EX-99.02 15 dex9902.htm LIST OF SECURITIES REGISTERED PURSUANT TO SECTION 12(B) AND SECTION 12(G) List of Securities Registered Pursuant to Section 12(b) and Section 12(g)

Exhibit 99.02

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

Depositary Shares, each representing 1/5th of a share of

6.365% Cumulative Preferred Stock, Series F

    New York Stock Exchange

Depositary Shares, each representing 1/5th of a share of

6.213% Cumulative Preferred Stock, Series G

    New York Stock Exchange

Depositary Shares, each representing 1/5th of a share of

6.231% Cumulative Preferred Stock, Series H

    New York Stock Exchange

Depositary Shares, each representing 1/5th of a share of

5.864% Cumulative Preferred Stock, Series M

    New York Stock Exchange

7 5/8% Trust Securities of Subsidiary Trust (and registrant’s guaranty with respect thereto)

    New York Stock Exchange

7.125% Trust Preferred Securities (TruPS®) of Subsidiary

Trust (and registrant’s guaranty with respect thereto)

    New York Stock Exchange

6.950% Trust Preferred Securities (TruPS®) of Subsidiary

Trust (and registrant’s guaranty with respect thereto)

    New York Stock Exchange

6.00% Trust Preferred Securities (TruPS®) of Subsidiary

Trust (and registrant’s guaranty with respect thereto)

    New York Stock Exchange

6.10% Trust Preferred Securities (TruPS®) of Subsidiary

Trust (and registrant’s guaranty with respect thereto)

    New York Stock Exchange

6.00% Trust Preferred Securities (TruPS®) of Subsidiary

Trust (and registrant’s guaranty with respect thereto)

    New York Stock Exchange

6.875% Enhanced Trust Preferred Securities (Enhanced

TruPS®) of Subsidiary Trust (and registrant’s guaranty with

respect thereto)

    New York Stock Exchange

6.500% Enhanced Trust Preferred Securities (Enhanced

TruPS®) of Subsidiary Trust (and registrant’s guaranty with

respect thereto)

    New York Stock Exchange

6.450% Enhanced Trust Preferred Securities (Enhanced

TruPS®) of Subsidiary Trust (and registrant’s guaranty with

respect thereto)

    New York Stock Exchange

0.25% Notes Exchangeable for a Basket of Selected

Technology Stocks, Due 2007 *

    American Stock Exchange

Notes Exchangeable for the Common Stock of Pfizer Inc.,

Due 2008 *

    American Stock Exchange

Principal-Protected Notes Linked to the S&P 500® Index

Due 2007 *

    American Stock Exchange

Principal-Protected Notes Linked to the Nasdaq-100 Index®

Due 2007 *

    American Stock Exchange

Principal-Protected Notes Linked to the Dow Jones EURO

STOXX 50 IndexSM Due 2007 *

    American Stock Exchange

Index LeAding StockmarkEt Return Securities (Index

LASERSSM) Based Upon the Dow Jones Industrial Average

Due 2008 *

    American Stock Exchange

Principal-Protected Equity Linked Notes Based Upon the

S&P 500® Index Due 2009 *

    American Stock Exchange

Principal-Protected Equity Linked Notes Based Upon the

Dow Jones Global Titans 50 IndexSM Due 2009 *

    American Stock Exchange

Targeted Growth Enhanced Terms Securities (TARGETSSM)

of Subsidiary Trust With Respect to the Common Stock of

Alcoa Inc. *

    American Stock Exchange

Principal-Protected Equity Linked Notes Based Upon the

Nasdaq-100 Index Due 2009 *

    American Stock Exchange

Index LeAding StockmarkEt Return Securities (Index

LASERSSM) Based Upon the Nikkei 225 Stock Average Due

2008 *

    American Stock Exchange

Principal-Protected Equity Linked Notes Based Upon the

Dow Jones Industrial AverageSM Due 2009 *

    American Stock Exchange

Targeted Growth Enhanced Terms Securities (TARGETSSM)

