|
Quotient
Ltd.
(c),(f),(g)
|
10/15/2023
|
12.000%
|
|
2,170,000
|
2,170,000
|
10/15/2023
|
12.000%
|
|
930,000
|
930,000
|
Surgery
Center Holdings, Inc.
(c)
|
07/01/2025
|
6.750%
|
|
6,800,000
|
6,520,677
|
Total
|
9,620,677
|
Healthcare
Insurance 0.5%
|
Centene
Corp.
|
01/15/2025
|
4.750%
|
|
8,455,000
|
8,436,238
|
Corporate
Bonds & Notes (continued)
|
Issuer
|
Coupon
Rate
|
|
Principal
Amount ($)
|
Value
($)
|
Home
Construction 0.2%
|
Lennar
Corp.
|
11/29/2027
|
4.750%
|
|
4,400,000
|
4,226,165
|
Independent
Energy 0.9%
|
Indigo
Natural Resources LLC
(c)
|
02/15/2026
|
6.875%
|
|
8,800,000
|
8,530,051
|
Talos
Production LLC/Finance, Inc.
(c)
|
04/03/2022
|
11.000%
|
|
6,136,177
|
6,565,710
|
Total
|
15,095,761
|
Lodging
0.2%
|
Marriott
Ownership Resorts, Inc./ILG LLC
(c)
|
09/15/2026
|
6.500%
|
|
4,232,000
|
4,342,506
|
Media
and Entertainment 0.7%
|
Lions
Gate Capital Holdings LLC
(c)
|
11/01/2024
|
5.875%
|
|
8,050,000
|
8,248,199
|
Meredith
Corp.
(c)
|
02/01/2026
|
6.875%
|
|
4,100,000
|
4,200,503
|
Total
|
12,448,702
|
Metals
and Mining 1.0%
|
CONSOL
Energy, Inc.
(c)
|
11/15/2025
|
11.000%
|
|
4,200,000
|
4,760,074
|
Constellium
NV
(c)
|
03/01/2025
|
6.625%
|
|
8,400,000
|
8,550,192
|
Warrior
Met Coal, Inc.
(c)
|
11/01/2024
|
8.000%
|
|
4,200,000
|
4,326,164
|
Total
|
17,636,430
|
Midstream
0.7%
|
Rockpoint
Gas Storage Canada Ltd.
(c)
|
03/31/2023
|
7.000%
|
|
4,216,000
|
4,277,393
|
Summit
Midstream Partners LP
(d)
|
Junior
Subordinated
|
12/31/2049
|
9.500%
|
|
8,400,000
|
8,342,351
|
Total
|
12,619,744
|
Oil
Field Services 0.5%
|
Bristow
Group, Inc.
(c)
|
03/01/2023
|
8.750%
|
|
4,200,000
|
4,098,713
|
SESI
LLC
|
09/15/2024
|
7.750%
|
|
4,200,000
|
4,283,853
|
Total
|
8,382,566
|
Other
Industry 0.4%
|
WeWork
Companies, Inc.
(c)
|
05/01/2025
|
7.875%
|
|
6,700,000
|
6,503,054
|
6
|
Tri-Continental Corporation
| Quarterly Report 2018
|
Portfolio of Investments
(continued)
Tri-Continental Corporation, September 30, 2018 (Unaudited)
Corporate
Bonds & Notes (continued)
|
Issuer
|
Coupon
Rate
|
|
Principal
Amount ($)
|
Value
($)
|
Packaging
1.0%
|
BWAY
Holding Co.
(c)
|
04/15/2025
|
7.250%
|
|
8,800,000
|
8,591,598
|
Novolex
(c)
|
01/15/2025
|
6.875%
|
|
8,490,000
|
8,129,600
|
Total
|
16,721,198
|
Pharmaceuticals
0.8%
|
Bausch
Health Companies, Inc.
(c)
|
01/31/2027
|
8.500%
|
|
8,300,000
|
8,716,502
|
Horizon
Pharma, Inc.
(c)
|
11/01/2024
|
8.750%
|
|
4,100,000
|
4,377,681
|
Total
|
13,094,183
|
Restaurants
0.2%
|
IRB
Holding Corp.
