EX-99.01 15 a14-3681_6ex99d01.htm EX-99.01
Exhibit 99.01

Securities registered pursuant to Section 12(b) of the Securities Exchange Act of 1934:
Title of each class
Name of each exchange on which registered
Common Stock, par value $.01 per share
New York Stock Exchange
 
Mexico Stock Exchange
 
Tokyo Stock Exchange
 
Depositary Shares, each representing 1/1,000th of a share of
New York Stock Exchange
8.125% Non-Cumulative Preferred Stock, Series AA
 
 
Depositary Shares, each representing 1/1,000th of a share of
New York Stock Exchange
5.80% Noncumulative Preferred Stock, Series C
 
 
 
Depositary Shares, each representing 1/1,000th of a share of
New York Stock Exchange
7.125% Fixed/Floating Rate Noncumulative Preferred Stock, Series J
 
 
 
Depositary Shares, each representing 1/1,000th of a share of
New York Stock Exchange
6.875% Fixed/Floating Rate Noncumulative Preferred Stock, Series K
 
 
 
Depositary Shares, each representing 1/1,000th of a share of
New York Stock Exchange
6.875% Noncumulative Preferred Stock, Series L
 
 
 
7.625% Trust Preferred Securities of Citigroup Capital III (and
New York Stock Exchange
registrant’s guaranty with respect thereto)
 
 
6.00% Trust Preferred Securities (TruPS®) of Citigroup Capital
New York Stock Exchange
IX (and registrant’s guaranty with respect thereto)
 
 
6.00% Trust Preferred Securities (TruPS®) of Citigroup Capital
New York Stock Exchange
XI (and registrant’s guaranty with respect thereto)
 
 
7.875% Fixed Rate/Floating Rate Trust Preferred Securities
New York Stock Exchange
(TRUPS®) of Citigroup Capital XIII (and registrant’s guaranty
 
with respect thereto)
 
 
6.350% Enhanced Trust Preferred Securities (Enhanced TruPS®)
New York Stock Exchange
of Citigroup Capital XVII (and registrant’s guaranty with respect
 
thereto)
 
 
6.829% Fixed Rate/Floating Rate Enhanced Trust Preferred
New York Stock Exchange
Securities (Enhanced TruPS®) of Citigroup Capital XVIII (and
 
registrant’s guaranty with respect thereto)
 
 
Warrants (expiring October 28, 2018)
New York Stock Exchange

Exhibit 99.01

 
Warrants (expiring January 4, 2019)
New York Stock Exchange
 
Principal-Protected Trust Certificates Linked to the S&P 500®
NYSE Arca, Inc.
Index, the Dow Jones EURO STOXX 50® Index and the Nikkei
 
225 Stock AverageSM Due 2014 +
 
 
Principal-Protected Trust Certificates Linked to the S&P 500®
NYSE Arca, Inc.
Index Due 2014 +
 
 
Principal-Protected Trust Certificates Linked to the Dow Jones
NYSE Arca, Inc.
Industrial AverageSM Due 2014 +
 
 
3% Minimum Coupon Principal Protected Notes Based Upon the
NYSE Arca, Inc.
Dow Jones-AIG Commodity IndexSM-Excess Return Due 2014 *
 
 
3% Minimum Coupon Principal Protected Notes Based Upon the
NYSE Arca, Inc.
Russell 2000® Index Due March 2014 *
 
 
3% Minimum Coupon Principal Protected Notes Based Upon the
NYSE Arca, Inc.
Russell 2000® Index Due June 2014 *
 
 
3% Minimum Coupon Principal Protected Notes Based Upon the
NYSE Arca, Inc.
Russell 2000® Index Due September 2014 *
 
 
3% Minimum Coupon Principal Protected Notes Based Upon the
NYSE Arca, Inc.
S&P MidCap 400® Index Due 2014 *
 
 
3% Minimum Coupon Principal Protected Notes Based Upon the
NYSE Arca, Inc.
Dow Jones-UBS Commodity IndexSM Due 2014 *
 
 
 
2% Minimum Coupon Principal Protected Notes Based Upon the
NYSE Arca, Inc.
S&P 500® Index Due 2014 *
 
 
3% Minimum Coupon Principal Protected Notes Based Upon the
NYSE Arca, Inc.
S&P 500® Index Due 2014 *
 
 
3% Minimum Coupon Principal Protected Notes Based Upon the
NYSE Arca, Inc.
S&P 500 Index® Due May 2014 *
 
 
3% Minimum Coupon Principal Protected Notes Based Upon the
NYSE Arca, Inc.
Price of Gold Due 2014 *
 
 

Exhibit 99.01

2% Minimum Coupon Principal Protected Notes Based Upon the
NYSE Arca, Inc.
Price of Gold Due 2014 *
 
 
C-Tracks Exchange-Traded Notes Based on the Performance of
NYSE Arca, Inc.
the Citi Volatility Total Return Index Due November 12, 2020 *
 

+ Originally issued by a subsidiary trust of Citigroup Funding Inc. (CFI), and included registrant’s guaranty of CFI’s performance with respect thereto. Effective December 31, 2012, the registrant became the direct guarantor for each of the above securities in connection with the merger of Citigroup Funding Inc. with and into the registrant.
* Originally issued by Citigroup Funding Inc. (CFI) and included registrant’s guaranty with respect thereto. Effective December 31, 2012, the registrant became the direct obligor for each of the above securities in connection with the merger of Citigroup Funding Inc. with and into the registrant.