People: Tri-Continental Corp (TY)

TY on New York Consolidated

18.54USD
24 May 2013
Price Change (% chg)

$-0.01 (-0.05%)
Prev Close
$18.55
Open
$18.44
Day's High
$18.55
Day's Low
$18.44
Volume
26,617
Avg. Vol
52,868
52-wk High
$18.93
52-wk Low
$14.51

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Summary

Name Age Since Current Position

Stephen Lewis

 74 2008 Independent Chairman of the Board

J. Kevin Connaughton

 49 2010 President

Michael Clarke

 44 2011 Chief Financial Officer, Treasurer

Scott Plummer

 54 2011 Chief Legal Officer, Senior Vice President, Assistant Secretary

William Truscott

 53 2008 Senior Vice President, Director

Colin Moore

 55 2010 Senior Vice President

Thomas McGuire

 41 2012 Chief Compliance Officer

Joseph DiMaria

 45 2011 Vice President, Chief Accounting Officer

Paul Pearson

 57 2011 Vice President, Assistant Treasurer

Christopher Petersen

 43 2011 Vice President, Secretary

Michael DeFao

 45 2011 Vice President, Assistant Secretary

Paul Goucher

 45 2011 Vice President, Assistant Secretary

Amy Johnson

 48 2008 Vice President

Stephen Welsh

 56 2011 Vice President

Kathleen Blatz

 59 2008 Independent Director

Pamela Carlton

 59 2008 Independent Director

Patricia Flynn

 63 2008 Independent Director

Catherine Paglia

 61 2008 Independent Director

Leroy Richie

 72 2000 Independent Director

Alison Taunton-Rigby

 69 2008 Independent Director
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Biographies

Name Description

Stephen Lewis

 Dr. Stephen R. Lewis is an Independent Chairman of the Board of Tri-Continental Corporation, since November 7, 2008. He is President Emeritus and Professor of Economics, Carleton College. He is a Director of Valmont Industries, Inc. (manufactures irrigation systems) and other funds in the RiverSource Family of Funds. The Committee Memberships of the Company are Board Governance, Compliance, Contracts, Executive, Investment Review.

J. Kevin Connaughton

 Mr. J. Kevin Connaughton is President of TRI Continental Corp., since May 2010. He is Senior Vice President and General Manager — Mutual Fund Products, Columbia Management Investment Advisers, LLC since May 2010; President, Columbia Funds since 2009; Managing Director of Columbia Management Advisors, LLC, December 2004 — April 2010; Senior Vice President and Chief Financial Officer, Columbia Funds, June 2008 — January 2009; Treasurer, Columbia Funds, October 2003 — May 2008

Michael Clarke

 Mr. Michael G. Clarke is Chief Financial Officer, Treasurer of Tri Continental Corp., since January 2011. He is Vice President, Columbia Management Investment Advisers, LLC since May 2010; Managing Director of Fund Administration, Columbia Management Advisers, LLC, September 2004 — April 2010; senior officer of Columbia Funds and affiliated funds since 2002.

Scott Plummer

 Mr. Scott R. Plummer is Chief Legal Officer, Senior Vice President, Assistant Secretary of Tri-Continental Corporation. He has been Senior Vice President, Chief Legal Officer and Assistant Secretary, Columbia Management Investment Advisers, LLC since June 2005; Vice President and Lead Chief Counsel — Asset Management, Ameriprise Financial, Inc. since May 2010 (previously Vice President and Chief Counsel — Asset Management, 2005 — April 2010); Senior Vice President and Chief Legal Officer, Columbia Funds since May 2010; Vice President, Chief Counsel and Assistant Secretary, Columbia Management Investment Distributors, Inc. since 2008; Vice President, General Counsel and Secretary, Ameriprise Certificate Company since 2005; Chief Counsel, RiverSource Distributors, Inc. since 2006.

