Form 3 TRI-CONTINENTAL CORP For: Oct 25 Filed by: Haugen Anthony P
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| FORM
3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF
SECURITIES
Filed pursuant to Section 16(a) of the
Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act
of 1940
|
| OMB APPROVAL |
| OMB Number: |
3235-0104 |
| Expires: |
December 31, 2014 |
| Estimated average burden |
| hours per response: |
0.5 |
|
|
1. Name and Address of Reporting Person
*
(Street)
| MINNEAPOLIS |
MN |
55474-2405 |
|
2. Date of Event Requiring Statement
(Month/Day/Year)
10/25/2016
|
3. Issuer Name
and
Ticker or Trading Symbol
TRI-CONTINENTAL CORP
[
TY
]
|
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
|
Director |
|
10% Owner |
|
Officer (give title below) |
X |
Other (specify below) |
|
VP, CFO & Dir. of Issuer's IA |
|
5. If Amendment, Date of Original Filed
(Month/Day/Year)
|
6. Individual or Joint/Group Filing (Check
Applicable Line)
| X |
Form filed by One Reporting Person |
|
Form filed by More than One Reporting
Person |
|
| Table I - Non-Derivative Securities Beneficially Owned |
|---|
| 1. Title of Security (Instr.
4)
|
2.
Amount of Securities Beneficially Owned (Instr.
4)
|
3. Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
|
4. Nature of Indirect Beneficial Ownership (Instr.
5)
|
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
|
|---|
| 1. Title of Derivative Security (Instr.
4)
|
2. Date Exercisable and Expiration Date
(Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr.
4)
|
4. Conversion or Exercise Price of Derivative Security
|
5. Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
|
6. Nature of Indirect Beneficial Ownership (Instr.
5)
|
| Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
| Explanation of Responses: |
|
Joseph D'Alessandro, Attorney-in-Fact |
01/11/2017 |
|
** Signature of Reporting Person |
Date |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
| * If the form is filed by more than one reporting person,
see
Instruction
4
(b)(v). |
| ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure. |
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |
POWER OF ATTORNEY
City of Minneapolis
State of Minnesota
With respect to each of Columbia Seligman Premium Technology Growth Fund, Inc.,
Tri-Continental Corporation, and any other closed-end investment company for
which Columbia Management Investment Advisers, LLC now or hereafter serves as
investment adviser, the undersigned hereby appoints Scott R. Plummer, Paul B.
Goucher, Christopher O. Petersen, Joseph D'Alessandro or Ryan C. Larrenaga,
attorney-in-fact and agent, with full power of substitution and resubstitution,
for in name and stead, to sign and file Forms 3, 4 and 5 (Initial Statement of
Beneficial Ownership of Securities, Statement of Changes in Beneficial
Ownership, and Annual Statement of Changes in Beneficial Ownership of
Securities promulgated under Section 16(a) of the Securities Exchange Act of
1934), or further amendments thereto, and any and all applications or other
documents to be filed with the Securities and Exchange Commission (the SEC)
pertaining thereto, including, but not limited to, such applications as may be
necessary to file electronically with the SEC, with full power and authority to
do and perform all acts and things requisite and necessary to be done on the
premises.
Dated the 5/th/ day of January, 2017
/s/ Anthony P. Haugen
--------------------------
Anthony P. Haugen
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