Form 8-K TRI-CONTINENTAL CORP To: November 19


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UNITED STATES

SECURITY AND EXCHANGE COMMISSION

WASHINGTON, DC 20549

FORM 8-K

REPORT IN PROGRESS

In accordance with section 13 OR 15 (d) of the Securities Exchange Act of 1934

Report date (Date of first reported event): November 19, 2021

Tri-Continental company

(Exact name of the declarant as specified in his charter)

MARYLAND 811-00266 13-5441850

(State or other jurisdiction

of constitution)

(Commission

File number)

(IRS employer

ID number.)

290 Congress Street, Boston, Massachusetts 02210
(Address of the main executive offices) (Postal code)

Holder phone number, including area code: 800-345-6611

NOT APPLICABLE

(Old name or old address, if changed since the last report.)

Check the appropriate box below if the form 8-K the filing aims to simultaneously satisfy the filing obligation of the declarant under one of the following provisions (see General Instruction A.2. below):

??

Written communications in accordance with Rule 425 of the Securities Act (17 CFR 230.425)

??

Solicitation of documents in accordance with the rule 14a-12 under the Foreign Exchange Act (17 CFR 240.14a-12)

??

Pre-start communications in accordance with the rule 14d-2 (b) under the Foreign Exchange Act (17 CFR 240.14d-2 (b))

??

Pre-start communications in accordance with the rule 13th-4 (c) under the Foreign Exchange Act (17 CFR 240.13e-4 (c))

Securities registered in accordance with Article 12 (b) of the Law:

Title of each class

Trade

Symbol (s)

Name of each exchange

on which is registered

Ordinary actions TY The New York stock exchange
Preferred stock TYPR The New York stock exchange

Indicate with a check mark whether the declarant is an emerging growth company as defined in rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or the rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging, growing company ☐

If it is an emerging growth company, indicate with a check mark whether the declarant has chosen not to use the extended transition period to comply with the new financial or revised accounting standards provided for under Article 13 (a) of the Exchange Act. ??


ARTICLE 7 ?? REGULATION DF

Article 7.01 Regulation FD Disclosure.

The Holder provides as Exhibit 99.1 the attached press release dated November 19, 2021 for Tri-Continental Society.

ARTICLE 9 ?? FINANCIAL STATEMENTS AND PARTS

Item 9.01 Financial statements and supporting documents.

The Holder provides as Exhibit 99.1 the attached press release dated November 19, 2021 for Tri-Continental
Society.

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Exhibition index

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SIGNATURE

In accordance with the requirements of the Securities Exchange Act of 1934, the Holder has duly caused this report to be signed on his behalf by the undersigned, duly authorized.

Date: November 19, 2021

TRI-CONTINENTAL COMPANY

Through:

/ s / Joseph D ?? Alessandro

Joseph D ?? Alessandro
Assistant secretary

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Shareholder contact:

Kevin howley

617-385-9517

[email protected]

Media contact:

Elizabeth kennedy

617-897-9394

[email protected]

TRI-CONTINENTAL COMPANY

DECLARE FOURTH QUARTER DISTRIBUTION

BOSTON, MA, November 19, 2021 ?? Tri-Continental Corporation (the ?? Company ??) (NYSE: TY) today declared a distribution of fourth quarter common income of $ 0.2996 per share of common stock and $ 0.6250 per share of preferred stock. In addition, the Company declared a total capital gains distribution of $ 3.3110 per common share. This capital gain distribution consists of short-term capital gains of $ 1.0304 and long-term capital gains of $ 2.2806. Distributions on common shares will be paid on December 23, 2021 to common shareholders of record on December 15, 2021 and dividends on preferred shares will be paid on January 3, 2022 to preferred shareholders of record on December 15, 2021. ex-dividend the date for common shares and preferred shares is December 14, 2021. The distribution of ordinary income of $ 0.2996 per share and the distribution of capital gain of $ 3.3110 per share on common shares are in accordance with the company distribution policy. The distribution of the capital gain, being a special distribution, will be paid in shares, except that any shareholder registered on December 15, 2021 can choose to receive this distribution as follows: 75% in shares and 25% in cash; 50% in shares and 50% in cash; or 100% in cash.

The Company has paid dividends on its common shares for 77 consecutive years. The investment manager of the Company is Columbia Management Investment Advisers, LLC, a wholly owned subsidiary of Ameriprise Financial, Inc.

The Company’s distributions on the Common Shares will vary. The Company’s current distributions (as estimated by the Company on the basis of current information) are derived from the profits and profits of the Company. None of the Company’s current distribution amount consists of a return of capital (i.e. a return of some or all of your initial investment in the Company).

The net asset value of the Company’s common shares may not always correspond to the market price of such shares. Actions of several firm funds frequently trade at a discount to their net asset value. An investment in the Company is subject to stock market risk, i.e. the risk that the market prices of the ordinary shares of the Company fall over short or long periods, adversely affecting the value of an investment. in the society.


The securities selected for the Company using quantitative methods may behave differently from the market as a whole and there can be no assurance that this method will enable it to achieve its objective. The investments in the Company’s portfolio are subject to market risk, which may affect a single issuer, a single sector of the economy, an industry or the market as a whole. Fixed income investments, including convertible securities, are subject to credit risk, interest rate risk and prepayment and extension risk. These risks may be more pronounced for longer-term securities and high yield securities (?? junk bonds ??). In general, bond prices rise when interest rates fall and vice versa. Convertible securities are subject to both risks of their nature before conversion and their nature after conversion. The Company’s use of leverage, including through its preferred shares, exposes it to greater risk due to unforeseen market movements, which can amplify losses and increase the volatility of returns. .

You should carefully consider the Company’s investment objectives, risks, fees and expenses before investing. A prospectus containing information about the Company (including its investment objectives, risks, charges, expenses and other information) can be obtained by contacting your financial advisor or Columbia Management Investment Services Corp. at the address 800-345-6611. The prospectus can also be viewed in the Securities and Exchange Commission’s EDGAR database. The prospectus should be read carefully before investing in the Company. There is no guarantee that the Company’s investment goals / objectives will be achieved or that distributions will be made, and you could lose money.

Tri-Continental Corporation is managed by Columbia Management Investment Advisers, LLC. This document is distributed by Columbia Management Investment Distributors, Inc., a member of FINRA.

Columbia Threadneedle Investments is the global brand of the Columbia and Threadneedle group of companies.

Past performance is no guarantee of future results.

The investment products are not insured by the Federal Government or the FDIC, are not deposits or bonds 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.

columbiathreadneedleus.com

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