Tri Continental Closed Fund: Ownership

Ownership Information
Shares Outstanding 70.00 Mil
Institutional Ownership (%)3.29
Top 10 Institutions (%)2.40
Mutual Fund Ownership (%).18
5%/Insider Ownership (%).00
Float (%)100.00
Ownership Activity
Description# of HoldersShares
Total Positions 542,302,557
New Positions70
Soldout Positions660
Net Position Change-61-14,306,710
Buyers21833,615
Sellers82-15,140,325
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Institution Name Shs Held Shs Chg %Chg $Chg* %Out %Port Rpt Date
Wolverine Asset Management, L.L.C. 485,107 368,770 317.0 3,478,575 0.7 0.7 06-30-09
Norges Bank 362,902 -101,889 -21.9 -3,212,383 0.5 0.0 12-31-08
Cornerstone Advisors, Inc. 161,334 1,600 1.0 309,946 0.2 1.4 09-30-09
Doliver Capital Advisors, L.P. 159,167 118,967 295.9 1,384,582 0.2 1.7 09-30-09
SG Americas Securities, L.L.C. 113,800 113,800 100.0 1,045,822 0.2 0.0 06-30-09
TFS Capital, L.L.C. 107,992 39,872 58.5 564,049 0.2 0.2 09-30-09
Evergreen Investment Management Company, LLC 86,333 6,988 8.8 125,315 0.1 0.0 06-30-09
Goldman Sachs & Company, Inc. 77,435 41,877 117.8 412,230 0.1 0.0 06-30-09
Gramercy Advisors, L.L.C. 71,585 71,585 100.0 788,867 0.1 0.4 09-30-09
ASB Capital Management LLC 56,250 -5,744 -9.3 50,150 0.1 0.0 09-30-09
Columbia Management Advisors, LLC 51,591 -6,948 -11.9 30,560 0.1 0.0 09-30-09
Wells Fargo Securities, LLC 47,580 -3,559 -7.0 6,670 0.1 0.0 06-30-09
Credit Suisse Securities (USA) LLC 42,574 -76,953 -64.4 -629,288 0.1 0.0 09-30-09
Geode Capital Management, L.L.C. 39,090 0 0.0 30,099 0.1 0.0 06-30-09
Banc of America Securities Merrill Lynch 37,066 -22,304 -37.6 -137,143 0.1 0.0 09-30-09
*Category Headings:
Shs Held - shares held at report date
Shs Chg - position change within reporting period
%Chg - % change
$Chg - market value of the position change
%Out - % of shares outstanding
%Port - % Portfolio
Rpt Date - report date
Page generated 11/25/2009 8:08 AM Eastern Time