Vault-13

TRI CONTL CORP TY

COM · Closed-End Fund · CUSIP 895436103

130 institutional holders +4 vs Q4 2023
7,720,9397.7m shares reported held*
$237.1mreported value*
14 new 32 added 40 reduced 9 sold out net bought ≈ $16.1m (+521.9k 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 ≈ $30.71. Options: 1 managers hold calls ($0 notional), 1 hold puts ($0).

Trends to Q1 2024

Institutional holders

Managers reporting a position, each quarter

050100150Q3 22: 115Q4 22: 125Q1 23: 117Q2 23: 123Q3 23: 121Q4 23: 126Q1 24: 130130Q3 22Q1 23Q3 23Q1 24
Numbers
QuarterHolders
Q3 2022115
Q4 2022125
Q1 2023117
Q2 2023123
Q3 2023121
Q4 2023126
Q1 2024130

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 23Q1 24: 46 bought or addedQ1 24: 49 cut or sold outQ1 24
Numbers
QuarterBought or addedCut or sold out
Q4 20225444
Q1 20234653
Q2 20235240
Q3 20234249
Q4 20235245
Q1 20244649

Biggest buyers

MORGAN STANLEY Added +426,240+426.2k
Cornerstone Advisors, LLC Added +55,141+55.1k
CIBC Private Wealth Group LLC New +53,470+53.5k
Shaker Financial Services, LLC Added +33,011+33.0k
WOLVERINE ASSET MANAGEMENT LLC New +28,706+28.7k
Cetera Investment Advisers New +20,655+20.7k
LANDSCAPE CAPITAL MANAGEMENT, L.L.C. Added +17,766+17.8k
NorthRock Partners, LLC New +13,982+14.0k
AQR Arbitrage LLC Added +12,977+13.0k
CITADEL ADVISORS LLC New +11,688+11.7k

Biggest sellers

Baltimore-Washington Financial Advisors, Inc. Sold out -57,192-57.2k
JPMORGAN CHASE & CO Reduced -20,522-20.5k
Bard Financial Services, Inc. Reduced -20,388-20.4k
Allspring Global Investments Holdings, LLC Reduced -18,544-18.5k
Raymond James Financial Services Advisors, Inc. Reduced -9,470-9.5k
DAYMARK WEALTH PARTNERS, LLC Sold out -8,609-8.6k
LPL Financial LLC Reduced -8,320-8.3k
Cetera Advisors LLC Sold out -8,215-8.2k
UBS Group AG Reduced -8,029-8.0k
AE Wealth Management LLC Sold out -7,385-7.4k

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 Q1 2024

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
101Q2 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 23Q4 23: 0 buyingQ4 23: 0 sellingQ1 24: 0 buyingQ1 24: 0 sellingQ1 24
Numbers
QuarterBuyingBoughtSellingSoldSold under a plan
Q2 20220—0——
Q3 20220—0——
Q4 20220—0——
Q1 20230—0——
Q2 20230—0——
Q3 20230—1$748—
Q4 20230—0——
Q1 20240—0——

None reported in Q1 2024.

