Tri-Continental Corp. Schedules 94th Annual Meeting of Stockholders for June 25, 2024

TL;DR

<b>Tri-Continental Corporation will hold its 94th Annual Meeting on June 25, 2024, to elect directors and ratify the independent auditor.</b>

AI Summary

TRI-CONTINENTAL CORP (TY-P) filed a Proxy Statement (DEF 14A) with the SEC on April 22, 2024. The 94th Annual Meeting of Stockholders for Tri-Continental Corporation will be held on June 25, 2024, at 9:00 a.m. local time. The meeting will take place at the Elliot Park Hotel, 823 5th Avenue South, Minneapolis, Minnesota 55404. Key agenda items include the election of four Directors, each to serve until the 2027 Annual Meeting. Stockholders will also vote on ratifying the selection of PricewaterhouseCoopers LLP as the independent registered public accounting firm. Proxies can be authorized via telephone, internet, or by mailing the enclosed Proxy Card.

Why It Matters

For investors and stakeholders tracking TRI-CONTINENTAL CORP, this filing contains several important signals. This filing is a definitive proxy statement (DEF 14A) for the upcoming annual meeting, indicating key corporate governance decisions are being put to a shareholder vote. The ratification of PricewaterhouseCoopers LLP as the independent auditor is a standard but crucial step for financial transparency and regulatory compliance.

Risk Assessment

Risk Level: low — TRI-CONTINENTAL CORP shows low risk based on this filing. The filing is a routine proxy statement for an annual meeting with standard agenda items, posing no immediate or unusual risks.

Analyst Insight

Review the director nominees and the ratification of the auditor to understand the company's governance and financial oversight.

Key Numbers

• 94th — Annual Meeting Number (Tri-Continental Corporation's 94th Annual Meeting of Stockholders)
• June 25, 2024 — Meeting Date (Date of the Annual Meeting of Stockholders)
• 9:00 a.m. — Meeting Time (Time of the Annual Meeting of Stockholders)
• 4 — Directors to be Elected (Number of Directors to be elected at the meeting)
• 2027 — Director Term End Year (Year until which elected Directors will hold office)

Key Players & Entities

• TRI-CONTINENTAL CORP (company) — Registrant name
• PricewaterhouseCoopers LLP (company) — Independent registered public accounting firm
• Elliot Park Hotel (company) — Location of the Annual Meeting
• June 25, 2024 (date) — Date of the Annual Meeting
• 2027 (date) — Term for elected Directors
• Maryland (jurisdiction) — State of incorporation
• Boston (location) — Business and Mail Address City
• Minneapolis (location) — Meeting Location City

FAQ

Risk Factors

• Compliance with SEC Regulations [low — regulatory]: The company must comply with all SEC rules and regulations regarding proxy solicitations and annual meetings.
• Conduct of Annual Meeting [low — operational]: Ensuring the smooth execution of the annual meeting, including logistics and shareholder participation, is critical.
• Ratification of Independent Auditor [low — financial]: The ratification of PricewaterhouseCoopers LLP is essential for maintaining financial reporting integrity.

Key Dates

• 2024-06-25: Annual Meeting of Stockholders — Election of Directors and ratification of independent auditor.
• 2024-04-22: Filing Date — Date the Definitive Proxy Statement was filed with the SEC.

Glossary

DEF 14A

Definitive Proxy Statement filed with the SEC. (Indicates the company is providing formal notice and details for shareholder voting on corporate matters.)

Key Financial Figures

• $2.50 — ation had outstanding 752,740 shares of $2.50 cumulative preferred stock (the Preferr
• $0.50 — 5.397 shares of common stock, par value $0.50 per share (the Common Stock), each shar
• $1 — a Funds Complex George S. Batejan $1-$10,000 Over $100,000 (a) Kathleen
• $10,000 — unds Complex George S. Batejan $1-$10,000 Over $100,000 (a) Kathleen Blatz
• $100,000 — George S. Batejan $1-$10,000 Over $100,000 (a) Kathleen Blatz $1-$10,000 Ove
• $50,001 — 0 Over $100,000 Pamela G. Carlton $50,001-$100,000 Over $100,000 (a) Janet La
• $10,001 — Over $100,000 (a) Sandra L. Yeager $10,001-$50,000 Over $100,000 (a) (a) Inc
• $50,000 — 00,000 (a) Sandra L. Yeager $10,001-$50,000 Over $100,000 (a) (a) Includes th

