Vault-13

TRI CONTL CORP TY

COM · Closed-End Fund · CUSIP 895436103

121 institutional holders -2 vs Q2 2023
6,577,7416.6m shares reported held*
$174.9mreported value*
9 new 33 added 38 reduced 11 sold out net bought ≈ $2.1m (+78.0k shares)

* Summed across managers. Shares that two managers' reports both contain – a subsidiary's holdings that its parent's report includes too, or a sub-adviser's in its client's – are counted once. Holder counts are more reliable. Implied quarter-end price ≈ $26.59. Options: 1 managers hold calls ($0 notional), 1 hold puts ($0).

Trends to Q3 2023

Institutional holders

Managers reporting a position, each quarter

050100150Q3 22: 115Q4 22: 125Q1 23: 117Q2 23: 123Q3 23: 121121Q3 22Q4 22Q1 23Q2 23Q3 23
Numbers
QuarterHolders
Q3 2022115
Q4 2022125
Q1 2023117
Q2 2023123
Q3 2023121

Buyers vs sellers

Managers adding to or starting a position, vs cutting or selling out

Bought or addedCut or sold out
1000100Q4 22: 54 bought or addedQ4 22: 44 cut or sold outQ4 22Q1 23: 46 bought or addedQ1 23: 53 cut or sold outQ1 23Q2 23: 52 bought or addedQ2 23: 40 cut or sold outQ2 23Q3 23: 42 bought or addedQ3 23: 49 cut or sold outQ3 23
Numbers
QuarterBought or addedCut or sold out
Q4 20225444
Q1 20234653
Q2 20235240
Q3 20234249

Biggest buyers

Biggest sellers

MORGAN STANLEY Reduced -57,695-57.7k
Bard Financial Services, Inc. Reduced -38,752-38.8k
STIFEL FINANCIAL CORP Reduced -32,163-32.2k
Transform Wealth, LLC Reduced -23,052-23.1k
Raymond James Financial Services Advisors, Inc. Reduced -18,719-18.7k
RETIREMENT INCOME SOLUTIONS, INC Sold out -17,328-17.3k
AMG National Trust Bank Sold out -15,791-15.8k
WELLS FARGO & COMPANY/MN Reduced -14,446-14.4k
RAYMOND JAMES & ASSOCIATES Reduced -14,380-14.4k
BANK OF AMERICA CORP /DE/ Reduced -12,304-12.3k

Biggest calls

Biggest puts

Options at notional value: the value of the shares the contracts control, as filers report them, not what the options cost. Not included in the holders, shares or buying above.

Insider purchases and sales in Q3 2023

Shares bought or sold by the company's own officers, directors and 10% owners, in the open market or privately, as they reported to the SEC on Form 4 (due within two business days of the trade). Grants, option exercises, shares withheld for tax and gifts aren't included.

Officers and directors buying vs selling

Number of people, by quarter (10% owners not included)

BuyingSelling
101Q4 21: 0 buyingQ4 21: 0 sellingQ1 22: 0 buyingQ1 22: 0 sellingQ1 22Q2 22: 0 buyingQ2 22: 0 sellingQ3 22: 0 buyingQ3 22: 0 sellingQ3 22Q4 22: 0 buyingQ4 22: 0 sellingQ1 23: 0 buyingQ1 23: 0 sellingQ1 23Q2 23: 0 buyingQ2 23: 0 sellingQ3 23: 0 buyingQ3 23: 1 sellingQ3 23
Numbers
QuarterBuyingBoughtSellingSoldSold under a plan
Q4 20210—0——
Q1 20220—0——
Q2 20220—0——
Q3 20220—0——
Q4 20220—0——
Q1 20230—0——
Q2 20230—0——
Q3 20230—1$748—
DateInsiderTradeSharesPrice ValueTheir holding
2023-08-29 Carrig Janet Director Sold 27 $27.71 $74827 shares -27%
2023-07-06 Sivaraman Raghavendran Portfolio Manager of Issuer Bought 3,000 $27.07 $81.2k3.0k shares new

Their holding: how much the trade added to or took from the insider's holding (direct, or the trust or fund named). The same trade is sometimes reported by more than one insider, such as a fund and the director who represents it; totals count it once. A value is left blank where the reported price is far from the market price (usually a typo).