Holders, Q1 2024

#ManagerLocationShares Value% of their portfolioChangeShares change
1 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 1,619,8561.6m $49.9m $49.9m 0.00% Added +426.2k +426,240
2 Allspring Global Investments Holdings, LLC 0.03% of their portfolio CHARLOTTE, NC 548,544548.5k $16.9m $16.9m 0.03% Reduced -18.5k -18,544
3 Bard Financial Services, Inc. 1.69% of their portfolio BRANFORD, CT 516,795516.8k $15.9m $15.9m 1.69% Reduced -20.4k -20,388
4 LAZARD ASSET MANAGEMENT LLC 0.02% of their portfolio NEW YORK, NY 449,805449.8k $13.9m $13.9m 0.02% Unchanged
5 BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC 2.73% of their portfolio BLUE BELL, PA 413,891413.9k $12.7m $12.7m 2.73% Reduced -2.0k -1,978
6 RAYMOND JAMES & ASSOCIATES 0.01% of their portfolio ST PETERSBURG, FL 298,712298.7k $9.2m $9.2m 0.01% Reduced -5.6k -5,604
7 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 265,035265.0k $8.2m $8.2m 0.00% Reduced -4.7k -4,713
8 UBS Group AG 0.00% of their portfolio ZURICH, V8 243,348243.3k $7.5m $7.5m 0.00% Reduced -8.0k -8,029
9 Relative Value Partners Group, LLC 0.42% of their portfolio NORTHBROOK, IL 236,144236.1k $6.8m $6.8m 0.42% Reduced -5.3k -5,295
10 HTLF Bank 0.83% of their portfolio Denver, CO 234,037234.0k $7.2m $7.2m 0.83% Reduced -5.0k -5,011
11 Raymond James Financial Services Advisors, Inc. 0.01% of their portfolio ST. PETERSBURG, FL 213,487213.5k $6.6m $6.6m 0.01% Reduced -9.5k -9,470
12 Uncommon Cents Investing LLC 1.58% of their portfolio JANESVILLE, WI 167,959168.0k $5.2m $5.2m 1.58% Reduced -754 -754
13 Cornerstone Advisors, LLC 0.18% of their portfolio ASHEVILLE, NC 141,736141.7k $4.4m $4.4m 0.18% Added +55.1k +55,141
14 Hennion & Walsh Asset Management, Inc. 0.21% of their portfolio Parsippany, NJ 130,014130.0k $4.0m $4.0m 0.21% Reduced -2.6k -2,641
15 WEALTH ENHANCEMENT ADVISORY SERVICES, LLC 0.01% of their portfolio PLYMOUTH, MN 114,038114.0k $3.5m $3.5m 0.01% Reduced -5.0k -4,964
16 STIFEL FINANCIAL CORP 0.00% of their portfolio ST. LOUIS, MO 101,858101.9k $3.1m $3.1m 0.00% Reduced -2.3k -2,277
17 1620 INVESTMENT ADVISORS, INC. 2.75% of their portfolio PLYMOUTH, MA 88,69288.7k $2.7m $2.7m 2.75% Added +1.5k +1,464
18 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 86,81086.8k $2.7m $2.7m 0.00% Reduced -2.9k -2,862
19 D.A. DAVIDSON & CO. 0.02% of their portfolio GREAT FALLS, MT 80,72280.7k $2.5m $2.5m 0.02% Reduced -705 -705
20 Capstone Financial Advisors, Inc. 0.16% of their portfolio DOWNERS GROVE, IL 75,51375.5k $2.3m $2.3m 0.16% Unchanged
21 Mariner, LLC 0.00% of their portfolio Overland Park, KS 74,11674.1k $2.3m $2.3m 0.00% Added +594 +594
22 OSAIC HOLDINGS, INC. 0.00% of their portfolio SCOTTSDALE, AZ 71,70171.7k $2.0m $2.0m 0.00% Reduced -900 -900
23 Shaker Financial Services, LLC 0.83% of their portfolio Arlington, VA 69,47569.5k $2.1m $2.1m 0.83% Added +33.0k +33,011
24 Integrated Wealth Concepts LLC 0.03% of their portfolio WALTHAM, MA 68,49468.5k $2.1m $2.1m 0.03% Reduced -3.0k -2,951
