Amended Current Report Filing (8-k/a)
13 Marzo 2018 - 1:13PM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM
8-K/A
CURRENT
REPORT
Pursuant to Section 13 OR 15(d)
of The Securities Exchange Act of 1934
Date of Report (Date of earliest event reported): March 13, 2018
Tri-Continental
Corporation
(Exact name of registrant as specified in its charter)
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MARYLAND
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811-00266
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13-5441850
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(State or other jurisdiction
of incorporation)
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(Commission
File Number)
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(I.R.S. Employer
Identification No.)
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225 Franklin Street, Boston, Massachusetts
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02110
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(Address of principal executive offices)
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(Zip Code)
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Registrants telephone number, including area code:
(800)-345-6611
NOT APPLICABLE
(Former name or former address, if changed since last report.)
Check the appropriate box below if the Form
8-K
filing is intended to simultaneously satisfy the filing obligation of
the registrant under any of the following provisions (
see
General Instruction A.2. below):
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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☐
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Soliciting material pursuant to Rule
14a-12
under the Exchange Act (17 CFR
240.14a-12)
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Pre-commencement
communications pursuant to Rule
14d-2(b)
under the Exchange Act (17 CFR
240.14d-2(b))
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☐
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Pre-commencement
communications pursuant to Rule
13e-4(c)
under the Exchange Act (17 CFR
240.13e-4(c))
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Indicate by check mark whether the registrant is an emerging growth company as
defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule
12b-2
of the Securities Exchange Act of 1934
(§240.12b-2
of this chapter).
Emerging growth company ☐
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or
revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
SECTION 7 REGULATION FD
Item 7.01 Regulation FD Disclosure.
Registrant is
furnishing as Exhibit 99.1 the attached Press Release for
Tri-Continental
Corporation. The Press Release provides a change to certain information announced in a press release issued on March 9, 2018 in
connection with Registrants first-quarter distribution (the original press release). The original press release stated that the record date and
ex-dividend
date (for both common and preferred
stock) was March 19, 2018 and March 16, 2018, respectively, and the payable date for the common stock was March 27, 2018. The record date and
ex-dividend
date (for both the common and preferred
stock) has been updated to March 22, 2018 and March 21, 2018, respectively, and the payable date for the common stock has been updated to March 29, 2018. Other than the foregoing, there are no other changes to the information
contained in the original press release.
SECTION 9 FINANCIAL STATEMENTS AND EXHIBITS
Item 9.01 Financial Statements and Exhibits.
Registrant is furnishing as Exhibit 99.1 the attached Press Release for
Tri-Continental
Corporation.
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Exhibit Index
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SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned
hereunto duly authorized.
Date: March 13, 2018
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TRI-CONTINENTAL
CORPORATION
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By:
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/s/ Joseph DAlessandro
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Joseph DAlessandro
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Assistant Secretary
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