Holders, Q3 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 591,208591.2k $15.7m $15.7m 0.00% Reduced -57.7k -57,695
2 Bard Financial Services, Inc. 1.87% of their portfolio BRANFORD, CT 567,653567.7k $15.1m $15.1m 1.87% Reduced -38.8k -38,752
3 LAZARD ASSET MANAGEMENT LLC 0.02% of their portfolio NEW YORK, NY 449,805449.8k $12.0m $12.0m 0.02% Reduced -2.7k -2,682
4 Allspring Global Investments Holdings, LLC 0.02% of their portfolio CHARLOTTE, NC 445,892445.9k $11.9m $11.9m 0.02% Added +39.0k +38,962
5 BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC 3.01% of their portfolio BLUE BELL, PA 419,981420.0k $11.2m $11.2m 3.01% Reduced -2.5k -2,457
6 RAYMOND JAMES & ASSOCIATES 0.01% of their portfolio ST PETERSBURG, FL 305,568305.6k $8.1m $8.1m 0.01% Reduced -14.4k -14,380
7 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 254,397254.4k $6.8m $6.8m 0.00% Reduced -14.4k -14,446
8 UBS Group AG 0.00% of their portfolio ZURICH, V8 251,525251.5k $6.7m $6.7m 0.00% Reduced -1.7k -1,743
9 Dubuque Bank & Trust Co 0.89% of their portfolio Dubuque, IA 249,725249.7k $6.6m $6.6m 0.89% Reduced -9.0k -9,041
10 Relative Value Partners Group, LLC 0.44% of their portfolio NORTHBROOK, IL 245,668245.7k $6.5m $6.5m 0.44% Reduced -3.6k -3,577
11 Raymond James Financial Services Advisors, Inc. 0.01% of their portfolio ST. PETERSBURG, FL 231,027231.0k $6.1m $6.1m 0.01% Reduced -18.7k -18,719
12 Uncommon Cents Investing LLC 1.68% of their portfolio JANESVILLE, WI 172,463172.5k $4.6m $4.6m 1.68% Added +1.3k +1,310
13 Hennion & Walsh Asset Management, Inc. 0.22% of their portfolio Parsippany, NJ 128,024128.0k $3.4m $3.4m 0.22% Added +12.7k +12,748
14 WEALTH ENHANCEMENT ADVISORY SERVICES, LLC 0.01% of their portfolio PLYMOUTH, MN 115,971116.0k $3.1m $3.1m 0.01% New
15 COMMONWEALTH EQUITY SERVICES, LLC 0.01% of their portfolio WALTHAM, MA 109,607109.6k $2.9m $2.9m 0.01% Added +479 +479
16 STIFEL FINANCIAL CORP 0.00% of their portfolio ST. LOUIS, MO 103,709103.7k $2.8m $2.8m 0.00% Reduced -32.2k -32,163
17 Cornerstone Advisors, LLC 0.12% of their portfolio ASHEVILLE, NC 94,69394.7k $2.5m $2.5m 0.12% Added +13.7k +13,738
18 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 91,72391.7k $2.4m $2.4m 0.00% Reduced -1.0k -1,044
19 Shaker Financial Services, LLC 1.09% of their portfolio Arlington, VA 87,93187.9k $2.3m $2.3m 1.09% Added +17.2k +17,185
20 1620 INVESTMENT ADVISORS, INC. 2.59% of their portfolio PLYMOUTH, MA 85,92685.9k $2.3m $2.3m 2.59% Reduced -476 -476
21 D.A. DAVIDSON & CO. 0.02% of their portfolio GREAT FALLS, MT 85,57185.6k $2.3m $2.3m 0.02% Reduced -1.5k -1,453
22 OSAIC HOLDINGS, INC. 0.00% of their portfolio SCOTTSDALE, AZ 78,39778.4k $2.1m $2.1m 0.00% Added +671 +671
23 Integrated Wealth Concepts LLC 0.04% of their portfolio WALTHAM, MA 76,99577.0k $2.0m $2.0m 0.04% Reduced -38 -38
24 Capstone Financial Advisors, Inc. 0.16% of their portfolio DOWNERS GROVE, IL 75,51375.5k $2.0m $2.0m 0.16% Unchanged