25 RB Capital Management, LLC 0.48% of their portfolio RENO, NV 57,68157.7k $1.8m $1.8m 0.48% Reduced -2.8k -2,813
26 Cambridge Investment Research Advisors, Inc. 0.01% of their portfolio FAIRFIELD, IA 56,68756.7k $1.7m $1.7m 0.01% Added +3.4k +3,430
27 CIBC Private Wealth Group LLC 0.00% of their portfolio ATLANTA, GA 53,47053.5k $1.6m $1.6m 0.00% New
28 Stolper Co 0.59% of their portfolio TULSA, OK 53,15253.2k $1.6m $1.6m 0.59% Added +380 +380
29 FIRST TRUST ADVISORS LP 0.00% of their portfolio Wheaton, IL 52,79352.8k $1.6m $1.6m 0.00% Added +3.2k +3,229
30 Thrivent Financial for Lutherans 0.00% of their portfolio Minneapolis, MN 52,56452.6k $1.6m $1.6m 0.00% Reduced -1.3k -1,292
31 LANDSCAPE CAPITAL MANAGEMENT, L.L.C. 0.14% of their portfolio Englewood, NJ 51,41151.4k $1.6m $1.6m 0.14% Added +17.8k +17,766
32 AQR Arbitrage LLC 0.05% of their portfolio Greenwich, CT 50,07050.1k $1.5m $1.5m 0.05% Added +13.0k +12,977
33 COMMONWEALTH EQUITY SERVICES, LLC 0.00% of their portfolio WALTHAM, MA 45,78445.8k $1.4m $1.4m 0.00% Reduced -2.7k -2,728
34 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 44,91644.9k $1.4m $1.4m 0.00% Reduced -892 -892
35 ALBION FINANCIAL GROUP /UT 0.09% of their portfolio SALT LAKE CITY, UT 36,59536.6k $1.1m $1.1m 0.09% Unchanged
36 Whitener Capital Management, Inc. 0.36% of their portfolio Rocky Mount, NC 35,59035.6k $1.1m $1.1m 0.36% Added +135 +135
37 Altus Wealth Group LLC 0.51% of their portfolio COLORADO SPRINGS, CO 33,19933.2k $1.0m $1.0m 0.51% Added +7.0k +7,025
38 LPL Financial LLC 0.00% of their portfolio FORT MILL, SC 32,20332.2k $991.8k $991.8k 0.00% Reduced -8.3k -8,320
39 WOLVERINE ASSET MANAGEMENT LLC 0.02% of their portfolio CHICAGO, IL 28,70628.7k $884.1k $884.1k 0.02% New
40 HighTower Advisors, LLC 0.00% of their portfolio CHICAGO, IL 27,03927.0k $833.0k $833.0k 0.00% Added +1.9k +1,943
41 Concurrent Investment Advisors, LLC 0.03% of their portfolio Tampa, FL 24,46924.5k $753.6k $753.6k 0.03% Added +620 +620
42 MGO ONE SEVEN LLC 0.04% of their portfolio Beachwood, OH 23,60823.6k $727.1k $727.1k 0.04% Added +235 +235
43 TIAA TRUST, NATIONAL ASSOCIATION 0.00% of their portfolio CHARLOTTE, NC 22,76722.8k $701.2k $701.2k 0.00% Unchanged
44 Cetera Investment Advisers 0.00% of their portfolio SCHAUMBURG, IL 20,65520.7k $636.2k $636.2k 0.00% New
45 Heritage Wealth Advisors 0.03% of their portfolio RICHMOND, VA 20,18320.2k $621.6k $621.6k 0.03% Reduced -1.0k -1,000
46 Kestra Advisory Services, LLC 0.00% of their portfolio AUSTIN, TX 18,54318.5k $571.1k $571.1k 0.00% Added +1.6k +1,650
47 Transform Wealth, LLC 0.05% of their portfolio GREENWOOD VILLAGE, CO 18,26418.3k $562.5k $562.5k 0.05% Added +154 +154
48 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 17,50417.5k $539.1k $539.1k 0.00% Reduced -20.5k -20,522
49 Savant Capital, LLC 0.01% of their portfolio ROCKFORD, IL 16,92016.9k $521.1k $521.1k 0.01% Reduced -4.5k -4,458
