13F-HR/A 1 hr_citigroup033101.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 MAY 15, 2001, AS AMENDED BY THE FORM 13F FILED ON JUNE 25, 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: March 31, 2001 Check here if Amendment { X }; Amendment Number: __2__ 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 April 5, 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: 80 Form 13F Information Table Value Total: $ 757,589,000 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 Travelers Insurance Group Inc.) 38 28-6022 Tribeca Management LLC FORM 13F INFORMATION TABLE AS OF MARCH 31, 2001: POSITIONS FOR WHICH CONFIDENTIAL TREATMENT EXPIRED ON NOVEMBER 15, 2001
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) ------------------------------ ----- --------- --------- --------- ----------- ------------- ---- ------ ------- ALZA CORP EQU 022615108 12,300 300,000 X 2,17,35,36,38 300,000 AMERICAN GENERAL CORP EQU 026351106 6,806 184,300 X 2,17,35,36,38 184,300 BIOCHEM PHARMA INC EQU 09058T108 14,907 500,000 X 2,17,35,36,38 500,000 BLUE WAVE SYSTEMS INC EQU 096081104 297 50,000 X 2,17,35,36,38 50,000 CIT GROUP INC CLASS A EQU 125577106 10,143 350,000 X 2,17,35,36,38 350,000 CENTURY SOUTH BKS INC EQU 156683104 3,393 105,000 X 2,17,35,36,38 105,000 CHRIS CRAFT INDUSTRIES INC EQU 170520100 14,096 225,000 X 2,17,35,36,38 225,000 CITADEL COMMUNICATIONS CORP EQU 172853202 3,703 150,000 X 2,17,35,36,38 150,000 FRITZ COS INC EQU 358846103 3,506 330,000 X 2,17,35,36,38 330,000 GEORGIA PAC CORP COM TIMBER EQU 373298702 1,724 60,000 X 2,17,35,36,38 60,000 HARCOURT GENERAL INC EQU 41163G101 8,378 150,000 X 2,17,35,36,38 150,000 HONEYWELL INTL INC EQU 438516106 8,096 200,000 X 2,17,35,36,38 200,000 IMRGLOBAL CORPORATIONS EQU 45321W106 550 100,000 X 2,17,35,36,38 100,000 INTERMEDIA COMMUNICATION INC EQU 458801107 9,727 625,000 X 2,17,35,36,38 625,000 KENT ELECTRONICS CORP EQU 490553104 1,684 100,000 X 2,17,35,36,38 100,000 M S CARRIERS INC EQU 553533100 5,654 195,400 X 2,17,35,36,38 195,400 PROFESSIONAL GROUP INC (NEW) EQU 742954100 3,617 150,700 X 2,17,35,36,38 150,700 RALSTON PURINA GROUP EQU 751277302 10,850 350,000 X 2,17,35,36,38 350,000 SILICON VALLEY GROUP INC EQU 827066101 5,723 227,200 X 2,17,35,36,38 227,200 SODEXHO MARRIOTT SVCS INC EQU 833793102 876 29,500 X 2,17,35,36,38 29,500 TEXACO INC EQU 881694103 14,625 225,000 X 2,17,35,36,38 225,000 TOSCO CORPORATION NEW EQU 891490302 14,263 350,000 X 2,17,35,36,38 350,000 TRUE NORTH COMMUNICATIONS INC EQU 897844106 209 5,500 X 2,17,35,36,38 5,500 UNITED DOMINION INDS LTD EQU 909914103 3,869 186,000 X 2,17,35,36,38 186,000 VIRGINIA CAPITAL BANCSHARES EQU 927758102 2,400 130,600 X 2,17,35,36,38 130,600 VOICESTREAM WIRELESS CORP EQU 928615103 12,713 139,035 X 2,17,35,36,38 139,035 WILLAMETTE INDUSTRIES INC EQU 969133107 4,590 100,000 X 2,17,35,36,38 100,000 WISCONSIN CENTRAL TRANSPORTATI EQU 976592105 2,400 150,000 X 2,17,35,36,38 150,000 TOTAL 181,099
FORM 13F INFORMATION TABLE AS OF MARCH 31, 2001: POSITIONS FOR WHICH CONFIDENTIAL TREATMENT EXPIRED ON MAY 15, 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 944 18,200 X 2,17,35,36,38 18,200 GLOBAL CROSSING LTD 6.75% EQU G3921A134 21,825 144,300 X 2,17,35,36,38 144,300 LORAL SPACE & COMMNS 6% EQU G56462149 6,941 667,795 X 2,17,35,36,38 667,795 AT&T CANADA INC EQU 00207Q202 1,515 52,000 X 2,17,35,36,38 52,000 AETHER SYSTEMS CONV COR 00808VAA3 7,479 15,500,000 X 2,17,35,36,38 15,500,000 AKAMAI TECHNOLOGIES INC COR 00971TAA9 10,416 27,500,000 X 2,17,35,36,38 27,500,000 AKAMAI TECH CONV COR 00971TAC5 3,598 9,500,000 X 2,17,35,36,38 