(c)
|
02/15/2026
|
6.750%
|
|
4,300,000
|
4,214,546
|
Retailers
0.1%
|
Rite
Aid Corp.
|
Junior
Subordinated
|
02/15/2027
|
7.700%
|
|
1,937,000
|
1,510,918
|
Supermarkets
0.4%
|
Safeway,
Inc.
|
02/01/2031
|
7.250%
|
|
7,512,000
|
7,156,780
|
Technology
0.8%
|
Diebold,
Inc.
|
04/15/2024
|
8.500%
|
|
8,100,000
|
5,809,012
|
Genesys
Telecommunications Laboratories, Inc./Greeneden Lux 3 Sarl/U.S. Holdings I LLC
(c)
|
11/30/2024
|
10.000%
|
|
3,750,000
|
4,154,141
|
Informatica
LLC
(c)
|
07/15/2023
|
7.125%
|
|
4,538,000
|
4,652,181
|
Total
|
14,615,334
|
Transportation
Services 0.6%
|
Hertz
Corp. (The)
(c)
|
06/01/2022
|
7.625%
|
|
4,250,000
|
4,194,725
|
Hertz
Corp. (The)
|
10/15/2022
|
6.250%
|
|
6,700,000
|
6,218,082
|
Total
|
10,412,807
|
Wirelines
0.4%
|
Frontier
Communications Corp.
|
09/15/2025
|
11.000%
|
|
8,360,000
|
6,515,165
|
Total
Corporate Bonds & Notes
(Cost $258,046,939)
|
253,620,320
|
Limited
Partnerships 0.5%
|
Issuer
|
Shares
|
Value
($)
|
Energy
0.3%
|
Oil,
Gas & Consumable Fuels 0.3%
|
Enviva
Partners LP
|
140,000
|
4,452,000
|
Total
Energy
|
4,452,000
|
Industrials
0.2%
|
Trading
Companies & Distributors 0.2%
|
Fortress
Transportation & Infrastructure Investors LLC
|
235,000
|
4,272,300
|
Total
Industrials
|
4,272,300
|
Total
Limited Partnerships
(Cost $7,740,268)
|
8,724,300
|
Preferred
Debt 0.6%
|
Issuer
|
Coupon
Rate
|
|
Shares
|
Value
($)
|
Banking
0.4%
|
Citigroup
Capital XIII
(d)
|
10/30/2040
|
8.729%
|
|
237,500
|
6,376,875
|
Finance
Companies 0.2%
|
GMAC
Capital Trust I
(d)
|
02/15/2040
|
8.099%
|
|
162,500
|
4,273,750
|
Total
Preferred Debt
(Cost $10,336,267)
|
10,650,625
|
Senior
Loans 0.4%
|
Borrower
|
Coupon
Rate
|
|
Principal
Amount ($)
|
Value
($)
|
Oil
Field Services 0.4%
|
BCP
Raptor LLC/EagleClaw Midstream Ventures
(h),(i)
|
Term
Loan
|
3-month
USD LIBOR + 4.250%
06/24/2024
|
6.492%
|
|
7,903,950
|
7,775,511
|
Total
Senior Loans
(Cost $7,841,485)
|
7,775,511
|
Warrants
—%
|
Issuer
|
Shares
|
Value
($)
|
Energy
—%
|
Oil,
Gas & Consumable Fuels —%
|
Goodrich
Petroleum Corp.
(a),(f),(g),(j)
|
11,283
|
0
|
Total
Energy
|
0
|
Total
Warrants
(Cost $—)
|
0
|
|
Tri-Continental
Corporation | Quarterly Report 2018
|
7
|
Portfolio of Investments
(continued)
Tri-Continental Corporation, September 30, 2018 (Unaudited)
Money
Market Funds 1.8%
|
|
Shares
|
Value
($)
|
Columbia
Short-Term Cash Fund, 2.112%
(k),(l)
|
8,308,623
|
8,307,792
|
JPMorgan
U.S. Government Money Market Fund, Agency Shares, 1.86%
(k)
|
21,979,830
|
21,979,830
|
Total
Money Market Funds
(Cost $30,287,622)
|
30,287,622
|
Total
Investments in Securities
(Cost: $1,532,939,829)
|
1,718,580,304
|
Other
Assets & Liabilities, Net
|
|
2,890,021
|
Net
Assets
|
1,721,470,325
|
At September 30, 2018, securities and/or cash totaling $525,804
were pledged as collateral.
