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 1/1,000th of a share of

6.5% Non-Cumulative Convertible Preferred Stock,

Series T

   New York Stock Exchange
Depositary Shares, each representing 1/1,000th of a share of 8.125% Non-Cumulative Preferred Stock, Series AA    New York Stock Exchange
7.625% Trust Preferred 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
6.350% Enhanced Trust Preferred Securities (Enhanced TruPS®) of Subsidiary Trust (and registrant’s guaranty with respect thereto)    New York Stock Exchange
6.829% Fixed Rate/Floating Rate Enhanced Trust Preferred Securities (Enhanced TruPS®) of Subsidiary Trust (and registrant’s guaranty with respect thereto)    New York Stock Exchange
7.250% Enhanced Trust Preferred Securities (Enhanced TruPS®) of Subsidiary Trust (and registrant’s guaranty with respect thereto)    New York Stock Exchange


7.875% Enhanced Trust Preferred Securities (Enhanced TruPS®) of Subsidiary Trust (and registrant’s guaranty with respect thereto)    New York Stock Exchange
Notes Exchangeable for the Common Stock of Pfizer Inc., Due 2008 *    American Stock Exchange
Index LeAding StockmarkEt Return Securities (Index LASERS sm) 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 Index sm Due 2009 *    American Stock Exchange
Principal-Protected Equity Linked Notes Based Upon the Nasdaq-100 Index Due 2009 *    American Stock Exchange
Principal-Protected Equity Linked Notes Based Upon the Dow Jones Industrial Average sm Due 2009 *    American Stock Exchange
Principal-Protected Equity Linked Notes Based Upon the S&P 500® Index Due 2010 *    American Stock Exchange
Principal-Protected Equity Linked Notes Based Upon the Dow Jones Industrial Average sm 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 (TARGETS sm) 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


Principal-Protected Equity Linked Notes Based Upon the Nikkei 225 Stock Average sm 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 (TARGETS sm) 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
Principal-Protected Equity Linked Notes Based Upon the S&P 500® Index with Potential Supplemental Interest at Maturity Due 2011 +    American Stock Exchange
Principal-Protected Equity Linked Notes Based Upon the Dow Jones Industrial Average sm with Potential Supplemental Interest at Maturity Due 2010 +    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
Principal-Protected Equity Linked Notes Based Upon the S&P 100® Index Due 2010 +    American Stock Exchange
Stock Market Upturn Notes sm Based Upon the Hang Seng China Enterprises Index 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
Principal-Protected Trust Certificates Linked to the Dow Jones Industrial Average sm and the Nikkei 225 Stock Average sm Due 2010 +    American Stock Exchange
Stock Market Upturn NotesSM Based Upon the Dow Jones Industrial Average sm Due 2008 +    American Stock Exchange
Index LeAding StockmarkEt Return Securities (Index LASERSSM) Based Upon the U.S.-Europe-Japan Basket Due 2010 +    American Stock Exchange


