UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K
CURRENT REPORT
Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934
Date of Report (Date of earliest event reported): April 5, 2007
TRI-CONTINENTAL CORPORATION
(Exact name of Registrant as specified in its charter)
| Maryland | 811-266 | 13-5441850 | ||
| (State or other jurisdiction of incorporation) |
(Commission File Number) | (I.R.S. Employer Identification No.) |
100 Park Avenue,
New York, New York 10017
(Address of principal executive offices, zip code)
Registrant’s telephone number, including area code (212) 850-1864
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):
| ¨ | Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
| ¨ | Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
| ¨ | Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
| ¨ | Pre-commencement communications pursuant to Rule13e-4(c) under the Exchange Act (17CFR 240.13e-4(c)) |
SECTION 7 - REGULATION FD DISCLOSURE
| Item 7.01 | Regulation FD Disclosure. |
Registrant is furnishing as Exhibit 99.1 the attached Press Release issued April 6, 2007, announcing the entry into a settlement agreement among Tri-Continental Corporation and the members of a stockholder group that includes Western Investment LLC.
SECTION 9 - FINANCIAL STATEMENTS AND EXHIBITS
| Item 9.01 | Financial Statements and Exhibits. |
Exhibit 99.1 - Press Release dated April 6, 2007.
Exhibit 99.2 - Settlement Agreement, dated April 5, 2007 among Tri-Continental and the members of a stockholder group, including Western Investment LLC.
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.
TRI-CONTINENTAL CORPORATION
| Date: April 6, 2007 | ||||
| By: | /s/ Frank J. Nasta | |||
| Frank J. Nasta | ||||
| Secretary |