Investments in
derivatives
Long
futures contracts
|
Description
|
Number
of
contracts
|
Expiration
date
|
Trading
currency
|
Notional
amount
|
Value/Unrealized
appreciation ($)
|
Value/Unrealized
depreciation ($)
|
S&P
500 E-mini
|
56
|
12/2018
|
USD
|
8,173,200
|
14,881
|
—
|
Notes to Portfolio of
Investments
(a)
|
Non-income
producing investment.
|
(b)
|
This
security or a portion of this security has been pledged as collateral in connection with derivative contracts.
|
(c)
|
Represents privately
placed and other securities and instruments exempt from SEC registration (collectively, private placements), such as Section 4(a)(2) and Rule 144A eligible securities, which are often sold only to qualified institutional buyers. The Fund may invest
in private placements determined to be liquid as well as those determined to be illiquid. Private placements may be determined to be liquid under guidelines established by the Fund’s Board of Directors. At September 30, 2018, the total value
of these securities amounted to $181,819,414, which represents 10.56% of total net assets.
|
(d)
|
Represents a
variable rate security with a step coupon where the rate adjusts according to a schedule for a series of periods, typically lower for an initial period and then increasing to a higher coupon rate thereafter. The interest rate shown was the current
rate as of September 30, 2018.
|
(e)
|
Represents a
security purchased on a when-issued basis.
|
(f)
|
Represents fair
value as determined in good faith under procedures approved by the Board of Trustees. At September 30, 2018, the total value of these securities amounted to $3,100,000, which represents 0.18% of total net assets.
|
(g)
|
Valuation
based on significant unobservable inputs.
|
(h)
|
The
stated interest rate represents the weighted average interest rate at September 30, 2018 of contracts within the senior loan facility. Interest rates on contracts are primarily determined either weekly, monthly or quarterly by reference to the
indicated base lending rate and spread and the reset period. These base lending rates are primarily the London Interbank Offered Rate (“LIBOR”) and other short-term rates. Base lending rates may be subject to a floor or minimum rate. The
interest rate for senior loans purchased on a when-issued or delayed delivery basis will be determined upon settlement, therefore no interest rate is disclosed. Senior loans often require prepayments from excess cash flows or permit the borrowers to
repay at their election. The degree to which borrowers repay, cannot be predicted with accuracy. As a result, remaining maturities of senior loans may be less than the stated maturities.
|
(i)
|
Variable
rate security. The interest rate shown was the current rate as of September 30, 2018.
|
(j)
|
Negligible market
value.
|
(k)
|
The rate
shown is the seven-day current annualized yield at September 30, 2018.
|
8
|
Tri-Continental Corporation
| Quarterly Report 2018
|
Portfolio of Investments
(continued)
Tri-Continental Corporation, September 30, 2018 (Unaudited)
Notes to Portfolio of
Investments
(continued)
(l)
|
As defined in
the Investment Company Act of 1940, an affiliated company is one in which the Fund owns 5% or more of the company’s outstanding voting securities, or a company which is under common ownership or control with the Fund. Holdings and transactions
in these affiliated companies during the period ended September 30, 2018 are as follows:
|
Issuer
|
Beginning
shares
|
Shares
purchased
|
Shares
sold
|
Ending
shares
|
Realized
gain
(loss) —
affiliated
issuers ($)
|
Net
change in
unrealized
appreciation
(depreciation) —
affiliated
issuers ($)
|
Dividends
—
affiliated
issuers ($)
|
Value
—
affiliated
issuers
at end of
period ($)
|
Columbia
Short-Term Cash Fund, 2.112%
|
|
13,847,965
|
83,081,756
|
(88,621,098)
|
8,308,623
|
113
|
(1,042)
|
94,277
|
8,307,792
|
Abbreviation Legend
ADR
|
American
Depositary Receipt
|
Currency
Legend
Investments are valued using
policies described in the Notes to Financial Statements in the most recent shareholder report.
