Vault-13

TRI CONTL CORP TY

COM · Closed-End Fund · CUSIP 895436103

126 institutional holders +5 vs Q3 2023
7,207,3087.2m shares reported held*
$207.8mreported value*
12 new 40 added 35 reduced 10 sold out net bought ≈ $17.0m (+589.1k 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 ≈ $28.83. Options: 1 managers hold calls ($0 notional), 1 hold puts ($0).

Trends to Q4 2023

Institutional holders

Managers reporting a position, each quarter

050100150Q3 22: 115Q4 22: 125Q1 23: 117Q2 23: 123Q3 23: 121Q4 23: 126126Q3 22Q4 22Q1 23Q2 23Q3 23Q4 23
Numbers
QuarterHolders
Q3 2022115
Q4 2022125
Q1 2023117
Q2 2023123
Q3 2023121
Q4 2023126

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 23Q4 23: 52 bought or addedQ4 23: 45 cut or sold outQ4 23
Numbers
QuarterBought or addedCut or sold out
Q4 20225444
Q1 20234653
Q2 20235240
Q3 20234249
Q4 20235245

Biggest buyers

MORGAN STANLEY Added +602,408+602.4k
Allspring Global Investments Holdings, LLC Added +121,196+121.2k
JPMORGAN CHASE & CO Added +36,238+36.2k
Thrivent Financial for Lutherans Added +25,260+25.3k
MGO ONE SEVEN LLC New +23,373+23.4k
LANDSCAPE CAPITAL MANAGEMENT, L.L.C. Added +20,955+21.0k
WELLS FARGO & COMPANY/MN Added +15,351+15.4k
Apollon Wealth Management, LLC New +8,676+8.7k
PRENTISS SMITH & CO INC New +7,973+8.0k
AE Wealth Management LLC New +7,385+7.4k

Biggest sellers

COMMONWEALTH EQUITY SERVICES, LLC Reduced -61,095-61.1k
Shaker Financial Services, LLC Reduced -51,467-51.5k
Bard Financial Services, Inc. Reduced -30,470-30.5k
Atlas Wealth LLC Sold out -27,018-27.0k
AQR Arbitrage LLC Reduced -17,465-17.5k
Walleye Capital LLC Sold out -15,171-15.2k
WOLVERINE ASSET MANAGEMENT LLC Sold out -11,969-12.0k
OPPENHEIMER & CO INC Sold out -10,484-10.5k
Elequin Capital, LP Sold out -9,790-9.8k
Strategic Investment Solutions, Inc. /IL Reduced -8,308-8.3k

Biggest calls

CONCOURSE FINANCIAL GROUP SECURITIES, INC. Unchanged $00 shares

Biggest puts

CONCOURSE FINANCIAL GROUP SECURITIES, INC. Unchanged $00 shares

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 Q4 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
101Q1 22: 0 buyingQ1 22: 0 sellingQ2 22: 0 buyingQ2 22: 0 sellingQ2 22Q3 22: 0 buyingQ3 22: 0 sellingQ4 22: 0 buyingQ4 22: 0 sellingQ4 22Q1 23: 0 buyingQ1 23: 0 sellingQ2 23: 0 buyingQ2 23: 0 sellingQ2 23Q3 23: 0 buyingQ3 23: 1 sellingQ4 23: 0 buyingQ4 23: 0 sellingQ4 23
Numbers
QuarterBuyingBoughtSellingSoldSold under a plan
Q1 20220—0——
Q2 20220—0——
Q3 20220—0——
Q4 20220—0——
Q1 20230—0——
Q2 20230—0——
Q3 20230—1$748—
Q4 20230—0——

None reported in Q4 2023.

