# EDGAR Filing Document

**Accession Number:** 0000795389
**File Stem:** 0000950123-25-008652
**Filing Date:** 2025-9
**Character Count:** 4098
**Document Hash:** e99405ccfdbcd52c38c1054f03971784
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000950123-25-008652.hdr.sgml**: 20250930

**ACCESSION NUMBER**: 0000950123-25-008652

**CONFORMED SUBMISSION TYPE**: TA-1/A

**PUBLIC DOCUMENT COUNT**: 1

**FILED AS OF DATE**: 20250905

**DATE AS OF CHANGE**: 20250930

**EFFECTIVENESS DATE**: 20250915

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** TRI-CONTINENTAL CORP /TA
- **CENTRAL INDEX KEY:** 0000795389

**ORGANIZATION NAME:**
- **EIN:** 135441850
- **STATE OF INCORPORATION:** MA

**FILING VALUES:**
- **FORM TYPE:** TA-1/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 084-00458
- **FILM NUMBER:** 251361590

**BUSINESS ADDRESS:**
- **STREET 1:** 290 CONGRESS STREET
- **STREET 2:** 7TH FLOOR
- **CITY:** BOSTON
- **STATE:** MA
- **ZIP:** 02210
- **BUSINESS PHONE:** 401-824-5729

**MAIL ADDRESS:**
- **STREET 1:** 290 CONGRESS STREET
- **STREET 2:** 7TH FLOOR
- **CITY:** BOSTON
- **STATE:** MA
- **ZIP:** 02210

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** TRI CONTINENTAL CORP /TA
- **DATE OF NAME CHANGE:** 20100210

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** TRI CONTINENTAL CORP                                    /TA
- **DATE OF NAME CHANGE:** 19860617

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM TA-1

### UNIFORM FORM OF APPLICATION FOR REGISTRATION AS A TRANSFER AGENT

### Registrant Information

**Appropriate regulatory agency:** SEC

**Full name of Registrant:** TRI-CONTINENTAL CORP /TA

**FINS Number:** 339572

**Address of principal office where transfer agent activities are performed:** 290 Congress Street, 7th Floor, Boston, MA, 02210

**Is mailing address different from principal office address?:** Yes

**Mailing Address:** 901 3rd Avenue South, Minneapolis, MN, 55402

**Telephone Number:** 401-824-5729

**Does registrant conduct business in other locations?:** No

**Is registrant a self-transfer agent?:** Yes

**Does registrant engage a service company to perform any of its transfer agent functions?:** Yes

**Is registrant engaged as a service company by a named transfer agent?:** No

### Ownership and Control Information

**Registrant Type:** Not Applicable

**Does any other person control the management or policies of the applicant?:** No

**Does any other person directly or indirectly finance the applicant?:** No

### Disciplinary History

- **Convicted/plead guilty to any felony or investment-related misdemeanor?:** No

- **Convicted/plead guilty to any other felony?:** No

- **Enjoined in connection with any investment-related activity?:** No

- **Found to have violated any investment-related statute or regulation?:** No

- **Made a false statement or omission in a filing with the SEC?:** No

- **Found to have violated SRO rules or failed to supervise?:** No

- **Had authorization to act as a financial professional denied, suspended, or revoked?:** No

- **Had a registration as a financial professional denied, suspended, or revoked?:** No

- **Federal/State agency found a false statement or omission?:** No

- **Federal/State agency found a violation of investment-related regulations?:** No

- **Federal/State agency denied, suspended, or revoked authorization?:** No

- **Federal/State agency entered an order against the applicant?:** No

- **Federal/State agency denied, suspended, or revoked registration?:** No

- **Federal/State agency revoked or suspended a license?:** No

- **SRO found a false statement or omission?:** No

- **SRO found a violation of its rules?:** No

- **SRO denied, suspended, or revoked authorization?:** No

- **SRO revoked or suspended a license?:** No

- **Subject of an order or finding by a foreign financial regulatory authority?:** No

- **Currently the subject of any proceeding that could result in a 'yes' answer to any of the above?:** No

- **Had a bond revoked for disorderly conduct, fraud, or dishonesty?:** No

- **Have any unsatisfied judgments or liens against them?:** No

### Signature

**Signature:** /s/Joseph D'Alessandro

**Title:** Assistant Secretary

**Date:** 09/05/2025

**Phone Number:** 212-850-1703