Filing Documents

• d826853ddef14a.htm (DEF 14A) — 398KB
• g826853dsp3.jpg (GRAPHIC) — 5KB
• g826853dsp3aa.jpg (GRAPHIC) — 5KB
• g826853dsp3b.jpg (GRAPHIC) — 3KB
• g826853dsp3c.jpg (GRAPHIC) — 3KB
• g826853dsp3d.jpg (GRAPHIC) — 4KB
• g826853dsp3e.jpg (GRAPHIC) — 6KB
• g826853dsp3f.jpg (GRAPHIC) — 2KB
• g826853dsp3g.jpg (GRAPHIC) — 2KB
• g826853dsp3k.jpg (GRAPHIC) — 3KB
• g826853dsp3m.jpg (GRAPHIC) — 6KB
• g826853dssp3j.jpg (GRAPHIC) — 3KB
• g840933larrenaga2.jpg (GRAPHIC) — 6KB
• g840933tyscript.jpg (GRAPHIC) — 8KB
• g840933tyscriptsmaller.jpg (GRAPHIC) — 6KB
• 0001193125-24-104621.txt (&nbsp;) — 485KB

From the Filing

DEF 14A 1 d826853ddef14a.htm DEF 14A DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the RegistrantFiled by a Party other than the Registrant Check the appropriate box: Preliminary Proxy Statement. Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)). Definitive Proxy Statement. Definitive Additional Materials. Soliciting Material under 240.14a-12. TRI-CONTINENTAL CORPORATION (Name of Registrant as Specified in its Charter) Payment of Filing Fee (Check the appropriate box): No fee required. Fee computed on table below per Exchange Act Rules 14a-6(i)(1) and 0-11. 1) Title of each class of securities to which transaction applies: 2) Aggregate number of securities to which transaction applies: 3) Per unit price or other underlying value of transaction computed pursuant to Exchange Act Rule 0-11 (set forth the amount on which the filing fee is calculated and state how it was determined): 4) Proposed maximum aggregate value of transaction: 5) Total fee paid: Fee paid previously with preliminary materials. Check box if any part of the fee is offset as provided by Exchange Act Rule 0-11(a)(2) and identify the filing for which the offsetting fee was paid previously. Identify the previous filing by registration statement number, or the form or schedule and the date of its filing. 1) Amount Previously Paid: 2) Form, Schedule or Registration Statement No.: 3) Filing Party: 4) Date Filed: Notice of Annual Meeting of Stockholders and Proxy Statement June 25, 2024 9:00 a.m. Elliot Park Hotel 823 5 th Avenue South Minneapolis, MN 55404 Please authorize your proxy by telephone, by the Internet, or by mailing the enclosed Proxy Card in the enclosed return envelope which requires no postage if mailed in the United States. 290 Congress Street Boston, Massachusetts 02210 Toll-Free Telephone (800) 345-6611 Notice of Annual Meeting of Stockholders to be held on June 25, 2024 To the Stockholders: The 94 th Annual Meeting of Stockholders (the Meeting) of Tri-Continental Corporation, a Maryland corporation (the Corporation), will be held at the Elliot Park Hotel, 823 5 th Avenue South, Minneapolis, Minnesota 55404, on June 25, 2024, at 9:00 a.m., local time, for the following purposes: (1) To elect four Directors, each to hold office until the 2027 Annual Meeting of Stockholders, and all until their successors are elected and qualify; (2) To consider a proposal to ratify the selection of PricewaterhouseCoopers LLP as the Corporation's independent registered public accounting firm; and (3) To transact such other business as may properly come before the Meeting or any adjournment or postponement thereof; all as more fully set forth in the Proxy Statement accompanying this Notice. You will need proof of record ownership of the Corporation's stock to enter the Meeting or, if your shares are held in street name, a proxy from the record holder. The close of business on April 16, 2024 has been fixed as the record date for the determination of Stockholders entitled to notice of, and to vote at, the Meeting or any adjournment or postponement thereof. You are entitled to participate in the Meeting only if you were a stockholder of the Corporation as of the close of business on April 16, 2024, or if you hold a valid proxy for the Meeting. Your vote is very important. Whether or not you plan to attend the Meeting, and regardless of the number of shares you own, we urge you to vote by promptly signing, dating and returning the enclosed Proxy Card, or by authorizing your proxy by telephone or the Internet as described in the enclosed Proxy Card. In addition, you may be able to authorize your proxy by telephone through the Corporation's proxy solicitor. If you have any questions or need additional information, please contact Georgeson LLC, the Corporation's proxy solicitor, at 1290 Avenue of the Americas, 9th Floor, New York, NY 10104, or by telephone at 1-866-410-5554. By order of the Board of Directors, Ryan C. Larrenaga Secretary Dated: Boston, MA, April 22, 2024 YOUR VOTE IS IMPORTANT NO MATTER HOW MANY SHARES YOU OWN. You may authorize your proxy by telephone, the Internet, or by completing, dating and signing the enclosed Proxy Card, and returning it in the envelope provided, which is addressed for your convenience and needs no postage if mailed in the United States. In order to avoid the additional expense of further solicitation, we ask your cooperation in authorizing your proxy promptly by telephone, the Internet, or by mailing the enclosed Proxy Card. April 22, 2024 290 Congress Street Boston, Massachusetts 02210 PROXY STATEMENT Annual Meeting of Stockholders to be held on June 25, 2024 This Proxy Statement is furnished to you in connection with the soli

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View this DEF 14A filing on SEC EDGAR