EX-99.01 17 exhibit99-01.htm LIST OF SECURITIES REGISTERED PURSUANT TO SECTION 12(B) exhibit99-01.htm
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
8.50% Non-Cumulative Preferred Stock, Series F    
     
Depositary Shares, each representing 1/1,000th of a share of   New York Stock Exchange
6.5% Non-Cumulative Convertible Preferred Stock, Series T    
     
Depositary Shares, each representing 1/1,000th of a share of   New York Stock Exchange
8.125% Non-Cumulative Preferred Stock, Series AA    
     
7.625% Trust Preferred Securities of Citigroup Capital III (and   New York Stock Exchange
registrant’s guaranty with respect thereto)    
     
7.125% Trust Preferred Securities (TruPS®) of Citigroup Capital   New York Stock Exchange
VII (and registrant’s guaranty with respect thereto)    
     
6.950% Trust Preferred Securities (TruPS®) of Citigroup Capital   New York Stock Exchange
VIII (and 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)    
     
6.10% Trust Preferred Securities (TruPS®) of Citigroup Capital   New York Stock Exchange
X (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)    
     
6.875% Enhanced Trust Preferred Securities (Enhanced TruPS®)   New York Stock Exchange
of Citigroup Capital XIV (and registrant’s guaranty with respect    
thereto)    
     
6.500% Enhanced Trust Preferred Securities (Enhanced TruPS®)   New York Stock Exchange
of Citigroup Capital XV (and registrant’s guaranty with respect    
thereto)    
     
6.450% Enhanced Trust Preferred Securities (Enhanced TruPS®)   New York Stock Exchange
of Citigroup Capital XVI (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)    


 

7.250% Enhanced Trust Preferred Securities (Enhanced TruPS®)       New York Stock Exchange
of Citigroup Capital XIX (and registrant’s guaranty with respect    
thereto)    
     
7.875% Enhanced Trust Preferred Securities (Enhanced TruPS®)   New York Stock Exchange
of Citigroup Capital XX (and registrant’s guaranty with respect    
thereto)    
     
8.500% Fixed Rate/Floating Rate Trust Preferred Securities   New York Stock Exchange
(TruPS®) of Citigroup Capital XII (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)    
     
Principal-Protected Trust Certificates Linked to the Nikkei 225   NYSE Arca, Inc.
Stock AverageSM Due 2011 +    
     
Principal-Protected Trust Certificates Linked to the Dow Jones Industrial   NYSE Arca, Inc.
AverageSM, the Dow Jones EURO STOXX 50 IndexSM, the Nikkei 225    
Stock AverageSM and the S&P BRIC 40 Index® Due 2012 +    
     
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 2013 +    
     
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 +    
     
Strategic Market Access Notes Based Upon the Citi U.S. Equity   NYSE Arca, Inc.
Model Index Due 2011 +    
     
Principal-Protected Trust Certificates Linked to the S&P 500®   NYSE Arca, Inc.
Index Due 2013 +    
     
Principal-Protected Trust Certificates Linked to the Global Index   NYSE Arca, Inc.
Basket Due 2013 +    
     
Principal-Protected Trust Certificates Linked to the S&P 500®   NYSE Arca, Inc.
Index Due 2013 +    
     
2% Minimum Coupon Principal Protected Notes Based Upon the   NYSE Arca, Inc.
Russell 2000® Index Due 2014 +    
     
Principal-Protected Trust Certificates Linked to the S&P 500®   NYSE Arca, Inc.
Index Due 2014 +    
     
3% Minimum Coupon Principal Protected Notes Based Upon the   NYSE Arca, Inc.
Dow Jones-AIG Commodity IndexSM-Excess Return 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.
S&P 500 Index® Due 2014 +    
     
3% Minimum Coupon Principal Protected Notes Based Upon the   NYSE Arca, Inc.
Russell 2000® Index Due 2014 +    
     
Buffer Notes Based Upon the S&P 500® Index Due 2011 +   NYSE Arca, Inc.
     
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 +    
     
Principal-Protected Trust Certificates Linked to the S&P 500®   NYSE Arca, Inc.
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.
Price of Gold Due 2014 +    
     
Buffer Notes Based Upon the S&P 500® Index Due 2011 +   NYSE Arca, Inc.
     
3% Minimum Coupon Principal Protected Notes Based Upon the   NYSE Arca, Inc.
Russell 2000® Index Due 2014 +    
     
Buffer Notes Based Upon the S&P 500® Index Due 2011 +   NYSE Arca, Inc.
     
2% Minimum Coupon Principal Protected Notes Based Upon the   NYSE Arca, Inc.
Price of Gold Due 2014 +    
     
2% Minimum Coupon Principal Protected Notes Based Upon the   NYSE Arca, Inc.
S&P 500® Index Due 2014 +    
     
Buffer Notes Based Upon the Dow Jones Industrial AverageSM   NYSE Arca, Inc.
Due 2011 +    
     
2% Minimum Coupon Principal Protected Notes Based Upon the   NYSE Arca, Inc.
Russell 2000® Index Due 2014 +    
     
Upturn Notes Based Upon the iShares® MSCI Emerging Markets   NYSE Arca, Inc.
Index Fund Due 2011 +    
     
2% Minimum Coupon Principal Protected Notes Based Upon the   NYSE Arca, Inc.
Price of Gold Due 2014 +    
     
Index LeAding StockmarkEt Return Securities (Index LASERSSM)   NYSE Arca, Inc.
Based Upon the S&P 500® Index Due 2012 +    
     
7.50% Tangible Dividend Enhanced Common Stock (T-DECS)   New York Stock Exchange


 

C-Tracks Exchange-Traded Notes Based on the Performance of       NYSE Arca, Inc.
the Citi Volatility Total Return Index Due November 12, 2020 +    
     
Warrants (expiring October 28, 2018)   New York Stock Exchange
     
Warrants (expiring January 4, 2019)   New York Stock Exchange

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