50 First PREMIER Bank 0.13% of their portfolio SIOUX FALLS, SD 16,57416.6k $510.0k $510.0k 0.13% Unchanged
51 GUGGENHEIM CAPITAL LLC 0.00% of their portfolio CHICAGO, IL 16,38816.4k $504.8k $504.8k 0.00% Added +1.3k +1,317
52 JOHNSON INVESTMENT COUNSEL INC 0.01% of their portfolio Cincinnati, OH 16,22916.2k $499.9k $499.9k 0.01% Added +4 +4
53 Successful Portfolios LLC 0.32% of their portfolio CLEARWATER, FL 15,26815.3k $470.2k $470.2k 0.32% Reduced -364 -364
54 KIRR MARBACH & CO LLC /IN/ 0.11% of their portfolio COLUMBUS, IN 14,88214.9k $458.4k $458.4k 0.11% Unchanged
55 Allworth Financial LP 0.00% of their portfolio FOLSOM, CA 14,81514.8k $456.3k $456.3k 0.00% Added +8.1k +8,084
56 Creative Planning 0.00% of their portfolio OVERLAND PARK, KS 14,81214.8k $456.2k $456.2k 0.00% Added +1.9k +1,897
57 NorthRock Partners, LLC 0.02% of their portfolio MINNEAPOLIS, MN 13,98214.0k $430.6k $430.6k 0.02% New
58 Koshinski Asset Management, Inc. 0.04% of their portfolio DECATUR, IL 13,14713.1k $404.9k $404.9k 0.04% Reduced -6.0k -6,030
59 First Financial Bankshares Inc 0.01% of their portfolio Abilene, TX 12,72012.7k $391.8k $391.8k 0.01% Reduced -1.0k -1,006
60 Tower Wealth Partners, Inc. 0.25% of their portfolio LEWISBURG, PA 12,48212.5k $384.5k $384.5k 0.25% Added +225 +225
61 CITADEL ADVISORS LLC 0.00% of their portfolio MIAMI, FL 11,68811.7k $360.0k $360.0k 0.00% New
62 MSH Capital Advisors LLC 0.12% of their portfolio SCOTTSDALE, AZ 11,47011.5k $353.3k $353.3k 0.12% Unchanged
63 NATIONS FINANCIAL GROUP INC, /IA/ /ADV 0.03% of their portfolio CEDAR RAPIDS, IA 11,30911.3k $348.3k $348.3k 0.03% Added +67 +67
64 Pathstone Holdings, LLC 0.00% of their portfolio ENGLEWOOD, NJ 11,29111.3k $347.8k $347.8k 0.00% Unchanged
65 Sheaff Brock Investment Advisors, LLC 0.03% of their portfolio INDIANAPOLIS, IN 11,23911.2k $346.2k $346.2k 0.03% Reduced -4 -4
66 Priebe Wealth Holdings LLC 0.26% of their portfolio MAPLE GROVE, MN 11,01611.0k $339.3k $339.3k 0.26% Reduced -592 -592
67 Stonebrook Private Inc. 0.10% of their portfolio NORTHVILLE, MI 10,86110.9k $334.5k $334.5k 0.10% Reduced -721 -721
68 American Institute for Advanced Investment Management, LLP 0.26% of their portfolio Scottsdale, AZ 10,68210.7k $329.0k $329.0k 0.26% Unchanged
69 OPPENHEIMER & CO INC 0.01% of their portfolio NEW YORK, NY 10,51910.5k $324.0k $324.0k 0.01% New
70 CORA CAPITAL ADVISORS LLC 0.17% of their portfolio MARLTON, NJ 10,38810.4k $319.9k $319.9k 0.17% Unchanged
71 NORTHERN TRUST CORP 0.00% of their portfolio CHICAGO, IL 10,38610.4k $319.9k $319.9k 0.00% Reduced -1.4k -1,373
72 Janney Montgomery Scott LLC 0.00% of their portfolio PHILADELPHIA, PA 10,29210.3k $317.0k $317.0k 0.00% Reduced -1.0k -1,046
73 Foundations Investment Advisors, LLC 0.01% of their portfolio PHOENIX, AZ 10,18410.2k $313.7k $313.7k 0.01% Added +86 +86
74 RAYMOND JAMES TRUST N.A. 0.01% of their portfolio ST. PETERSBURG, FL 10,16910.2k $313.2k $313.2k 0.01% Added +1.6k +1,633
