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Tri-Continental Corp (TY)

TY on New York Consolidated

24.63USD
17 Aug 2017
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Summary

Name Age Since Current Position

William Carmichael

74 2014 Chairman of the Board

Christopher Petersen

47 2015 Chief Executive Officer, Vice President

Michael Clarke

48 2011 Chief Financial Officer, Treasurer

Thomas McGuire

45 2012 Senior Vice President, Chief Compliance Officer

William Truscott

57 2008 Senior Vice President, Director

Colin Moore

59 2010 Senior Vice President

Ryan Larrenaga

47 2015 Vice President, Secretary

Michael DeFao

49 2011 Vice President, Assistant Secretary

Paul Goucher

49 2011 Vice President, Assistant Secretary

Amy Johnson

52 2008 Vice President

Lyn Kephart-Strong

57 2015 Vice President

William Hawkins

75 2015 Director

Minor Shaw

70 2016 Director

Kathleen Blatz

63 2008 Independent Director

Pamela Carlton

63 2008 Independent Director

Patricia Flynn

67 2008 Independent Director

Catherine Paglia

65 2008 Independent Director

Alison Taunton-Rigby

73 2008 Independent Director

Biographies

Name Description

William Carmichael

Mr. William P. Carmichael is a Chairman of the Board of the Company. Mr. Carmichael, a Certified Public Accountant and attorney, had 4 years of experience with Price Waterhouse (now PricewaterhouseCoopers LLP) and 21 years of experience in various financial positions with global consumer product companies, including: Senior Vice President of Sara Lee Corporation and Senior Vice President and Chief Financial Officer of Beatrice Foods Company. He has been Treasurer and Chairman of the Investment Committee for the Indiana University Foundation, and has been an adjunct professor of finance for the I.U. Kelley School of Business. Mr. Carmichael has also been a member of the board and the Investment Committee of the Virginia Law School Foundation, and has served on numerous public company boards. His experience covers strategic planning, corporate governance and multiple financial functions, including investments.

Christopher Petersen

Mr. Christopher O. Petersen is a Chief Executive Officer, Vice President of the Company. Mr. Vice President and Lead Chief Counsel, Ameriprise Financial, Inc. since January 2015 (previously, Vice President and Chief Counsel January 2010 — December 2014; and Vice President and Group Counsel or Counsel 2004 — January 2010); officer of Columbia Funds and affiliated funds since 2007.

Michael Clarke

Mr. Michael G. Clarke is Chief Financial Officer, Treasurer of the Company. He Vice President — Mutual Fund Administration, Columbia Management Investment Advisers, LLC, since May 2010; Managing Director of Fund Administration, Columbia Management Advisors, LLC, September 2004 — April 2010; senior officer of Columbia Funds and affiliated funds since 2002.

Thomas McGuire

Mr. Thomas P. McGuire is a Senior Vice President, Chief Compliance Officer of the Company. He Vice President — Asset Management Compliance, Ameriprise Financial, Inc., since May 2010; Chief Compliance Officer, Ameriprise Certificate Company since September 2010; Compliance Executive, Bank of America, 2005 — April 2010.

William Truscott

Mr. William F. Truscott is a Senior Vice President, Director of the Company. Mr. Truscott has served on the Board of Directors/Trustees of various Columbia funds since 2001. He has served as Chairman of the Board of the Manager since May 2010 and since February 2012 has served as its President. From 2001 to April 2010, Mr. Truscott served as the President, Chairman of the Board and Chief Investment Officer of the Manager. He has served as Director of the Columbia Management Investment Distributors, Inc. since May 2010 and since February 2012 has served as its Chief Executive Officer. The Board has concluded that having a senior member of the Manager serve on the Board can facilitate increased access to information regarding the Manager for the independent Directors, which is the Corporation’s most significant service provider.

Colin Moore

Mr. Colin Moore is Senior Vice President of the Company. He Executive Vice President and Global Chief Investment Officer, Ameriprise Financial, Inc., since July 2013; Director and Global Chief Investment Officer, Columbia Management Investment Advisers, LLC since May 2010; Manager, Managing Director and Chief Investment Officer, Columbia Management Advisors, LLC, 2007 — April 2010.

Ryan Larrenaga

Mr. Ryan C. Larrenaga is a Vice President, Secretary of the Company. He Vice President and Group Counsel, Ameriprise Financial, Inc. since August 2011 (previously, Counsel from May 2010 to August 2011); Assistant General Counsel, Bank of America, 2005 — April 2010; officer of Columbia Funds and affiliated funds since 2005.

Michael DeFao

Mr. Michael E. DeFao is Vice President, Assistant Secretary of the Company. He is Vice President and Chief Counsel, Ameriprise Financial, Inc. since May 2010; Associate General Counsel, Bank of America, 2005 — April 2010.