25 Mariner, LLC 0.01% of their portfolio Overland Park, KS 72,86972.9k $1.9m $1.9m 0.01% New
26 RB Capital Management, LLC 0.52% of their portfolio RENO, NV 60,52360.5k $1.6m $1.6m 0.52% Reduced -1.2k -1,235
27 Baltimore-Washington Financial Advisors, Inc. 0.12% of their portfolio Columbia, MD 57,19257.2k $1.5m $1.5m 0.12% New
28 FIRST TRUST ADVISORS LP 0.00% of their portfolio Wheaton, IL 54,89154.9k $1.5m $1.5m 0.00% Reduced -648 -648
29 AQR Arbitrage LLC 0.07% of their portfolio Greenwich, CT 54,55854.6k $1.5m $1.5m 0.07% Added +29.0k +29,018
30 Cambridge Investment Research Advisors, Inc. 0.01% of their portfolio FAIRFIELD, IA 53,40553.4k $1.4m $1.4m 0.01% Added +579 +579
31 Stolper Co 0.60% of their portfolio TULSA, OK 51,80151.8k $1.4m $1.4m 0.60% Reduced -1.1k -1,125
32 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 47,95048.0k $1.3m $1.3m 0.00% Reduced -12.3k -12,304
33 ALBION FINANCIAL GROUP /UT 0.10% of their portfolio SALT LAKE CITY, UT 41,79741.8k $1.1m $1.1m 0.10% Unchanged
34 LPL Financial LLC 0.00% of their portfolio FORT MILL, SC 36,82036.8k $979.1k $979.1k 0.00% Added +7.0k +7,018
35 Whitener Capital Management, Inc. 0.39% of their portfolio Rocky Mount, NC 36,28936.3k $964.9k $964.9k 0.39% Added +713 +713
36 Thrivent Financial for Lutherans 0.00% of their portfolio Minneapolis, MN 28,59628.6k $760.0k $760.0k 0.00% Unchanged
37 Atlas Wealth LLC 0.13% of their portfolio CINCINNATI, OH 27,01827.0k $718.4k $718.4k 0.13% Unchanged
38 TIAA TRUST, NATIONAL ASSOCIATION 0.00% of their portfolio CHARLOTTE, NC 26,59926.6k $707.3k $707.3k 0.00% First filing
39 Altus Wealth Group LLC 0.44% of their portfolio COLORADO SPRINGS, CO 26,15826.2k $695.5k $695.5k 0.44% Added +583 +583
40 HighTower Advisors, LLC 0.00% of their portfolio CHICAGO, IL 24,91224.9k $661.0k $661.0k 0.00% Reduced -889 -889
41 Kestra Advisory Services, LLC 0.01% of their portfolio AUSTIN, TX 23,47023.5k $624.1k $624.1k 0.01% Reduced -2.3k -2,285
42 Transform Wealth, LLC 0.07% of their portfolio GREENWOOD VILLAGE, CO 23,44023.4k $623.3k $623.3k 0.07% Reduced -23.1k -23,052
43 Heritage Wealth Advisors 0.03% of their portfolio RICHMOND, VA 21,18321.2k $563.3k $563.3k 0.03% Unchanged
44 Janney Montgomery Scott LLC 0.00% of their portfolio PHILADELPHIA, PA 18,29818.3k $487.0k $487.0k 0.00% Added +1.2k +1,230
45 Savant Capital, LLC 0.01% of their portfolio ROCKFORD, IL 16,92016.9k $449.9k $449.9k 0.01% Unchanged
46 First PREMIER Bank 0.14% of their portfolio SIOUX FALLS, SD 16,57416.6k $441.0k $441.0k 0.14% Unchanged
47 JOHNSON INVESTMENT COUNSEL INC 0.01% of their portfolio Cincinnati, OH 16,21916.2k $431.3k $431.3k 0.01% Added +5 +5
48 Successful Portfolios LLC 0.37% of their portfolio CLEARWATER, FL 15,75515.8k $418.9k $418.9k 0.37% Reduced -1.3k -1,287
49 Walleye Capital LLC 0.01% of their portfolio NEW YORK, NY 15,17115.2k $403.4k $403.4k 0.01% Reduced -2.9k -2,878