75 Private Advisor Group, LLC 0.00% of their portfolio MORRISTOWN, NJ 10,04110.0k $309.2k $309.2k 0.00% Reduced -266 -266
76 Walleye Capital LLC 0.00% of their portfolio NEW YORK, NY 9,5879.6k $295.3k $295.3k 0.00% New
77 Logan Stone Capital, LLC 0.06% of their portfolio CHICAGO, IL 9,4549.5k $291.2k $291.2k 0.06% New
78 FERGUSON WELLMAN CAPITAL MANAGEMENT, INC 0.01% of their portfolio PORTLAND, OR 9,2669.3k $285.4k $285.4k 0.01% Unchanged
79 PNC Financial Services Group, Inc. 0.00% of their portfolio Pittsburgh, PA 9,0819.1k $279.7k $279.7k 0.00% Added +1.5k +1,463
80 TWIN FOCUS CAPITAL PARTNERS, LLC 0.05% of their portfolio Boston, MA 9,0009.0k $277.2k $277.2k 0.05% Unchanged
81 ZWJ INVESTMENT COUNSEL INC 0.01% of their portfolio Atlanta, GA 8,8118.8k $271.4k $271.4k 0.01% Unchanged
82 Apollon Wealth Management, LLC 0.01% of their portfolio MOUNT PLEASANT, SC 8,7508.8k $269.5k $269.5k 0.01% Added +74 +74
83 Quantedge Capital Pte Ltd 0.11% of their portfolio Singapore, U0 8,3518.4k $257.2k $257.2k 0.11% New
84 TANDEM CAPITAL MANAGEMENT CORP /ADV 0.14% of their portfolio WOODCLIFF LAKE, NJ 8,1008.1k $249.5k $249.5k 0.14% Unchanged
85 PRENTISS SMITH & CO INC 0.17% of their portfolio BRATTLEBORO, VT 7,6897.7k $236.8k $236.8k 0.17% Reduced -284 -284
86 Independent Family Office, LLC 0.12% of their portfolio ALBANY, NY 6,9877.0k $215.2k $215.2k 0.12% Unchanged
87 INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC 0.02% of their portfolio ORLANDO, FL 6,9657.0k $213.2k $213.2k 0.02% Unchanged
88 Snowden Capital Advisors LLC 0.01% of their portfolio New York, NY 6,9366.9k $213.6k $213.6k 0.01% Reduced -90 -90
89 Choate Investment Advisors 0.01% of their portfolio BOSTON, MA 6,9286.9k $213.4k $213.4k 0.01% New
90 9258 Wealth Management, LLC 0.03% of their portfolio BLUE ASH, OH 6,9286.9k $213.4k $213.4k 0.03% New
91 BROWN, LISLE/CUMMINGS, INC. 0.07% of their portfolio PROVIDENCE, RI 6,8006.8k $209.4k $209.4k 0.07% Unchanged
92 Ancora Advisors LLC 0.00% of their portfolio Cleveland, OH 5,9005.9k $181.7k $181.7k 0.00% Unchanged
93 Carmichael Hill & Associates, Inc. 0.06% of their portfolio GAITHERSBURG, MD 4,9605.0k $152.8k $152.8k 0.06% Unchanged
94 US BANCORP \DE\ 0.00% of their portfolio MINNEAPOLIS, MN 4,8524.9k $149.4k $149.4k 0.00% Unchanged
95 Steward Partners Investment Advisory, LLC 0.00% of their portfolio STAMFORD, CT 4,4494.4k $137.0k $137.0k 0.00% Reduced -1.4k -1,377
96 BESSEMER GROUP INC 0.00% of their portfolio WOODBRIDGE, NJ 3,7443.7k $115.0k $115.0k 0.00% Unchanged
97 MOTCO 0.01% of their portfolio SAN ANTONIO, TX 3,5113.5k $108.1k $108.1k 0.01% New
98 Parallel Advisors, LLC 0.00% of their portfolio SAN FRANCISCO, CA 3,2403.2k $99.8k $99.8k 0.00% Unchanged
99 BROWN BROTHERS HARRIMAN & CO 0.00% of their portfolio NEW YORK, NY 3,0573.1k $94.2k $94.2k 0.00% Unchanged
100 FIRST COMMUNITY TRUST NA 0.09% of their portfolio DUBUQUE, IA 3,0003.0k $92.4k $92.4k 0.09% Unchanged