-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, WLJA3IvO75qqqc+H6VkqEGkf4jOUXpUebskavKEzw2YypyO0i+szm+EfsjVrobf2 0zwDiOMJMck6mKzVrybiUA== 0000831001-04-000191.txt : 20040326 0000831001-04-000191.hdr.sgml : 20040326 20040326170122 ACCESSION NUMBER: 0000831001-04-000191 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20011231 FILED AS OF DATE: 20040326 EFFECTIVENESS DATE: 20040326 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CITIGROUP INC CENTRAL INDEX KEY: 0000831001 STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021] IRS NUMBER: 521568099 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-02427 FILM NUMBER: 04693593 BUSINESS ADDRESS: STREET 1: 399 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10043 BUSINESS PHONE: 2125591000 MAIL ADDRESS: STREET 1: 399 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10043 FORMER COMPANY: FORMER CONFORMED NAME: TRAVELERS GROUP INC DATE OF NAME CHANGE: 19950519 FORMER COMPANY: FORMER CONFORMED NAME: TRAVELERS INC DATE OF NAME CHANGE: 19940103 FORMER COMPANY: FORMER CONFORMED NAME: PRIMERICA CORP /NEW/ DATE OF NAME CHANGE: 19920703 13F-HR/A 1 hr_citigroup123101.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE THIS FILING LISTS SECURITIES HOLDINGS REPORTED IN THE FORM 13F FILED ON FEBRUARY 14, 2002 PURSUANT TO A REQuEST FOR CONFIDENTIAL TREATMENT AND FOR WHICH CONFIDENTIAL TREATMENT EXPIRED ON THE DATES INDICATED IN THE TABLES BELOW. Report for the Calendar Year or Quarter Ended: December 31, 2001 Check here if Amendment { X }; Amendment Number: __1__ This Amendment (Check only one.): { } is a restatement. { X } adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Citigroup Inc. Address: 399 Park Avenue, New York, New York 10043 Form 13F File Number: 28-2427 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Serena D Moe Title: Assistant Secretary Phone: (212) 559-1000 Signature, Place, and Date of Signing: /s/ Serena D. Moe New York, New York March 26, 2004 Report Type (Check only one.): { X } 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) { } 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) { } 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 5 Form 13F Information Table Entry Total: 53 Form 13F Information Table Value Total: $ 441,771,000 List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. No. Form 13F File Number Name 2 28-1876 Associated Madison Companies, Inc. 20 28-5154 Citigroup Insurance Holding Corporation (f/k/a PFS Services, Inc.) 36 28-1299 The Travelers Insurance Company 37 28-4152 Travelers Property Casualty Corp. (f/k/a The Travelers Insurance Group Inc.) 42 28-6022 Tribeca Management LLC FORM 13F INFORMATION TABLE AS OF DECEMBER 31, 2001: POSITIONS FOR WHICH CONFIDENTIAL TREATMENT EXPIRED ON MAY 14, 2002
TITLE FAIR MARKET SHARES OR INVESTMENT VOTING OF VALUE PRINCIPAL DISCRETION AUTHORITY NAME OF ISSUER CLASS CUSIP (000) AMOUNT SOLE SHARED MANAGERS SOLE SHARED NONE (1) (2) (3) (4) (5) (6) (7) (8) (A) (B) (C) (A) (B) (C) - -------------------------- ----- --------- --------- ----------- ----------- ------------- ----- ---------- -------- RTS ELAN CORP PLC EQU G29539148 56 429,100 X 2,20,36,37,42 429,100 INDIGO-EUR EQU N44495104 2,696 375,000 X 2,20,36,37,42 375,000 CONESTOGA ENTERPRISES INC EQU 207015108 1,918 60,000 X 2,20,36,37,42 60,000 DAL-TILE INTL INC EQU 23426R108 5,768 250,000 X 2,20,36,37,42 250,000 IMMUNEX CORP NEW EQU 452528102 4,733 170,000 X 2,20,36,37,42 170,000 NIAGARA MOHAWK HLDGS INC EQU 653520106 895 50,000 X 2,20,36,37,42 50,000 ORION POWER HOLDINGS EQU 686286105 8,483 325,000 X 2,20,36,37,42 325,000 TELECORP PCS INC CLASS A EQU 879300101 5,116 400,000 X 2,20,36,37,42 400,000 WESTCOAST ENERGY INC EQU 95751D102 5,430 205,000 X 2,20,36,37,42 205,000 WILLAMETTE INDUSTRIES INC EQU 969133107 1,520 30,000 X 2,20,36,37,42 30,000 TOTAL 36,615