William Truscott

 Mr. William F. Truscott is Senior Vice President, Director of Tri-Continental Corporation, since November 7, 2008. He is President, Columbia Management Investment Advisers, LLC since February 2012 (previously President, Chairman of the Board and Chief Investment Officer, 2001-April 2010); Chief Executive Officer, Global Asset Management, Ameriprise Financial, Inc. since September 2012 (previously Chief Executive Officer, U.S. Asset Management & President, Annuities, May 2010-September 2012 and President — U.S. Asset Management and Chief Investment Officer, 2005- April 2010); President and Chief Executive Officer, Ameriprise Certificate Company, 2006- August 2012, Chief Executive Officer, Columbia Management Investment Distributors, Inc. since February 2012 (previously Chairman of the Board and Chief Executive Officer, 2008- April 2010); Chairman of the Board and Chief Executive Officer, Riversource Distributors, Inc. since 2006.

Colin Moore

 Mr. Colin Moore is Senior Vice President of Tri Continental Corp., since May 2010. He served as Director and Chief Investment Officer, Columbia Management Investment Advisers, LLC since May 2010; Senior Vice President, Columbia Funds since May 2010; Manager, Managing Director and Chief Investment Officer, Columbia Management Advisors, LLC, 2007 — April 2010.

Thomas McGuire

 Mr. Thomas P. McGuire is Chief Compliance Officer of Tri-Continental Corp., since March 2012. He is Vice President — Asset Management Compliance, Columbia Management Investment Advisers, LLC since 2010; Chief Compliance Officer, Columbia Funds since 2012; Chief Compliance Officer, Ameriprise Certificate Company since September 2010; Compliance Executive, Bank of America, 2005 — 2010.

Joseph DiMaria

 Mr. Joseph F. DiMaria is Vice President, Chief Accounting Officer of Tri-Continental Corporation, since April 14, 2011. He is Vice President, Mutual Fund Administration, Columbia Management Investment Advisers, LLC since May 2010; Director of Fund Administration, Columbia Management Advisors, LLC from January 2006 — April 2010.

Paul Pearson

 Mr. Paul D. Pearson is Vice President, Assistant Treasurer of Tri-Continental Corporation, since April 14, 2011. He is Vice President — Investment Accounting, Columbia Management Investment Advisers, LLC since May 2010; Vice President — Managed Assets, Investment Accounting, Ameriprise Financial, Inc., February 1998 — May 2010.

Christopher Petersen

 Mr. Christopher O. Petersen is Vice President, Secretary of Tri-Continental Corporation, since April 14, 2011. He is Vice President and Chief Counsel, Ameriprise Financial, Inc. since January 2010 (formerly Vice President and Group Counsel or Counsel, April 2004 — January 2010); Assistant Secretary of the former RiverSource Funds, January 2007 — April 2011 and of the former Nations Funds, May 2010 — 2011.

Michael DeFao

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

Paul Goucher

 Mr. Paul B. Goucher is Vice President, Assistant Secretary of Tri-Continental Corporation. He is Vice President and Lead Chief Counsel, Ameriprise Financial, Inc. since February 2013 (formerly Vice President and Chief Counsel, January 2010 — February 2013 and Vice President and Group Counsel, November 2008 — January 2010); Director, Managing Director and General Counsel of J. & W. Seligman & Co. Incorporated, July 2008 — November 2008 (previously Managing Director and Associate General Counsel January 2005 — July 2008).

Amy Johnson

 Ms. Amy K. Johnson is Vice President of Tri-Continental Corporation, since November 7, 2008. She is Senior Vice President 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; Vice President, Columbia Funds since May 2010.

Stephen Welsh

 Mr. Stephen T. Welsh is Vice President of Tri Continental Corp., since April 14, 2011. He is President and Director, Columbia Management Investment Services Corp. since May 2010; President and Director, Columbia Management Services, Inc., July 2004 — April 2010; Managing Director, Columbia Management Distributors, Inc., August 2007 — April 2010.

