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C » Topics » Common Stock *

This excerpt taken from the C DEF 14A filed Jun 18, 2009.

Common Stock*

 

Identity of Group or Owner

    Shares Beneficially Owned     Percentage Owned  

State Street Bank and Trust Company

225 Franklin Street, Boston, MA 02110

     

•     As custodian for the Citigroup 401K Plans

    91,555,628 (1)   1.7 %

•     As trustee or discretionary advisor for certain unaffiliated accounts and collective investment funds

    245,293,611 (2)   4.5 %
            

Total

    336,849,239     6.2 %
            

 

(1) This information is as of December 31, 2008 and was provided by State Street. Under our 401K plan, participants have the right to direct the voting by State Street of shares of common stock. State Street is generally obligated to vote shares for which it has not received voting instructions in the same proportion as shares for which it has received voting instructions. On February 22, 2009, there were 96,329,650 shares beneficially owned by the 401K plans.
(2) This information is as of December 31, 2008 and was obtained from a Schedule 13G filed with the SEC on February 17, 2009 by State Street. State Street has sole voting power and shared dispositive power over these shares.
* In 2008 and 2009, Citigroup issued to the U.S. Treasury warrants to purchase 465,117,176 shares of common stock, of which warrants to purchase 360,075,159 shares of common stock are exercisable within 60 days. The exercise prices for the warrants are $10.61 and $17.85. The warrants exercisable within 60 days represent approximately 6.2% of Citigroup’s voting stock. However, none of the warrants have been exercised and the exercise prices are above Citigroup’s closing price on June 16, 2009 of $3.25. See Citigroup’s Annual Report on Form 10-K for the year ended December 31, 2008 filed on February 27, 2009 for additional information.

 

31

Table of Contents
This excerpt taken from the C DEF 14A filed Jun 18, 2009.

Common Stock(1)

 

Identity of Group or Owner

    Shares Beneficially Owned     Percentage Owned  

State Street Bank and Trust Company

225 Franklin Street, Boston, MA 02110

     

•    As Custodian for the Citigroup 401K Plans

    91,555,628 (2)   1.7 %

•    As trustee or discretionary advisor for certain unaffiliated accounts and collective investment funds

    245,293,611 (3)   4.5 %
            

Total

    336,849,239     6.2 %
            

 

(1) In 2008 and 2009, Citigroup issued to the U.S. Treasury warrants to purchase 465,117,176 shares of common stock, of which warrants to purchase 360,075,159 shares of common stock are exercisable within 60 days. The exercise prices for the warrants are $10.61 and $17.85. The warrants exercisable within 60 days represent approximately 6.2% of Citigroup’s voting stock. However, none of the warrants have been exercised and the exercise prices are above Citigroup’s closing price on June 16, 2009 of $3.25. See Citigroup’s Annual Report on Form 10-K for the year ended on December 31, 2008 filed on February 27, 2009 for additional information.
(2) This information is as of December 31, 2008 and was provided by State Street. Under our 401K plans, participants have the right to direct the voting by State Street of shares of common stock. State Street is generally obligated to vote shares for which it has not received voting instructions in the same proportion as shares for which it has received voting instructions. On February 22, 2009, there were 96,329,650 shares beneficially owned by the 401K plans.
(3) This information is as of December 31, 2008 and was obtained from a Schedule 13G filed with the SEC on February 17, 2009 by State Street. State Street has sole voting power and shared dispositive power over these shares.

 

26

Table of Contents
This excerpt taken from the C 8-K filed Jun 12, 2009.
Common Stock”) or (B) a subdivision of the outstanding shares of Common Stock (by reclassification or otherwise)), declared on the Common Stock since the immediately preceding Quarterly Dividend Payment Date, or, with respect to the first Quarterly Dividend Payment Date, since the first issuance of any share or fraction of a share of Series R Preferred Stock.  As used herein, the “
This excerpt taken from the C 8-K filed Jun 10, 2009.
Common Stock” means the Common Stock, par value $0.01 per share, of the Company.

“

EXCERPTS ON THIS PAGE:

DEF 14A
Jun 18, 2009
DEF 14A
Jun 18, 2009
8-K
Jun 12, 2009
8-K
Jun 10, 2009

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