Fair value measurements
The Fund categorizes its fair value measurements according to
a three-level hierarchy that maximizes the use of observable inputs and minimizes the use of unobservable inputs by prioritizing that the most observable input be used when available. Observable inputs are those that market participants would use in
pricing an investment based on market data obtained from sources independent of the reporting entity. Unobservable inputs are those that reflect the Fund’s assumptions about the information market participants would use in pricing an
investment. An investment’s level within the fair value hierarchy is based on the lowest level of any input that is deemed significant to the asset’s or liability’s fair value measurement. The input levels are not necessarily an
indication of the risk or liquidity associated with investments at that level. For example, certain U.S. government securities are generally high quality and liquid, however, they are reflected as Level 2 because the inputs used to determine fair
value may not always be quoted prices in an active market.
Fair value inputs are summarized in the three broad levels
listed below:
■
|
Level 1 — Valuations
based on quoted prices for investments in active markets that the Fund has the ability to access at the measurement date. Valuation adjustments are not applied to Level 1 investments.
|
■
|
Level 2 — Valuations
based on other significant observable inputs (including quoted prices for similar securities, interest rates, prepayment speeds, credit risks, etc.).
|
■
|
Level 3 — Valuations
based on significant unobservable inputs (including the Fund’s own assumptions and judgment in determining the fair value of investments).
|
Inputs that are used in determining fair value of an investment
may include price information, credit data, volatility statistics, and other factors. These inputs can be either observable or unobservable. The availability of observable inputs can vary between investments, and is affected by various factors such
as the type of investment, and the volume and level of activity for that investment or similar investments in the marketplace. The inputs will be considered by the Investment Manager, along with any other relevant factors in the calculation of an
investment’s fair value. The Fund uses prices and inputs that are current as of the measurement date, which may include periods of market dislocations. During these periods, the availability of prices and inputs may be reduced for many
investments. This condition could cause an investment to be reclassified between the various levels within the hierarchy.
Certain investments that have been measured at fair value using
the net asset value (NAV) per share (or its equivalent) are not categorized in the fair value hierarchy. The fair value amounts presented in the table are intended to reconcile the fair value hierarchy to the amounts presented in the Portfolio of
Investments. The Columbia Short-Term Cash Fund seeks to provide shareholders with maximum current income consistent with liquidity and stability of principal. Columbia Short-Term Cash Fund prices its shares with a floating NAV and no longer seeks to
maintain a stable NAV.
Investments falling into the Level
3 category are primarily supported by quoted prices from brokers and dealers participating in the market for those investments. However, these may be classified as Level 3 investments due to lack of market transparency and corroboration to support
these quoted prices. Additionally, valuation models may be used as the pricing source for any remaining investments classified as Level 3. These models may rely on one or more significant unobservable inputs and/or significant assumptions by the
Investment Manager. Inputs used in valuations may include, but are not limited to, financial statement analysis, capital account balances, discount rates and estimated cash flows, and comparable company data.
Under the direction of the Fund’s Board of Directors (the
Board), the Investment Manager’s Valuation Committee (the Committee) is responsible for overseeing the valuation procedures approved by the Board. The Committee consists of voting and non-voting members from various groups within the
Investment Manager’s organization, including operations and accounting, trading and investments, compliance, risk management and legal.
The Committee meets at least monthly to review and approve
valuation matters, which may include a description of specific valuation determinations, data regarding pricing information received from approved pricing vendors and brokers and the results of Board-approved valuation control policies and
procedures (the Policies). The Policies address, among other things, instances when market quotations are or are not readily available, including recommendations of third party pricing vendors and a determination of appropriate pricing
methodologies; events that require specific valuation determinations and assessment of fair value techniques; securities with a potential for stale pricing, including those that are illiquid, restricted, or in default; and the effectiveness of third
party pricing vendors, including periodic reviews of vendors. The Committee meets more frequently, as needed, to discuss
Tri-Continental
Corporation | Quarterly Report 2018
|
9
|
Portfolio of Investments
(continued)
Tri-Continental Corporation, September 30, 2018 (Unaudited)
Fair value
measurements
(continued)
additional valuation matters, which may include the need to review back-testing results, review time-sensitive information or approve related valuation actions.