50 KIRR MARBACH & CO LLC /IN/ 0.11% of their portfolio COLUMBUS, IN 14,88214.9k $395.7k $395.7k 0.11% Added +950 +950
51 Koshinski Asset Management, Inc. 0.04% of their portfolio DECATUR, IL 13,84013.8k $368.0k $368.0k 0.04% Added +4 +4
52 Creative Planning 0.00% of their portfolio OVERLAND PARK, KS 12,91512.9k $343.4k $343.4k 0.00% Reduced -1.9k -1,865
53 LANDSCAPE CAPITAL MANAGEMENT, L.L.C. 0.04% of their portfolio Englewood, NJ 12,69012.7k $337.4k $337.4k 0.04% Reduced -4.0k -4,008
54 Tower Wealth Partners, Inc. 0.27% of their portfolio LEWISBURG, PA 12,21212.2k $324.7k $324.7k 0.27% Added +115 +115
55 WOLVERINE ASSET MANAGEMENT LLC 0.01% of their portfolio CHICAGO, IL 11,96912.0k $318.3k $318.3k 0.01% Added +9.8k +9,750
56 NORTHERN TRUST CORP 0.00% of their portfolio CHICAGO, IL 11,72411.7k $311.7k $311.7k 0.00% Reduced -502 -502
57 MSH Capital Advisors LLC 0.12% of their portfolio SCOTTSDALE, AZ 11,47011.5k $305.0k $305.0k 0.12% Unchanged
58 PATHSTONE FAMILY OFFICE, LLC 0.00% of their portfolio ENGLEWOOD, NJ 11,29111.3k $300.2k $300.2k 0.00% Unchanged
59 Sheaff Brock Investment Advisors, LLC 0.03% of their portfolio INDIANAPOLIS, IN 11,24711.2k $299.1k $299.1k 0.03% Reduced -10 -10
60 NATIONS FINANCIAL GROUP INC, /IA/ /ADV 0.03% of their portfolio CEDAR RAPIDS, IA 11,14011.1k $296.2k $296.2k 0.03% Added +73 +73
61 American Institute for Advanced Investment Management, LLP 0.26% of their portfolio Scottsdale, AZ 10,64310.6k $283.0k $283.0k 0.26% Unchanged
62 OPPENHEIMER & CO INC 0.01% of their portfolio NEW YORK, NY 10,48410.5k $278.8k $278.8k 0.01% Unchanged
63 CORA CAPITAL ADVISORS LLC 0.18% of their portfolio MARLTON, NJ 10,35210.4k $275.3k $275.3k 0.18% Reduced -3.0k -3,000
64 Foundations Investment Advisors, LLC 0.01% of their portfolio PHOENIX, AZ 9,96510.0k $265.0k $265.0k 0.01% Added +93 +93
65 Elequin Capital, LP 0.05% of their portfolio NEW YORK, NY 9,7909.8k $260.3k $260.3k 0.05% Added +5.3k +5,311
66 J.P. Morgan Private Wealth Advisors LLC 0.00% of their portfolio SAN FRANCISCO, CA 9,6239.6k $255.9k $255.9k 0.00% Unchanged
67 TWIN FOCUS CAPITAL PARTNERS, LLC 0.06% of their portfolio Boston, MA 9,5009.5k $252.6k $252.6k 0.06% Unchanged
68 FERGUSON WELLMAN CAPITAL MANAGEMENT, INC 0.01% of their portfolio PORTLAND, OR 9,2669.3k $246.4k $246.4k 0.01% Unchanged
69 Private Advisor Group, LLC 0.00% of their portfolio MORRISTOWN, NJ 9,0329.0k $240.2k $240.2k 0.00% Reduced -487 -487
70 ZWJ INVESTMENT COUNSEL INC 0.01% of their portfolio Atlanta, GA 8,8118.8k $234.3k $234.3k 0.01% Unchanged
71 Cetera Advisors LLC 0.00% of their portfolio DENVER, CO 8,7838.8k $233.5k $233.5k 0.00% Unchanged
72 DAYMARK WEALTH PARTNERS, LLC 0.02% of their portfolio CINCINNATI, OH 8,6098.6k $228.9k $228.9k 0.02% Reduced -5.3k -5,286
73 RAYMOND JAMES TRUST N.A. 0.01% of their portfolio ST. PETERSBURG, FL 8,5368.5k $227.0k $227.0k 0.01% Unchanged
74 WESBANCO BANK INC 0.01% of their portfolio WHEELING, WV 8,4738.5k $225.3k $225.3k 0.01% Unchanged