FORM 13F INFORMATION TABLE AS OF DECEMBER 31, 2001: POSITIONS FOR WHICH CONFIDENTIAL TREATMENT EXPIRED ON FEBRUARY 14, 2003
TITLE FAIR MARKET SHARES OR INVESTMENT VOTING OF VALUE PRINCIPAL DISCRETION AUTHORITY NAME OF ISSUER CLASS CUSIP (000) AMOUNT SOLE SHARED MANAGERS SOLE SHARED NONE (1) (2) (3) (4) (5) (6) (7) (8) (A) (B) (C) (A) (B) (C) - ------------------------------ ------ --------- ------- ---------- ----------- -------------- -------- ------- ----------- GLOBAL CROSSING CONV PFD EQU G3921A126 96 55,000 X 2,20,36,37,42 55,000 GLOBAL CROSSING LTD 6.75% EQU G3921A134 641 125,000 X 2,20,36,37,42 125,000 AFFIL MANAGERS GRP CONV COR 008252AC2 9,263 9,500,000 X 2,20,36,37,42 9,500,000 AKAMAI TECH CONV COR 00971TAC5 524 1,000,000 X 2,20,36,37,42 1,000,000 ALKERMES INC CONV BOND COR 01642TAB4 2,680 4,000,000 X 2,20,36,37,42 4,000,000 ALLIED RISER COMMUNICATIONS COR 019496AA6 538 2,000,000 X 2,20,36,37,42 2,000,000 ATMEL CORP CV COR 049513AE4 19,013 65,000,000 X 2,20,36,37,42 65,000,000 AVAYA INC CONV COR 053499AA7 4,946 9,000,000 X 2,20,36,37,42 9,000,000 BRINKER INTL INC ZERO CPN COR 109641AA8 1,260 2,000,000 X 2,20,36,37,42 2,000,000 CV THERAPEUTICS COR 126667AB0 17,408 17,495,000 X 2,20,36,37,42 17,495,000 CELL THERAPEUTIC INC CV COR 150934AA5 5,750 6,250,000 X 2,20,36,37,42 6,250,000 CEPHALON INC CONV COR 156708AD1 19,103 18,000,000 X 2,20,36,37,42 18,000,000 COR THERAPEUTICS INDUSTRIAL COR 217753AD4 8,989 9,000,000 X 2,20,36,37,42 9,000,000 COR THERAPEUTICS CONV COR 217753AG7 5,910 6,000,000 X 2,20,36,37,42 6,000,000 E TRADE GROUP COR 269246AB0 2,681 3,250,000 X 2,20,36,37,42 3,250,000 E TRADE GROUP INC CV COR 269246AC8 26,853 23,000,000 X 2,20,36,37,42 23,000,000 ECHOSTAR COMMUNICATIONS CV COR 278762AE9 4,575 5,000,000 X 2,20,36,37,42 5,000,000 ELECTRONIC DATA SYS CORP NEW COR 285661AB0 4,100 5,000,000 X 2,20,36,37,42 5,000,000 ENZON INC CV COR 293904AB4 26,950 27,500,000 X 2,20,36,37,42 27,500,000 GLOBESPAN INC CONV COR 379571AB8 2,678 3,000,000 X 2,20,36,37,42 3,000,000 INHALE THERAPEUTICS INC CONV COR 457191AG9 6,191 9,750,000 X 2,20,36,37,42 9,750,000 INHALE THERAPEUTICS INC CONV COR 457191AH7 11,589 18,250,000 X 2,20,36,37,42 18,250,000 INVITROGEN INC CV COR 46185RAC4 961 1,000,000 X 2,20,36,37,42 1,000,000 LUCENT TECHNOLOGIES INC 8% RED EQU 549463206 10,774 91,500 X 2,20,36,37,42 91,500 MEDTRONIC INC CONV COR 585055AA4 15,488 15,000,000 X 2,20,36,37,42 15,000,000 MERRILL LYNCH & CO CV COR 590188A65 10,600 20,000,000 X 2,20,36,37,42 20,000,000 NETWORK PLUS CONV PFD 7.50% EQU 64122D605 256 50,000 X 2,20,36,37,42 50,000 NORTEL NETWORKS CORP NEW COR 656568AA0 24,688 25,000,000 X 2,20,36,37,42 25,000,000 PROVINCE HEALTHCARE CV COR 743977AD2 1,950 2,000,000 X 2,20,36,37,42 2,000,000 PROVIDIAN FINANCIAL CORP CONV COR 74406AAA0 873 2,000,000 X 2,20,36,37,42 2,000,000 RESMED INC CV GLOBAL COR 761152AB3 2,153 2,000,000 X 2,20,36,37,42 2,000,000 RIVER STONE NETWORK CV COR 769320AA0 2,813 2,500,000 X 2,20,36,37,42 2,500,000 ROYAL CARIBBEAN CRUISES LTD COR 780153AM4 18,995 58,000,000 X 2,20,36,37,42 58,000,000 SANMINA CORP CONV COR 800907AD9 186 500,000 X 2,20,36,37,42 500,000 SEPRACOR INC SUB DEB CONV COR 817315AH7 11,165 11,000,000 X 2,20,36,37,42 11,000,000 SEPRACOR INC CONV COR 817315AL8 46,598 54,500,000 X 2,20,36,37,42 54,500,000 SOLECTRON CORP CONV COR 834182AL1 6,356 15,000,000 X 2,20,36,37,42 15,000,000 SYMANTEC CORP CONV COR 871503AA6 2,430 2,000,000 X 2,20,36,37,42 2,000,000 TERADYNE INC CONV COR 880770AC6 11,624 8,500,000 X 2,20,36,37,42 8,500,000 TYCO INTL LTD CONV COR 902124AC0 41,731 55,000,000 X 2,20,36,37,42 55,000,000 USTINTERNETWORKING INV CV SUB COR 917311AH5 3,910 23,000,000 X 2,20,36,37,42 23,000,000 VIMPELCOM CONV COR 927185AA6 7,940 7,105,000 X 2,20,36,37,42 7,105,000 WESTERN DIGITAL CORP CV S/D COR 958102AH8 1,927 4,575,000 X 2,20,36,37,42 4,575,000 TOTAL 405,156
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