of Subsidiary Trust With Respect to American Depositary

Receipts Representing Ordinary Shares of Nokia

Corporation *

    American Stock Exchange

Principal-Protected Equity Linked Notes Based Upon the

S&P 500® Index Due 2010 *

    American Stock Exchange

Premium Mandatory Callable Equity-Linked Securities

(PACERSSM) Based Upon the Common Stock of JPMorgan

Chase & Co. Due 2007 *

    American Stock Exchange

Targeted Growth Enhanced Terms Securities (TARGETSSM)

of Subsidiary Trust With Respect to the Common Stock of

Newmont Mining Corporation *

    American Stock Exchange

Targeted Growth Enhanced Terms Securities (TARGETSSM)

of Subsidiary Trust With Respect to the Common Stock of

Intel Corporation *

    American Stock Exchange

Principal-Protected Equity Linked Notes Based Upon the

Dow Jones Industrial AverageSM Due 2010 *

    American Stock Exchange

Principal-Protected Equity Linked Notes Based Upon the

Dow Jones Global Titans 50 IndexSM Due 2010 *

    American Stock Exchange

Principal-Protected Notes Based Upon a Group of Asian

Currencies Due 2008 *

    American Stock Exchange

Principal-Protected Equity Linked Notes Based Upon the

S&P 500® Index with Potential Supplemental Interest at

Maturity Due 2008 +

    American Stock Exchange

Principal-Protected Notes Based Upon a Group of Asian

Currencies Due 2008 +

    American Stock Exchange

Targeted Growth Enhanced Terms Securities (TARGETSSM)

of Subsidiary Trust With Respect to the Common Stock of

Motorola, Inc. +

    American Stock Exchange

Principal-Protected Equity Linked Notes Based Upon the

Russell 1000® Growth Index with Potential Supplemental

Interest at Maturity Due 2009 +

    American Stock Exchange

Portfolio Income STrategic Opportunity NoteS Based Upon

the CBOE S&P 500 BuyWrite Index Due 2010 +

    American Stock Exchange

Premium MAndatory Callable Equity-Linked SecuRitieS

(PACERSSM) Based Upon American Depositary Receipts

Representing H Shares of PetroChina Company Limited Due

2008 +

    American Stock Exchange

Stock Market Upturn NotesSM Based Upon the S&P 500®

Index Due 2007 +

    American Stock Exchange

Principal-Protected Equity Linked Notes Based Upon the

Nikkei 225 Stock AverageSM with Potential Supplemental

Interest at Maturity Due 2009 +

    American Stock Exchange

Premium MAndatory Callable Equity-Linked SecuRitieS

(PACERSSM) Based Upon the PHLX Oil Service SectorSM

Index Due 2008 +

    American Stock Exchange

Targeted Growth Enhanced Terms Securities (TARGETSSM)