9,500,000 ALLERGAN INC CONV COR 018490AA0 4,890 8,000,000 X 2,17,35,36,38 8,000,000 ALLERGAN CONV ZERO CPN COR 018490AB8 1,223 2,000,000 X 2,17,35,36,38 2,000,000 ALLIED RISER COMMUNICATIONS COR 019496AA6 1,960 8,000,000 X 2,17,35,36,38 8,000,000 AVIRON SUB NT CV COR 053762AD2 2,993 3,500,000 X 2,17,35,36,38 3,500,000 CV THERAPEUTICS COR 126667AB0 11,278 16,495,000 X 2,17,35,36,38 16,495,000 CELESTICA INC CONV NOTES COR 15101QAA6 21,933 62,000,000 X 2,17,35,36,38 62,000,000 CHARTER COMM INC CONV COR 16117MAA5 6,973 5,928,000 X 2,17,35,36,38 5,928,000 CHARTER COMM INC CV COR 16117MAB3 14,788 12,572,000 X 2,17,35,36,38 12,572,000 CIENA CORP CONV COR 171779AA9 32,163 41,500,000 X 2,17,35,36,38 41,500,000 CONEXANT SYS INC SR SUB NT CV COR 207142AB6 5,670 8,415,000 X 2,17,35,36,38 8,415,000 CURAGEN CORP CONV COR 23126RAA9 10,322 14,825,000 X 2,17,35,36,38 14,825,000 DIAMOND OFFSHORE DRILLING INC COR 25271CAB8 2,005 4,000,000 X 2,17,35,36,38 4,000,000 DIGITAL IS INC DEL COR 25385NAA9 200 700,000 X 2,17,35,36,38 700,000 E TRADE GROUP COR 269246AA2 9,154 17,190,000 X 2,17,35,36,38 17,190,000 E TRADE GROUP COR 269246AB0 26,524 49,810,000 X 2,17,35,36,38 49,810,000 EL PASO CORPORATION CONV COR 28336LAA7 44,000 100,000,000 X 2,17,35,36,38 100,000,000 EMCOR GROUP INC CV SUB NOTES COR 29084QAC4 3,506 3,000,000 X 2,17,35,36,38 3,000,000 GPU INC EQU 36225X100 7,084 220,000 X 2,17,35,36,38 220,000 GILEAD SCIENCES INC CV COR 375558AB9 2,655 3,000,000 X 2,17,35,36,38 3,000,000 HUMAN GENOME CONV COR 444903AF5 22,413 23,500,000 X 2,17,35,36,38 23,500,000 IMCLONE SYS INC CV COR 45245WAD1 7,256 9,000,000 X 2,17,35,36,38 9,000,000 INHALE THERAPEUTICS INC CONV COR 457191AG9 4,793 7,810,000 X 2,17,35,36,38 7,810,000 INHALE THERAPEUTICS INC CONV COR 457191AH7 13,042 21,250,000 X 2,17,35,36,38 21,250,000 INTERLIANT INC CONV COR 458742AA1 2,545 9,740,000 X 2,17,35,36,38 9,740,000 INTL RECTIFIER CONV COR 460254AD7 4,044 5,000,000 X 2,17,35,36,38 5,000,000 INTL RECTIFIER CORP CONV COR 460254AE5 7,279 9,000,000 X 2,17,35,36,38 9,000,000 LATTICE SEMICONDUCTOR CORP SUB COR 518415AC8 5,400 5,000,000 X 2,17,35,36,38 5,000,000 MANUGISTICS GROUP INC CONV COR 565011AA1 1,448 2,000,000 X 2,17,35,36,38 2,000,000 NATIONAL AUSTRALIA BK LTD EQU 632525309 7,442 274,600 X 2,17,35,36,38 274,600 NETWORK PLUS CONV PFD 7.50% EQU 64122D605 538 50,000 X 2,17,35,36,38 50,000 PERKINELMER INC CONV COR 714046AA7 10,225 20,000,000 X 2,17,35,36,38 20,000,000 PROVIDIAN FINANCIAL CORP CONV COR 74406AAB8 4,063 10,000,000 X 2,17,35,36,38 10,000,000 REDBACK NETWORKS INC CV COR 757209AB7 6,890 11,803,000 X 2,17,35,36,38 11,803,000 SANMINA CORP CV ZERO CPN COR 800907AC1 11,970 36,000,000 X 2,17,35,36,38 36,000,000 SEMTECH CORP CONV -REG- COR 816850AD3 10,575 12,000,000 X 2,17,35,36,38 12,000,000 SEPRACOR INC SUB DEB CONV COR 817315AH7 27,180 36,000,000 X 2,17,35,36,38 36,000,000 SEPRACOR INC CONV COR 817315AL8 37,800 63,000,000 X 2,17,35,36,38 63,000,000 SOLECTRON CORP CONV COR 834182AK3 37,031 75,000,000 X 2,17,35,36,38 75,000,000 SOLECTRON CORP CONV COR 834182AL1 38,028 90,000,000 X 2,17,35,36,38 90,000,000 TELEFONOS DE MEXICO SA DE COR 879403AD5 10,530 9,000,000 X 2,17,35,36,38 9,000,000 TYCO INTL LTD CONV COR 902124AC0 25,594 35,000,000 X 2,17,35,36,38 35,000,000 USTINTERNETWORKING INV CV SUB COR 917311AH5 8,750 25,000,000 X 2,17,35,36,38 25,000,000 VIMPELCOM CONV COR 927185AA6 6,197 7,500,000 X 2,17,35,36,38 7,500,000 WESTERN DIGITAL CORP CV S/D COR 958102AH8 469 1,575,000 X 2,17,35,36,38 1,575,000 XO COMMUNICATIONS INC CONV SUB COR 983764AA9 2,949 7,000,000 X 2,17,35,36,38 7,000,000 TOTAL 576,490