Paul Goucher

Mr. Paul B. Goucher is Vice President, Assistant Secretary of the Company. He Vice President and Lead Chief Counsel, Ameriprise Financial, Inc. since November 2008 and January 2013, respectively (previously Chief Counsel, January 2010 — January 2013 and Group Counsel, November 2008 — January 2010).

Amy Johnson

Ms. Amy K. Johnson is Vice President of the Company. She is Managing Director and Chief Operating Officer, Columbia Management Investment Advisers, LLC since May 2010 (previously Chief Administrative Officer, 2009 — April 2010, and Vice President — Asset Management and Trust Company Services, 2006 — 2009).

Lyn Kephart-Strong

Ms. Lyn Kephart-Strong is a Lyn Kephart-Strong is a Vice President of the Company. She President, Columbia Management Investment Services Corp. since October 2014; Vice President & Resolution Officer, Ameriprise Trust Company since August 2009; President, RiverSource Service Corporation 2004 — 2010.

William Hawkins

Mr. William A. Hawkins is a Director of the Company. Mr. Hawkins has been a Managing Director of Overton Partners, a financial consulting firm for over 15 years. He has over thirty years of executive level experience in the banking and financial services industry, including serving as President and Chief Executive Officer of California General Bank, N.A., President of IndyMac Bancorp and President and Chief Operating Officer of American General Bank, FSB. He also served as Chief Executive Officer and President of Griffin Financial Services of America Inc., an asset management firm. He also has experience on other boards of directors, including boards of other investment companies. He is a Certified Financial Planner and a Chartered Property and Casualty Underwriter.

Minor Shaw

Kathleen Blatz

Ms. Kathleen A. Blatz is an Independent Director of the Company. Ms. Blatz has had a successful legal and judicial career, including serving for eight years as Chief Justice of the Minnesota Supreme Court. Prior to being a judge, she practiced law and also served in the Minnesota House of Representatives having been elected to eight terms. While in the legislature she served on various committees, including the Financial Institutions and Insurance Committee and the Tax Committee. Since retiring from the Bench, she has been appointed as an arbitrator on many cases involving business to business disputes, including some pertaining to shareholder rights issues. She also has been appointed to two Special Litigation Committees by boards of Fortune 500 Companies to investigate issues relating to cyber-security and stock options. She serves on the boards of directors of BlueCross BlueShield of Minnesota as well as several non-profit organizations.

Pamela Carlton

Ms. Pamela G. Carlton is an Independent Director of the Company. Ms. Carlton has over 20 years’ experience in the investment banking industry, as a former Managing Director of JP Morgan Chase and a 14-year veteran of Morgan Stanley Investment Banking and Equity Research. She is currently the President of Springboard Partners in Cross Cultural Leadership, a consulting firm that she founded. She also has experience on other boards of directors of non-profit organizations including the Board of Trustees of New York Presbyterian Hospital where she is on the Executive Committee and Chair of the Human Resources Committee.

Patricia Flynn

Ms. Patricia M. Flynn is an Independent Director of the Company. Dr. Flynn is a Trustee Professor of Economics and Management at Bentley University, where she previously served as Dean of the McCallum Graduate School of Business. Her research and teaching focus on technology-based economic development, corporate governance and women in business, which she has also written on extensively. She has served on numerous corporate and non-profit boards, including Boston Fed Bancorp Inc., U.S. Trust and The Federal Savings Bank.

Catherine Paglia

Ms. Catherine James Paglia is an Independent Director of the Company. Ms. Paglia has been a Director of Enterprise Asset Management, Inc., a real estate and asset management company, for over 15 years. She previously spent eight years as a Managing Director at Morgan Stanley, 10 years as a Managing Director of Interlaken Capital and served as Chief Financial Officer of two public companies. She also has experience on other boards of directors of public and non-profit organizations.

Alison Taunton-Rigby

Dr. Alison Taunton-Rigby, Ph.D. is an Independent Director of the Company. Dr. Taunton-Rigby has been a senior executive in the healthcare industry for over 30 years. She was Founder, President and Chief Executive Officer of RiboNovix, Inc. and President and Chief Executive Officer of Aquila Biopharmaceuticals, Inc., Cambridge Biotech Corporation and Mitotix Inc. Prior to this, she served in senior management positions at Genzyme Corporation, Arthur D. Little Inc., Vivotech Inc., Biogen, Inc. and Collaborative Research, Inc. She has been awarded the OBE (Officer of the Order of the British Empire) by Queen Elizabeth II for her work as a leader in the research, development and promotion of biotechnology. She currently serves as a director of ICI Mutual Insurance Company, Healthways, Inc., Abt Associates and Boston Children’s Hospital, and serves on a number of Advisory Boards.