Kathleen Blatz

 Ms. Kathleen A. Blatz is an Independent Director of Tri-Continental Corporation, since November 7, 2008. She is Attorney; Chief Justice, Minnesota Supreme Court, 1998-2006. She is a Director of other funds in the RiverSource Family of Funds. The Committee Memberships of the Company are Board Governance, Compliance, Investment Review, Audit.

Pamela Carlton

 Ms. Pamela G. Carlton is an Independent Director of Tri-Continental Corporation, since November 7, 2008. She is President, Springboard-Partners in Cross Cultural Leadership (consulting company). She is a Director of other funds in the RiverSource Family of Funds. The Committee Memberships of the Company are Distribution, Investment Review, Audit Executive.

Patricia Flynn

 Ms. Patricia M. Flynn is an Independent Director of Tri-Continental Corporation, since November 7, 2008. She is Trustee Professor of Economics and Management, Bentley University; Former Dean, McCallum Graduate School of Business, Bentley University. She is a Director of other funds in the RiverSource Family of Funds. The Committee Memberships of the Company are Board Governance, Contracts, Investment Review.

Catherine Paglia

 Ms. Catherine James Paglia is an Independent Director of Tri-Continental Corporation, since November 7, 2008. She is Director of Enterprise Asset Management, Inc. (private real estate and asset management company). She is a Director of other funds in the RiverSource Family of Funds. The Committee Memberships of the Company are Board Governance, Compliance, Contracts, Executive Investment Review.

Leroy Richie

 Mr. Leroy C. Richie is an Independent Director of Tri-Continental Corporation, since 2000. He is Counsel, Lewis & Munday, P.C. since 2004; Vice President and General Counsel, Automotive Legal Affairs, Chrysler Corporation, 1983-1997. He is Lead Outside Director, Digital Ally, Inc. (digital imaging) since September 2005; Director, Infinity, Inc. (oil and gas exploration and production) since 1994; Director, OGE Energy Corp. (energy and energy services) since November 2007; Other funds in the Columbia Funds since 2000.

Alison Taunton-Rigby

 Dr. Alison Taunton-Rigby is an Independent Director of Tri-Continental Corporation, since, November 7, 2008. She is Chief Executive Officer and Director, RiboNovix, Inc. since 2003-2010 (biotechnology); former President, Aquila Biopharmaceuticals. She has been Director, Healthways, Inc. (health management programs); Director ICI Mutual Insurance Company RRG; Director, Abt Associates (government contractor); other funds in the Columbia Family of Funds. Her Committee Memberships includes: Contracts, Executive, Investment Review.

Insider Trading

Name Shares Traded Price

WHITE TODD

 200 $17.42

WHITE TODD

 6,600 $17.42

WHITE TODD

 3,200 $17.41

JIN YAN

 600 $17.56

WHITE TODD

 3,000 $17.10

WHITE TODD

 4,400 $17.19

WHITE TODD

 200 $17.19

WHITE TODD

 1,400 $17.19

KING DAVID LEE

 2,500 $16.80

KING DAVID LEE

 3,400 $16.84

KING DAVID LEE

 9,100 $16.86

CONDON BRIAN MATTHEW

 340 $13.64

CONDON BRIAN MATTHEW

 160 $13.62

KING DAVID LEE

 500 $15.11

KING DAVID LEE

 700 $15.17

KING DAVID LEE

 3,599 $15.16

KING DAVID LEE

 1,019 $15.18

KING DAVID LEE

 2,501 $15.09

KING DAVID LEE

 900 $15.11

KING DAVID LEE

 4,000 $15.15

KING DAVID LEE

 3,400 $15.12

KING DAVID LEE

 1,300 $15.13

KING DAVID LEE

 1,481 $15.17

KING DAVID LEE

 500 $15.10

KING DAVID LEE

 100 $15.18
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