75 Strategic Investment Solutions, Inc. /IL 0.00% of their portfolio ORLAND PARK, IL 8,4428.4k $232.6k $232.6k 0.00% Added +8.3k +8,308
76 GUGGENHEIM CAPITAL LLC 0.00% of their portfolio CHICAGO, IL 8,2358.2k $219.0k $219.0k 0.00% Added +6 +6
77 TANDEM CAPITAL MANAGEMENT CORP /ADV 0.15% of their portfolio WOODCLIFF LAKE, NJ 8,1008.1k $215.4k $215.4k 0.15% New
78 PNC Financial Services Group, Inc. 0.00% of their portfolio Pittsburgh, PA 7,6107.6k $202.3k $202.3k 0.00% Reduced -961 -961
79 9258 Wealth Management, LLC 0.04% of their portfolio BLUE ASH, OH 7,5657.6k $201.2k $201.2k 0.04% Added +24 +24
80 Allworth Financial LP 0.00% of their portfolio FOLSOM, CA 6,6476.6k $176.7k $176.7k 0.00% Reduced -1.9k -1,939
81 Ancora Advisors LLC 0.00% of their portfolio Cleveland, OH 5,9005.9k $156.9k $156.9k 0.00% Unchanged
82 Steward Partners Investment Advisory, LLC 0.00% of their portfolio STAMFORD, CT 5,8845.9k $156.5k $156.5k 0.00% Added +1.4k +1,415
83 BROWN, LISLE/CUMMINGS, INC. 0.07% of their portfolio PROVIDENCE, RI 5,8005.8k $154.2k $154.2k 0.07% Unchanged
84 Clearstead Advisors, LLC 0.00% of their portfolio CLEVELAND, OH 5,0005.0k $132.9k $132.9k 0.00% Added +2.5k +2,500
85 Carmichael Hill & Associates, Inc. 0.06% of their portfolio GAITHERSBURG, MD 4,9605.0k $131.9k $131.9k 0.06% Added +174 +174
86 US BANCORP \DE\ 0.00% of their portfolio MINNEAPOLIS, MN 4,8424.8k $128.7k $128.7k 0.00% Reduced -1 -1
87 BESSEMER GROUP INC 0.00% of their portfolio WOODBRIDGE, NJ 3,7313.7k $99.0k $99.0k 0.00% Unchanged
88 Parallel Advisors, LLC 0.00% of their portfolio SAN FRANCISCO, CA 3,2403.2k $86.2k $86.2k 0.00% Unchanged
89 BROWN BROTHERS HARRIMAN & CO 0.00% of their portfolio NEW YORK, NY 3,0573.1k $81.3k $81.3k 0.00% Unchanged
90 FIRST COMMUNITY TRUST NA 0.09% of their portfolio DUBUQUE, IA 3,0003.0k $79.8k $79.8k 0.09% Unchanged
91 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.00% of their portfolio MILWAUKEE, WI 2,9893.0k $79.5k $79.5k 0.00% Reduced -421 -421
92 Lowe Wealth Advisors, LLC 0.04% of their portfolio COLUMBIA, MD 2,6152.6k $69.5k $69.5k 0.04% Reduced -1.5k -1,500
93 COMERICA BANK 0.00% of their portfolio DALLAS, TX 2,4722.5k $65.7k $65.7k 0.00% New
94 Global Retirement Partners, LLC 0.00% of their portfolio San Rafael, CA 2,0862.1k $54.9k $54.9k 0.00% Unchanged
95 NewEdge Advisors, LLC 0.00% of their portfolio NEW ORLEANS, LA 2,0642.1k $54.9k $54.9k 0.00% Unchanged
96 McIlrath & Eck, LLC 0.01% of their portfolio ARLINGTON, WA 1,9612.0k $52.1k $52.1k 0.01% Unchanged
97 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 1,7881.8k $47.5k $47.5k 0.00% Added +190 +190
98 FIFTH THIRD BANCORP 0.00% of their portfolio CINCINNATI, OH 1,6651.7k $44.3k $44.3k 0.00% Unchanged
99 Tyler-Stone Wealth Management 0.03% of their portfolio Beachwood, OH 1,6641.7k $44.0k $44.0k 0.03% Added +16 +16
100 SALEM INVESTMENT COUNSELORS INC 0.00% of their portfolio WINSTON-SALEM, NC 1,4681.5k $39.0k $39.0k 0.00% Unchanged