Holders, Q4 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 1,193,6161.2m $34.4m $34.4m 0.00% Added +602.4k +602,408
2 Allspring Global Investments Holdings, LLC 0.03% of their portfolio CHARLOTTE, NC 567,088567.1k $16.3m $16.3m 0.03% Added +121.2k +121,196
3 Bard Financial Services, Inc. 1.74% of their portfolio BRANFORD, CT 537,183537.2k $15.5m $15.5m 1.74% Reduced -30.5k -30,470
4 LAZARD ASSET MANAGEMENT LLC 0.02% of their portfolio NEW YORK, NY 449,805449.8k $13.0m $13.0m 0.02% Unchanged
5 BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC 2.87% of their portfolio BLUE BELL, PA 415,869415.9k $12.0m $12.0m 2.87% Reduced -4.1k -4,112
6 RAYMOND JAMES & ASSOCIATES 0.01% of their portfolio ST PETERSBURG, FL 304,316304.3k $8.8m $8.8m 0.01% Reduced -1.3k -1,252
7 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 269,748269.7k $7.8m $7.8m 0.00% Added +15.4k +15,351
8 UBS Group AG 0.00% of their portfolio ZURICH, V8 251,377251.4k $7.2m $7.2m 0.00% Reduced -148 -148
9 Relative Value Partners Group, LLC 0.43% of their portfolio NORTHBROOK, IL 241,439241.4k $7.0m $7.0m 0.43% Reduced -4.2k -4,229
10 HTLF Bank 0.81% of their portfolio Denver, CO 239,048239.0k $6.9m $6.9m 0.81% First filing
11 Raymond James Financial Services Advisors, Inc. 0.01% of their portfolio ST. PETERSBURG, FL 222,957223.0k $6.4m $6.4m 0.01% Reduced -8.1k -8,070
12 Uncommon Cents Investing LLC 1.61% of their portfolio JANESVILLE, WI 168,713168.7k $4.9m $4.9m 1.61% Reduced -3.8k -3,750
13 Hennion & Walsh Asset Management, Inc. 0.22% of their portfolio Parsippany, NJ 132,655132.7k $3.8m $3.8m 0.22% Added +4.6k +4,631
14 WEALTH ENHANCEMENT ADVISORY SERVICES, LLC 0.01% of their portfolio PLYMOUTH, MN 119,002119.0k $3.4m $3.4m 0.01% Added +3.0k +3,031
15 STIFEL FINANCIAL CORP 0.00% of their portfolio ST. LOUIS, MO 104,135104.1k $3.0m $3.0m 0.00% Added +426 +426
16 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 89,67289.7k $2.6m $2.6m 0.00% Reduced -2.1k -2,051
17 1620 INVESTMENT ADVISORS, INC. 2.75% of their portfolio PLYMOUTH, MA 87,22887.2k $2.5m $2.5m 2.75% Added +1.3k +1,302
18 Cornerstone Advisors, LLC 0.11% of their portfolio ASHEVILLE, NC 86,59586.6k $2.5m $2.5m 0.11% Reduced -8.1k -8,098
19 D.A. DAVIDSON & CO. 0.02% of their portfolio GREAT FALLS, MT 81,42781.4k $2.3m $2.3m 0.02% Reduced -4.1k -4,144
20 Capstone Financial Advisors, Inc. 0.16% of their portfolio DOWNERS GROVE, IL 75,51375.5k $2.2m $2.2m 0.16% Unchanged
21 Mariner, LLC 0.01% of their portfolio Overland Park, KS 73,52273.5k $2.1m $2.1m 0.01% Added +653 +653
22 OSAIC HOLDINGS, INC. 0.00% of their portfolio SCOTTSDALE, AZ 72,60172.6k $2.1m $2.1m 0.00% Reduced -5.8k -5,796
23 Integrated Wealth Concepts LLC 0.03% of their portfolio WALTHAM, MA 71,44571.4k $2.1m $2.1m 0.03% Reduced -5.5k -5,550
24 RB Capital Management, LLC 0.50% of their portfolio RENO, NV 60,49460.5k $1.7m $1.7m 0.50% Reduced -29 -29