of Subsidiary Trust With Respect to the Common Stock of

Sprint Nextel Corporation +

    American Stock Exchange

Index LeAding StockmarkEt Return Securities (Index

LASERSSM) Based Upon the S&P 500® Index Due 2010 +

    American Stock Exchange

Equity LinKed Securities (ELKS®) Based Upon the

Common Stock of Newmont Mining Corporation Due

2007 +

    American Stock Exchange

Principal-Protected Equity Linked Notes Based Upon the

S&P 500® Index with Potential Supplemental Interest at

Maturity Due 2011 +

    American Stock Exchange

Equity LinKed Securities (ELKS®) Based Upon the

Common Stock of Texas Instruments Inc. Due 2007 +

    American Stock Exchange

Principal-Protected Equity Linked Notes Based Upon the

Dow Jones Industrial AverageSM with Potential

Supplemental Interest at Maturity Due 2010 +

    American Stock Exchange

Select EQUity Indexed NoteS (SEQUINSSM ) based upon

the Common Stock of United health Group Inc. Due 2007 +

    American Stock Exchange

Stock Market Upturn NotesSM Based Upon the S&P 500®

Index Due 2007 +

    American Stock Exchange

Premium mAndatory Callable Equity-linked secuRitieS

(PACERSSM) Based Upon the Common Stock of Valero

Energy Corporation Due 2008 +

    American Stock Exchange

Principal Protected Equity Linked Notes Based Upon the

MSCI EAFE Index® Due 2009 +

    American Stock Exchange

Stock Market Upturn NotesSM Based Upon the Nikkei 225

Stock Averagesm Due 2007 +

    American Stock Exchange

Equity LinKed Securities (ELKS®) Based Upon the

Common Stock of Apple Computer, Inc. Due 2007 +

    American Stock Exchange

Stock Market Upturn NotesSM Based Upon the Dow Jones

EURO STOXX 50 IndexSM Due 2007 +

    American Stock Exchange

Equity LinKed Securities (ELKS®) Based Upon the

Common Stock of Caterpillar Inc. Due 2007 +

    American Stock Exchange

Principal-Protected Equity Linked Notes Based Upon the

S&P 100® Index Due 2010 +

    American Stock Exchange

Stock Market Upturn NotesSM Based Upon the Hang Seng

China Enterprises Index Due 2008 +

    American Stock Exchange

Equity LinKed Securities (ELKS®) Based Upon the

Common Stock of Halliburton Company Due 2007 +

    American Stock Exchange

Equity LinKed Securities (ELKS®) Based Upon the

Common Stock of Nucor Corporation Due 2007 +

    American Stock Exchange

Index LeAding StockmarkEt Return Securities (Index

LASERSSM) Based Upon the CBOE Large Cap Over Small

Cap Outperformance Strategy Due 2008 +

    American Stock Exchange

Premium mAndatory Callable Equity-linked secuRitieS

(PACERSSM) Based Upon American Depositary Receipts

Representing the Ordinary Participation Certificates

(“CPOs”) of Cemex S.A.B. de C.V. Due 2008 +

    American Stock Exchange

Equity LinKed Securities (ELKS®) Based Upon the

Common Stock of QUALCOMM Incorporated Due 2007 +

    American Stock Exchange

Equity LinKed Securities (ELKS®) Based Upon the

Common Stock of Archer-Daniels-Midland Company Due

2007 +

    American Stock Exchange

Principal-Protected Trust Certificates Linked to the Dow

Jones Industrial AverageSM and the Nikkei 225 Stock

AverageSM Due 2010 +

    American Stock Exchange

Stock Market Upturn NotesSM Based Upon the Dow Jones

Industrial AverageSM Due 2008 +

    American Stock Exchange

Equity LinKed Securities (ELKS®) Based Upon the

Common Stock of Best Buy Co., Inc. Due 2008 +

    American Stock Exchange

Equity LinKed Securities (ELKS®) Based Upon the

Common Stock of Advanced Micro Devices, Inc. Due 2008+

    American Stock Exchange

Select EQUity Indexed NoteS (SEQUINSSM) Based Upon

the S&P Homebuilders Select Industry Index Due 2008 +

    American Stock Exchange

Securities registered pursuant to Section 12(g) of the Securities Exchange Act of 1934:

 

Title of each class

   

Name of each exchange on which registered

Stock Market Upturn NotesSM Based Upon the Nasdaq-100

Index® Due 2007 +

    The NASDAQ National Market

Principal-Protected Equity Linked Notes Based Upon the Nasdaq-100 Index® Due 2009 +

    The NASDAQ National Market

* Issued by Citigroup Global Markets Holdings Inc. (CGMHI), or a subsidiary trust of CGMHI, and includes registrant’s guaranty with respect thereto.

+ Issued by Citigroup Funding Inc. (CFI), or a subsidiary trust of CFI, and includes registrant’s guaranty with respect thereto.