The Committee reports to the Board, with members of the Committee meeting with the Board at each of its regularly scheduled meetings to discuss valuation matters and actions during the period, similar to those described earlier.
For investments categorized as Level 3, the Committee monitors
information similar to that described above, which may include: (i) data specific to the issuer or comparable issuers, (ii) general market or specific sector news and (iii) quoted prices and specific or similar security transactions. The Committee
considers this data and any changes from prior periods in order to assess the reasonableness of observable and unobservable inputs, any assumptions or internal models used to value those securities and changes in fair value. This data is also used
to corroborate, when available, information received from approved pricing vendors and brokers. Various factors impact the frequency of monitoring this information (which may occur as often as daily). However, the Committee may determine that
changes to inputs, assumptions and models are not required as a result of the monitoring procedures performed.
The following table is a summary of the inputs used to value the
Fund’s investments at September 30, 2018:
|
Level
1
quoted prices
in active
markets for
identical
assets ($)
|
Level
2
other
significant
observable
inputs ($)
|
Level
3
significant
unobservable
inputs ($)
|
Investments
measured at
net asset
value ($)
|
Total
($)
|
Investments
in Securities
|
|
|
|
|
|
Common
Stocks
|
|
|
|
|
|
Consumer
Discretionary
|
132,329,472
|
—
|
—
|
—
|
132,329,472
|
Consumer
Staples
|
77,253,536
|
—
|
—
|
—
|
77,253,536
|
Energy
|
66,984,788
|
—
|
—
|
—
|
66,984,788
|
Financials
|
177,073,395
|
—
|
—
|
—
|
177,073,395
|
Health
Care
|
170,668,398
|
—
|
—
|
—
|
170,668,398
|
Industrials
|
105,249,963
|
—
|
—
|
—
|
105,249,963
|
Information
Technology
|
299,113,282
|
—
|
—
|
—
|
299,113,282
|
Materials
|
19,520,465
|
—
|
—
|
—
|
19,520,465
|
Real
Estate
|
35,430,705
|
—
|
—
|
—
|
35,430,705
|
Telecommunication
Services
|
23,076,910
|
—
|
—
|
—
|
23,076,910
|
Utilities
|
48,331,883
|
—
|
—
|
—
|
48,331,883
|
Total
Common Stocks
|
1,155,032,797
|
—
|
—
|
—
|
1,155,032,797
|
Convertible
Bonds
|
—
|
141,023,945
|
—
|
—
|
141,023,945
|
Convertible
Preferred Stocks
|
|
|
|
|
|
Consumer
Staples
|
—
|
8,877,000
|
—
|
—
|
8,877,000
|
Energy
|
13,156,100
|
—
|
—
|
—
|
13,156,100
|
Financials
|
21,564,595
|
12,066,678
|
—
|
—
|
33,631,273
|
Health
Care
|
8,823,600
|
—
|
—
|
—
|
8,823,600
|
Industrials
|
10,304,525
|
6,398,811
|
—
|
—
|
16,703,336
|
Information
Technology
|
8,514,000
|
—
|
—
|
—
|
8,514,000
|
Real
Estate
|
8,688,000
|
—
|
—
|
—
|
8,688,000
|
Utilities
|
8,663,100
|
4,408,775
|
—
|
—
|
13,071,875
|
Total
Convertible Preferred Stocks
|
79,713,920
|
31,751,264
|
—
|
—
|
111,465,184
|
Corporate
Bonds & Notes
|
—
|
250,520,320
|
3,100,000
|
—
|
253,620,320
|
Limited
Partnerships
|
|
|
|
|
|
Energy
|
4,452,000
|
—
|
—
|
—
|
4,452,000
|
Industrials
|
4,272,300
|
—
|
—
|
—
|
4,272,300
|
Total
Limited Partnerships
|
8,724,300
|
—
|
—
|
—
|
8,724,300
|
Preferred
Debt
|
10,650,625
|
—
|
—
|
—
|
10,650,625
|
Senior
Loans
|
—
|
7,775,511
|
—
|
—
|
7,775,511
|
Warrants
|
|
|
|
|
|
Energy
|
—
|
—
|
0*
|
—
|
0*
|
Money
Market Funds
|
21,979,830
|
—
|
—
|
8,307,792
|
30,287,622
|
Total
Investments in Securities
|
1,276,101,472
|
431,071,040
|
3,100,000
|
8,307,792
|
1,718,580,304
|
Investments
in Derivatives
|
|
|
|
|
|
Asset
|
|
|
|
|
|
Futures
Contracts
|
14,881
|
—
|
—
|
—
|
14,881
|
Total
|
1,276,116,353
|
431,071,040
|
3,100,000
|
8,307,792
|
1,718,595,185
|
10
|
Tri-Continental Corporation
| Quarterly Report 2018
|
Portfolio of Investments
(continued)
Tri-Continental Corporation, September 30, 2018 (Unaudited)
Fair value
measurements
(continued)
See the Portfolio of Investments
for all investment classifications not indicated in the table.