25 Baltimore-Washington Financial Advisors, Inc. 0.11% of their portfolio Columbia, MD 57,19257.2k $1.6m $1.6m 0.11% Unchanged
26 Thrivent Financial for Lutherans 0.00% of their portfolio Minneapolis, MN 53,85653.9k $1.6m $1.6m 0.00% Added +25.3k +25,260
27 Cambridge Investment Research Advisors, Inc. 0.01% of their portfolio FAIRFIELD, IA 53,25753.3k $1.5m $1.5m 0.01% Reduced -148 -148
28 Stolper Co 0.61% of their portfolio TULSA, OK 52,77252.8k $1.5m $1.5m 0.61% Added +971 +971
29 FIRST TRUST ADVISORS LP 0.00% of their portfolio Wheaton, IL 49,56449.6k $1.4m $1.4m 0.00% Reduced -5.3k -5,327
30 COMMONWEALTH EQUITY SERVICES, LLC 0.00% of their portfolio WALTHAM, MA 48,51248.5k $1.4m $1.4m 0.00% Reduced -61.1k -61,095
31 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 45,80845.8k $1.3m $1.3m 0.00% Reduced -2.1k -2,142
32 LPL Financial LLC 0.00% of their portfolio FORT MILL, SC 40,52340.5k $1.2m $1.2m 0.00% Added +3.7k +3,703
33 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 38,02638.0k $1.1m $1.1m 0.00% Added +36.2k +36,238
34 AQR Arbitrage LLC 0.04% of their portfolio Greenwich, CT 37,09337.1k $1.1m $1.1m 0.04% Reduced -17.5k -17,465
35 ALBION FINANCIAL GROUP /UT 0.09% of their portfolio SALT LAKE CITY, UT 36,59536.6k $1.1m $1.1m 0.09% Reduced -5.2k -5,202
36 Shaker Financial Services, LLC 0.43% of their portfolio Arlington, VA 36,46436.5k $1.1m $1.1m 0.43% Reduced -51.5k -51,467
37 Whitener Capital Management, Inc. 0.37% of their portfolio Rocky Mount, NC 35,45535.5k $1.0m $1.0m 0.37% Reduced -834 -834
38 LANDSCAPE CAPITAL MANAGEMENT, L.L.C. 0.09% of their portfolio Englewood, NJ 33,64533.6k $970.0k $970.0k 0.09% Added +21.0k +20,955
39 Altus Wealth Group LLC 0.42% of their portfolio COLORADO SPRINGS, CO 26,17426.2k $754.6k $754.6k 0.42% Added +16 +16
40 HighTower Advisors, LLC 0.00% of their portfolio CHICAGO, IL 25,09625.1k $725.0k $725.0k 0.00% Added +184 +184
41 Concurrent Investment Advisors, LLC 0.03% of their portfolio Tampa, FL 23,84923.8k $687.6k $687.6k 0.03% First filing
42 MGO ONE SEVEN LLC 0.04% of their portfolio Beachwood, OH 23,37323.4k $673.8k $673.8k 0.04% New
43 TIAA TRUST, NATIONAL ASSOCIATION 0.00% of their portfolio CHARLOTTE, NC 22,76722.8k $656.4k $656.4k 0.00% Reduced -3.8k -3,832
44 Savant Capital, LLC 0.01% of their portfolio ROCKFORD, IL 21,37821.4k $616.3k $616.3k 0.01% Added +4.5k +4,458
45 Heritage Wealth Advisors 0.03% of their portfolio RICHMOND, VA 21,18321.2k $610.7k $610.7k 0.03% Unchanged
46 Koshinski Asset Management, Inc. 0.08% of their portfolio DECATUR, IL 19,17719.2k $552.9k $552.9k 0.08% Added +5.3k +5,337
47 Transform Wealth, LLC 0.05% of their portfolio GREENWOOD VILLAGE, CO 18,11018.1k $522.1k $522.1k 0.05% Reduced -5.3k -5,330
48 Kestra Advisory Services, LLC 0.00% of their portfolio AUSTIN, TX 16,89316.9k $487.0k $487.0k 0.00% Reduced -6.6k -6,577
49 First PREMIER Bank 0.13% of their portfolio SIOUX FALLS, SD 16,57416.6k $478.0k $478.0k 0.13% Unchanged
