UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 8-K
CURRENT REPORT
Pursuant to Section 13 OR 15(d)
of The Securities Exchange Act of 1934
Date of Report (Date of earliest event reported): March 22, 2021
Tri-Continental Corporation
(Exact name of registrant as specified in its charter)
| MARYLAND | 811-00266 | 13-5441850 | ||
|
(State or other jurisdiction of incorporation) |
(Commission File Number) |
(I.R.S. Employer Identification No.) |
||
| 225 Franklin Street, Boston, Massachusetts | 02110 | |||
| (Address of principal executive offices) | (Zip Code) | |||
Registrant’s telephone number, including area code: (800) 345-6611
NOT APPLICABLE
(Former name or former address, if changed since last report.)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):
| ☐ |
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
| ☐ |
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
| ☐ |
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
| ☐ |
Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
Securities registered pursuant to Section 12(b) of the Act:
|
Title of each class |
Trading Symbol(s) |
Name of each exchange on which registered |
||
| Common Stock | TY | The New York Stock Exchange | ||
| Preferred Stock | TYPR | The New York Stock Exchange |
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
Emerging growth company ☐
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
SECTION 7 — REGULATION FD
Item 7.01 Regulation FD Disclosure.
Registrant is furnishing as Exhibit 99.1 the attached Press Release dated March 22, 2021 for Tri-Continental Corporation.
2
Exhibit Index
|
Exhibit No. |
Description |
|
| 99.1 | Press Release | |
3
SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
Date: March 22, 2021
| TRI-CONTINENTAL CORPORATION | ||
| By: |
/s/ Joseph D’Alessandro |
|
| Joseph D’Alessandro | ||
| Assistant Secretary | ||
4
| Stockholder contact: |
Kevin Howley 617-385-9517 kevin.howley@columbiathreadneedle.com |
|
| Media contact: |
Elizabeth Kennedy 617-897-9394 liz.kennedy@ampf.com |
|
TRI-CONTINENTAL CORPORATION
ANNOUNCEMENTS REGARDING
91st ANNUAL MEETING OF STOCKHOLDERS
Boston, MA, March 22, 2021 — The Board of Directors (the Board) of Tri-Continental Corporation (the Corporation) (NYSE: TY) today announced that the Corporation’s 91st Annual Meeting of Stockholders will be held virtually on June 11, 2021 (the Meeting). The close of business on April 20, 2021 has been fixed by the Corporation’s Board as the record date for the determination of Stockholders entitled to notice of, and to vote at, the Meeting or any postponement or adjournment thereof.
At the Meeting, Stockholders will be asked to elect two directors, Ms. Sandra Yeager and Mr. Christopher O. Petersen, to the Board, each to hold office until the 2022 Annual Meeting of Stockholders, and to re-elect three other directors, Mses. Kathleen Blatz and Pamela G. Carlton and Mr. George S. Batejan, to the Board, each to hold office until the 2024 Annual Meeting of Stockholders, and all until their successors are elected and qualify; to consider the ratification of the Board’s selection of PricewaterhouseCoopers LLP as the Corporation’s independent registered public accounting firm for the 2021 fiscal year; and to consider such other matters as may properly come before the Meeting or any postponement or adjournment thereof. This and other information relating to the Meeting, including additional details of the Meeting time and how to access the Meeting, will be described in a notice of meeting and proxy statement that the Corporation intends to file with the Securities and Exchange Commission.
The Corporation is managed by Columbia Management Investment Advisers, LLC. This material is distributed by Columbia Management Investment Distributors, Inc., member FINRA.
Investors should consider the investment objectives, risks, charges, and expenses of the Corporation carefully before investing. A prospectus containing information about the Corporation (including its investment objectives, risks, charges, expenses, and other information about the Corporation) may be obtained by contacting your financial advisor or visiting columbiathreadneedleus.com. The prospectus should be read carefully before investing in the Corporation. For more information, please call 1-800-345-6611 or visit columbiathreadneedleus.com.
Investment products are not federally or FDIC-insured, are not deposits or obligations of, or guaranteed by any financial institution, and involve investment risks including possible loss of principal and fluctuation in value.
© 2021 Columbia Management Investment Advisers, LLC. All rights reserved.
Adtrax 3498101