The Fund’s assets assigned to the Level 2 input category
are generally valued using the market approach, in which a security’s value is determined through reference to prices and information from market transactions for similar or identical assets.
Derivative instruments are valued at unrealized appreciation
(depreciation).
There were no transfers of financial assets
between levels during the period.
The Fund’s assets
assigned to the Level 3 category are valued utilizing the valuation technique deemed the most appropriate in the circumstances.
Warrants classified as Level 3 are valued using an income
approach. To determine fair value for these securities, management considered estimates of future distributions from the liquidation of the company assets. Significant increases (decreases) to any of these inputs would result in a significantly
higher (lower) fair value measurement.
Certain corporate
bonds classified as Level 3 securities are valued using the market approach and utilize single market quotations from broker dealers which may have included, but were not limited to, observable transactions for identical or similar assets in the
market and the distressed nature of the security. The appropriateness of fair values for these securities is monitored on an ongoing basis which may include results of back testing, manual price reviews and other control procedures. Significant
increases (decreases) to any of these inputs would result in a significantly higher (lower) valuation measurement.
Tri-Continental
Corporation | Quarterly Report 2018
|
11
|
Item 2. Controls and Procedures.
|
(a)
|
The registrants principal executive officer and principal financial officer, based on their evaluation of
the registrants disclosure controls and procedures as of a date within 90 days of the filing of this report, have concluded that such controls and procedures are adequately designed to ensure that information required to be disclosed by the
registrant in Form
N-Q
is accumulated and communicated to the registrants management, including the principal executive officer and principal financial officer, or persons performing similar functions,
as appropriate to allow timely decisions regarding required disclosure.
|
|
(b)
|
There was no change in the registrants internal control over financial reporting that occurred during the
registrants last fiscal quarter that has materially affected, or is reasonably likely to materially affect, the registrants internal control over financial reporting.
|
Item 3. Exhibits.
Certifications pursuant to
Rule 30a-2(a) under
the Investment Company Act of 1940 (17 CFR
270.30a-2(a))
attached hereto as Exhibit 99.CERT.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934 and the Investment Company Act of 1940, the registrant has duly caused this report to be
signed on its behalf by the undersigned, thereunto duly authorized.
|
|
|
|
|
(registrant)
|
|
Tri-Continental
Corporation
|
|
|
|
|
|
|
|
|
|
|
By (Signature and Title)
|
|
/s/ Christopher O. Petersen
|
|
|
|
|
Christopher O. Petersen, President and Principal Executive Officer
|
|
|
Pursuant to the requirements of the Securities Exchange Act of 1934 and the Investment Company Act of 1940, this report has
been signed below by the following persons on behalf of the registrant and in the capacities and on the dates indicated.
|
|
|
|
|
By (Signature and Title)
|
|
/s/ Christopher O. Petersen
|
|
|
|
|
Christopher O. Petersen, President and Principal Executive Officer
|
|
|
|
|
|
|
|
By (Signature and Title)
|
|
/s/ Michael G. Clarke
|
|
|
|
|
Michael G. Clarke, Treasurer and Chief Financial Officer
|
|
|
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