50 JOHNSON INVESTMENT COUNSEL INC 0.01% of their portfolio Cincinnati, OH 16,22516.2k $467.8k $467.8k 0.01% Added +6 +6
51 Successful Portfolios LLC 0.34% of their portfolio CLEARWATER, FL 15,63215.6k $450.7k $450.7k 0.34% Reduced -123 -123
52 GUGGENHEIM CAPITAL LLC 0.00% of their portfolio CHICAGO, IL 15,07115.1k $434.5k $434.5k 0.00% Added +6.8k +6,836
53 KIRR MARBACH & CO LLC /IN/ 0.11% of their portfolio COLUMBUS, IN 14,88214.9k $429.0k $429.0k 0.11% Unchanged
54 First Financial Bankshares Inc 0.01% of their portfolio Abilene, TX 13,72613.7k $395.7k $395.7k 0.01% First filing
55 Creative Planning 0.00% of their portfolio OVERLAND PARK, KS 12,91512.9k $372.3k $372.3k 0.00% Unchanged
56 Tower Wealth Partners, Inc. 0.25% of their portfolio LEWISBURG, PA 12,25712.3k $353.4k $353.4k 0.25% Added +45 +45
57 NORTHERN TRUST CORP 0.00% of their portfolio CHICAGO, IL 11,75911.8k $339.0k $339.0k 0.00% Added +35 +35
58 Priebe Wealth Holdings LLC 0.27% of their portfolio MAPLE GROVE, MN 11,60811.6k $334.7k $334.7k 0.27% First filing
59 Stonebrook Private Inc. 0.11% of their portfolio NORTHVILLE, MI 11,58211.6k $333.9k $333.9k 0.11% First filing
60 MSH Capital Advisors LLC 0.12% of their portfolio SCOTTSDALE, AZ 11,47011.5k $330.7k $330.7k 0.12% Unchanged
61 Janney Montgomery Scott LLC 0.00% of their portfolio PHILADELPHIA, PA 11,33811.3k $327.0k $327.0k 0.00% Reduced -7.0k -6,960
62 Pathstone Holdings, LLC 0.00% of their portfolio ENGLEWOOD, NJ 11,29111.3k $325.5k $325.5k 0.00% First filing
63 Sheaff Brock Investment Advisors, LLC 0.03% of their portfolio INDIANAPOLIS, IN 11,24311.2k $324.1k $324.1k 0.03% Reduced -4 -4
64 NATIONS FINANCIAL GROUP INC, /IA/ /ADV 0.03% of their portfolio CEDAR RAPIDS, IA 11,24211.2k $324.1k $324.1k 0.03% Added +102 +102
65 American Institute for Advanced Investment Management, LLP 0.27% of their portfolio Scottsdale, AZ 10,68210.7k $308.0k $308.0k 0.27% Added +39 +39
66 CORA CAPITAL ADVISORS LLC 0.18% of their portfolio MARLTON, NJ 10,38810.4k $299.5k $299.5k 0.18% Added +36 +36
67 Private Advisor Group, LLC 0.00% of their portfolio MORRISTOWN, NJ 10,30710.3k $297.1k $297.1k 0.00% Added +1.3k +1,275
68 Foundations Investment Advisors, LLC 0.01% of their portfolio PHOENIX, AZ 10,09810.1k $294.7k $294.7k 0.01% Added +133 +133
69 FERGUSON WELLMAN CAPITAL MANAGEMENT, INC 0.01% of their portfolio PORTLAND, OR 9,2669.3k $267.1k $267.1k 0.01% Unchanged
70 TWIN FOCUS CAPITAL PARTNERS, LLC 0.05% of their portfolio Boston, MA 9,0009.0k $259.5k $259.5k 0.05% Reduced -500 -500
71 ZWJ INVESTMENT COUNSEL INC 0.01% of their portfolio Atlanta, GA 8,8118.8k $254.0k $254.0k 0.01% Unchanged
72 Apollon Wealth Management, LLC 0.01% of their portfolio MOUNT PLEASANT, SC 8,6768.7k $250.1k $250.1k 0.01% New
73 DAYMARK WEALTH PARTNERS, LLC 0.02% of their portfolio CINCINNATI, OH 8,6098.6k $248.2k $248.2k 0.02% Unchanged
74 RAYMOND JAMES TRUST N.A. 0.01% of their portfolio ST. PETERSBURG, FL 8,5368.5k $246.1k $246.1k 0.01% Unchanged
