13F-HR/A 1 hr_citigroup093001.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 NOVEMBER 14, 2001 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: September 30, 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: 48 Form 13F Information Table Value Total: $ 479,426,000 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. 17 28-5154 Citigroup Insurance Holding Corporation (f/k/a PFS Services, Inc.) 35 28-1299 The Travelers Insurance Company 36 28-4152 Travelers Property Casualty Corp. (f/k/a The Travelers Insurance Group Inc.) 38 28-6022 Tribeca Management LLC FORM 13F INFORMATION TABLE AS OF SEPTEMBER 30, 2001: POSITIONS FOR WHICH CONFIDENTIAL TREATMENT EXPIRED ON FEBRUARY 14, 2002
FAIR TITLE 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 69 429,100 X 2,17,35,36,38 429,100 C MAC INDUSTRIES INC EQU 125920108 7,803 397,300 X 2,17,35,36,38 397,300 HOTJOBS.COM INC EQU 441474103 1,977 350,000 X 2,17,35,36,38 350,000 LIBERTY FINANCIAL COS INC EQU 530512102 1,595 50,000 X 2,17,35,36,38 50,000 ULTRAMAR DIAMOND SHAMROCK CORP EQU 904000106 10,890 225,000 X 2,17,35,36,38 225,000 TOTAL 22,334
FORM 13F INFORMATION TABLE AS OF SEPTEMBER 30, 2001: POSITIONS FOR WHICH CONFIDENTIAL TREATMENT EXPIRED ON NOVEMBER 14, 2002
FAIR TITLE 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 1,045 55,000 X 2,17,35,36,38 55,000 GLOBAL CROSSING LTD 6.75% EQU G3921A134 5,313 125,000 X 2,17,35,36,38 125,000 AFFILIATED MANAGERS GRP CONV COR 008252AA6 5,408 6,000,000 X 2,17,35,36,38 6,000,000 AFFIL MANAGERS GRP CONV COR 008252AC2 1,352 1,500,000 X 2,17,35,36,38 1,500,000 AKAMAI TECH CONV COR 00971TAC5 1,700 4,097,000 X 2,17,35,36,38 4,097,000 ALLIED RISER COMMUNICATIONS COR 019496AA6 550 2,000,000 X 2,17,35,36,38 2,000,000 ATMEL CORP CV COR 049513AD6 14,125 50,000,000 X 2,17,35,36,38 50,000,000 CV THERAPEUTICS COR 126667AB0 10,418 12,495,000 X 2,17,35,36,38 12,495,000 CELL THERAPEUTIC INC CV COR 150934AA5 6,352 6,250,000 X 2,17,35,36,38 6,250,000 CEPHALON INC CONV COR 156708AB5 10,890 12,000,000 X 2,17,35,36,38 12,000,000 CHARTER COMM INC CONV COR 16117MAA5 4,920 5,928,000 X 2,17,35,36,38 5,928,000 CHARTER COMM INC CV COR 16117MAB3 11,680 14,072,000 X 2,17,35,36,38 14,072,000 COR THERAPEUTICS INDUSTRIAL COR 217753AE2 1,273 1,500,000 X 2,17,35,36,38 1,500,000 E TRADE GROUP COR 269246AB0 10,747 17,800,000 X 2,17,35,36,38 17,800,000 E TRADE GROUP INC CV COR 269246AC8 18,228 23,000,000 X 2,17,35,36,38 23,000,000 EL PASO CORPORATION CONV COR 28336LAA7 28,700 70,000,000 X 2,17,35,36,38 70,000,000 ENZON INC CONV SUB NOTES COR 293904AA6 28,153 31,500,000 X 2,17,35,36,38 31,500,000 GLOBESPAN INC CONV COR 379571AA0 6,513 10,000,000 X 2,17,35,36,38 10,000,000 INHALE THERAPEUTICS INC CONV COR 457191AG9 5,302 9,750,000 X 2,17,35,36,38 9,750,000 INHALE THERAPEUTICS INC CONV COR 457191AH7 3,398 6,250,000 X 2,17,35,36,38 6,250,000 INTERLIANT INC CONV COR 458742AA1 1,558 9,740,000 X 2,17,35,36,38 9,740,000 IVAX CORP CONV COR 465823AE2 13,620 16,000,000 X 2,17,35,36,38 16,000,000 LSI LOGIC CORP CONV SUB NTS COR 502161AD4 984 1,000,000 X 2,17,35,36,38 1,000,000 LATTICE SEMICONDUCTOR CORP SUB COR 518415AC8 9,244 9,326,000 X 2,17,35,36,38 9,326,000 LUCENT TECHNOLOGIES INC 8% RED EQU 549463206 6,760 65,000 X 2,17,35,36,38 65,000 MEDAREX INC CV COR 583916AA9 4,496 5,500,000 X 2,17,35,36,38 5,500,000 MERRILL LYNCH & CO CV COR 590188A65 9,775 20,000,000 X 2,17,35,36,38 20,000,000 NETWORK PLUS CONV PFD 7.50% EQU 64122D605 250 50,000 X 2,17,35,36,38 50,000 NORTEL NETWORKS CORP NEW COR 656568AA0 6,300 7,500,000 X 2,17,35,36,38 7,500,000 PROVIDIAN FINANCIAL CORP CONV COR 74406AAA0 1,973 3,000,000 X 2,17,35,36,38 3,000,000 PROVIDIAN FINANCIAL CORP CONV COR 74406AAB8 16,198 49,650,000 X 2,17,35,36,38 49,650,000 RESMED INC CV COR 761152AA5 4,629 4,500,000 X 2,17,35,36,38 4,500,000 ROYAL CARIBBEAN CRUISES LTD COR 780153AM4 27,715 92,000,000 X 2,17,35,36,38 92,000,000 SPX CORP CV ZERO CPN-RULE 144A COR 784635AC8 7,420 14,000,000 X 2,17,35,36,38 14,000,000 SANMINA CORP CONV COR 800907AD9 172 500,000 X 2,17,35,36,38 500,000 SEPRACOR INC SUB DEB CONV COR 817315AH7 16,575 20,000,000 X 2,17,35,36,38 20,000,000 SEPRACOR INC CONV COR 817315AL8 50,719 75,000,000 X 2,17,35,36,38 75,000,000 UTS SPRINT CORP EQU 852061605 19,880 700,000 X 2,17,35,36,38 700,000 TYCO INTL LTD CONV COR 902124AC0 14,975 20,000,000 X 2,17,35,36,38 20,000,000 USTINTERNETWORKING INV CV SUB COR 917311AH5 3,910 23,000,000 X 2,17,35,36,38 23,000,000 VERIZON GLOBAL GDG CORP COR 92343VAA2 53,081 95,000,000 X 2,17,35,36,38 95,000,000 VIMPELCOM CONV COR 927185AA6 9,144 9,500,000 X 2,17,35,36,38 9,500,000 WESTERN DIGITAL CORP CV S/D COR 958102AH8 1,647 4,575,000 X 2,17,35,36,38 4,575,000 TOTAL 457,092