Principal-Protected Trust Certificates Linked to the S&P 500® Index, the Dow Jones EURO STOXX 50 IndexSM and the Nikkei 225 Stock AverageSM Due 2010 +    American Stock Exchange
Equity LinKed Securities (ELKS®) Based Upon the Common Stock of Celgene Corporation Due 2008 +    American Stock Exchange
Equity LinKed Securities (ELKS®) Based Upon the Common Stock of Starbucks Corporation Due 2008 +    American Stock Exchange
Stock Market Upturn NotesSM Based Upon the MSCI EAFE Index Due 2008 +    American Stock Exchange
Equity LinKed Securities (ELKS®) Based Upon the Common Stock of Intel Corporation Due 2008 +    American Stock Exchange
Equity LinKed Securities (ELKS®) Based Upon the Common Stock of Chesapeake Energy Corporation Due 2008 +    American Stock Exchange
Equity LinKed Securities (ELKS®) Based Upon the Common Stock of Monsanto Company Due 2008 +    American Stock Exchange
Principal-Protected Trust Certificates Linked to the Nikkei 225 Stock AverageSM Due 2011 +    American Stock Exchange
Premium mAndatory Callable Equity-linked secuRitieS (PACERSSM) Based Upon the Common Stock of eBay Inc. Due 2008 +    American Stock Exchange
Stock Market Upturn NotesSM Based Upon the S&P 500® Index Due 2008 +    American Stock Exchange
Equity LinKed Securities (ELKS®) Based Upon the Common Stock of NYSE Euronext, Inc. Due 2008 +    American Stock Exchange
Equity LinKed Securities (ELKS®) Based Upon the Common Stock of Lowe’s Companies, Inc. Due 2008 +    American Stock Exchange
Equity LinKed Securities (ELKS®) Based Upon the Common Stock of Hess Corporation Due 2008 +    American Stock Exchange
Stock Market Upturn NotesSM Based Upon the iShares® MSCI Emerging Markets Index Fund Due 2008 +    American Stock Exchange
Principal-Protected Trust Certificates Linked to the Dow Jones Industrial AverageSM, the Dow Jones EURO STOXX 50 IndexSM, the Nikkei 225 Stock AverageSM and the S&P BRIC 40 Index® Due 2012 +    American Stock Exchange
Equity LinKed Securities (ELKS®) Based Upon the American Depository Receipts Representing Ordinary Participation Certificates of Cemex, S.A.B. de C.V. Due 2008 +    American Stock Exchange
Stock Market Upturn NotesSM Based Upon the U.S.- Europe-Japan Basket Due 2009 +    American Stock Exchange


Equity LinKed Securities (ELKS®) Based Upon the Common Stock of Exxon Mobil Corporation Due 2008 +    American Stock Exchange
Equity LinKed Securities (ELKS®) Based Upon the Common Stock of Halliburton Company Due 2008 +    American Stock Exchange
Stock Market Upturn NotesSM Based Upon the Nikkei 225 Stock AverageSM Due 2008 +    American Stock Exchange
Equity LinKed Securities (ELKS®) Based Upon the Common Stock of American Express Company Due 2008 +    American Stock Exchange
Premium mAndatory Callable Equity-linked secuRitieS (PACERSSM) Based Upon the S&P 500 IndexSM Due 2009 +    American Stock Exchange
Equity LinKed Securities (ELKS®) Based Upon the Common Stock of Texas Instruments Incorporated Due 2008+    American Stock Exchange
Equity LinKed Securities (ELKS®) Based Upon the Common Stock of Nucor Corporation Due 2008 +    American Stock Exchange
Stock Market Upturn NotesSM Based Upon the Dow Jones EURO STOXX 50 IndexSM Due 2009 +    American Stock Exchange
Equity LinKed Securities (ELKS®) Based Upon the Common Stock of Morgan Stanley Due 2008 +    American Stock Exchange
Equity LinKed Securities (ELKS®) Based Upon the Common Stock of Alcoa, Inc. Due 2008 +    American Stock Exchange
Principal-Protected Trust Certificates Linked to the S&P 500® Index, the Dow Jones EURO STOXX 50® Index and the Nikkei 225 Stock AverageSM Due 2013 +    American Stock Exchange
Premium mAndatory Callable Equity-linked secuRitieS (PACERSSM) Based Upon the Common Stock of eBay Inc. Due 2009 +    American Stock Exchange
Equity LinKed Securities (ELKS®) Based Upon the Common Stock of Oracle Corporation Due 2008 +    American Stock Exchange
Equity LinKed Securities (ELKS®) Based Upon the Common Stock of Archer-Daniels-Midland Company Due 2009 +    American Stock Exchange

Equity LinKed Securities (ELKS®) Based Upon the Common Stock of the Federal National Mortgage Association Due

2009 +

   American Stock Exchange
Equity LinKed Securities (ELKS®) Based Upon the Common Stock of AT&T Inc. Due 2009 +    American Stock Exchange

 


Equity LinKed Securities (ELKS®) Based Upon the Common Stock of the EMC Corporation Due 2009 +    American Stock Exchange
Stock Market Upturn NotesSM Based Upon the S&P 500® Index Due 2009 +    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

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.