75 WESBANCO BANK INC 0.01% of their portfolio WHEELING, WV 8,4738.5k $244.3k $244.3k 0.01% Unchanged
76 Cetera Advisors LLC 0.00% of their portfolio DENVER, CO 8,2158.2k $236.8k $236.8k 0.00% Reduced -568 -568
77 TANDEM CAPITAL MANAGEMENT CORP /ADV 0.14% of their portfolio WOODCLIFF LAKE, NJ 8,1008.1k $233.5k $233.5k 0.14% Unchanged
78 PRENTISS SMITH & CO INC 0.17% of their portfolio BRATTLEBORO, VT 7,9738.0k $229.9k $229.9k 0.17% New
79 PNC Financial Services Group, Inc. 0.00% of their portfolio Pittsburgh, PA 7,6187.6k $219.6k $219.6k 0.00% Added +8 +8
80 AE Wealth Management LLC 0.00% of their portfolio TOPEKA, KS 7,3857.4k $214.7k $214.7k 0.00% New
81 EP Wealth Advisors, LLC 0.00% of their portfolio TORRANCE, CA 7,3457.3k $211.8k $211.8k 0.00% New
82 Snowden Capital Advisors LLC 0.01% of their portfolio New York, NY 7,0267.0k $202.6k $202.6k 0.01% New
83 Independent Family Office, LLC 0.11% of their portfolio ALBANY, NY 6,9877.0k $201.4k $201.4k 0.11% New
84 INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC 0.03% of their portfolio ORLANDO, FL 6,9657.0k $200.8k $200.8k 0.03% New
85 BROWN, LISLE/CUMMINGS, INC. 0.07% of their portfolio PROVIDENCE, RI 6,8006.8k $196.0k $196.0k 0.07% Added +1.0k +1,000
86 Allworth Financial LP 0.00% of their portfolio FOLSOM, CA 6,7316.7k $194.1k $194.1k 0.00% Added +84 +84
87 Ancora Advisors LLC 0.00% of their portfolio Cleveland, OH 5,9005.9k $170.1k $170.1k 0.00% Unchanged
88 Steward Partners Investment Advisory, LLC 0.00% of their portfolio STAMFORD, CT 5,8265.8k $168.0k $168.0k 0.00% Reduced -58 -58
89 Carmichael Hill & Associates, Inc. 0.06% of their portfolio GAITHERSBURG, MD 4,9605.0k $143.0k $143.0k 0.06% Unchanged
90 US BANCORP \DE\ 0.00% of their portfolio MINNEAPOLIS, MN 4,8524.9k $139.9k $139.9k 0.00% Added +10 +10
91 BESSEMER GROUP INC 0.00% of their portfolio WOODBRIDGE, NJ 3,7443.7k $108.0k $108.0k 0.00% Added +13 +13
92 Parallel Advisors, LLC 0.00% of their portfolio SAN FRANCISCO, CA 3,2403.2k $93.4k $93.4k 0.00% Unchanged
93 BROWN BROTHERS HARRIMAN & CO 0.00% of their portfolio NEW YORK, NY 3,0573.1k $88.1k $88.1k 0.00% Unchanged
94 FIRST COMMUNITY TRUST NA 0.09% of their portfolio DUBUQUE, IA 3,0003.0k $86.5k $86.5k 0.09% Unchanged
95 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.00% of their portfolio MILWAUKEE, WI 2,9983.0k $86.4k $86.4k 0.00% Added +9 +9
96 Lowe Wealth Advisors, LLC 0.04% of their portfolio COLUMBIA, MD 2,6152.6k $75.4k $75.4k 0.04% Unchanged
97 Clearstead Advisors, LLC 0.00% of their portfolio CLEVELAND, OH 2,5002.5k $72.1k $72.1k 0.00% Reduced -2.5k -2,500
98 Global Retirement Partners, LLC 0.00% of their portfolio San Rafael, CA 2,0862.1k $59.6k $59.6k 0.00% Unchanged
99 NewEdge Advisors, LLC 0.00% of their portfolio NEW ORLEANS, LA 2,0712.1k $59.7k $59.7k 0.00% Added +7 +7
100 McIlrath & Eck, LLC 0.01% of their portfolio ARLINGTON, WA 1,9682.0k $56.7k $56.7k 0.01% Added +7 +7