EX-99.02 20 dex9902.htm LIST OF SECURITIES REGISTERD PURSUANT TO SECTION 12(B) AND SECTION 12(G) List of Securities Registerd 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 8.50% Non-Cumulative Preferred Stock, Series F

   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

Principal-Protected Equity Linked Notes Based Upon the S&P 500® Index Due 2009 *

   NYSE Arca, Inc.

Principal-Protected Equity Linked Notes Based Upon the Dow Jones Global Titans 50 Indexsm Due 2009 *

   NYSE Arca, Inc.

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

   NYSE Arca, Inc.

Principal-Protected Equity Linked Notes Based Upon the Dow Jones Industrial Averagesm Due 2009 *

   NYSE Arca, Inc.

Index LeAding StockmarkEt Return Securities (Index LASERSSM) Based Upon the Dow Jones EURO STOXX 50 IndexSM Due 2009 *

   NYSE Arca, Inc.

Principal-Protected Equity Linked Notes Based Upon the S&P 500® Index Due 2010 *

   NYSE Arca, Inc.

Principal-Protected Equity Linked Notes Based Upon the Dow Jones Industrial Averagesm Due 2010 *

   NYSE Arca, Inc.

Principal-Protected Equity Linked Notes Based Upon the Dow Jones Global Titans 50 IndexSM Due 2010 *

   NYSE Arca, Inc.

Principal-Protected Equity Linked Notes Based Upon the Russell 1000® Growth Index with Potential Supplemental Interest at Maturity Due 2009 +

   NYSE Arca, Inc.

Portfolio Income STrategic Opportunity NoteS Based Upon the CBOE S&P 500 BuyWrite Index Due 2010 +

   NYSE Arca, Inc.

Principal-Protected Equity Linked Notes Based Upon the Nikkei 225 Stock Average sm with Potential Supplemental Interest at Maturity Due 2009 +

   NYSE Arca, Inc.

Index LeAding StockmarkEt Return Securities (Index LASERSSM) Based Upon the S&P 500® Index Due 2010 +

   NYSE Arca, Inc.

Principal-Protected Equity Linked Notes Based Upon the Dow Jones Industrial Averagesm with Potential Supplemental Interest at Maturity Due 2010 +

   NYSE Arca, Inc.

Principal Protected Equity Linked Notes Based Upon the MSCI EAFE Index® Due 2009 +

   NYSE Arca, Inc.

Principal-Protected Equity Linked Notes Based Upon the S&P 100® Index Due 2010 +

   NYSE Arca, Inc.


Principal-Protected Trust Certificates Linked to the Dow Jones Industrial Averagesm and the Nikkei 225 Stock Averagesm Due 2010 +

   NYSE Arca, Inc.

Index LeAding StockmarkEt Return Securities (Index LASERSSM) Based Upon the U.S.-Europe-Japan Basket Due 2010 +

   NYSE Arca, Inc.

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 +

   NYSE Arca, Inc.

Principal-Protected Trust Certificates Linked to the Nikkei 225 Stock AverageSM Due 2011 +

   NYSE Arca, Inc.

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 +

   NYSE Arca, Inc.

Stock Market Upturn NotesSM Based Upon the U.S.- Europe-Japan Basket Due 2009 +

   NYSE Arca, Inc.

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 +

   NYSE Arca, Inc.

Premium mAndatory Callable Equity-linked secuRitieS (PACERSSM) Based Upon the Common Stock of eBay Inc. Due 2009 +

   NYSE Arca, Inc.

Stock Market Upturn NotesSM Based Upon the S&P 500® Index Due 2009 +

   NYSE Arca, Inc.

Equity LinKed Securities (ELKS®) Based Upon the Common Stock of NYSE Euronext Due 2009 +

   NYSE Arca, Inc.

Buffer Notes Based Upon the S&P 500® Index Due 2010 +

   NYSE Arca, Inc.

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 2014 +

   NYSE Arca, Inc.

Equity LinKed Securities (ELKS®) Based Upon the Common Stock of Apple Inc. Due 2009 +

   NYSE Arca, Inc.

Equity LinKed Securities (ELKS®) Based Upon the Common Stock of Time Warner Inc. Due 2009 +

   NYSE Arca, Inc.

Equity LinKed Securities (ELKS®) Based Upon the Common Stock of Exxon Mobil Corporation Due 2009 +

   NYSE Arca, Inc.

Equity LinKed Securities (ELKS®) Based Upon the Common Stock of Deere & Co. Due 2009 +

   NYSE Arca, Inc.


Equity LinKed Securities (ELKS®) Based Upon the Common Stock of Celgene Corporation Due 2009 +

   NYSE Arca, Inc.

Buffer Notes Based Upon the Financial Select Sector SPDR® Fund Due 2010 +

   NYSE Arca, Inc.

Equity LinKed Securities (ELKS®) Based Upon the Common Stock of Merck & Co., Inc. Due 2009 +

   NYSE Arca, Inc.

Equity LinKed Securities (ELKS®) Based Upon the Common Stock of Intel Corporation Due 2009 +

   NYSE Arca, Inc.

Equity LinKed Securities (ELKS®) Based Upon the Common Stock of Valero Energy Corp. Due 2009 +

   NYSE Arca, Inc.

Buffer Notes Based Upon the iShares® MSCI Emerging Markets Index Fund Due 2010 +

   NYSE Arca, Inc.

Buffer Notes Based Upon the Dow Jones Industrial Average Due 2010 +

   NYSE Arca, Inc.

Equity LinKed Securities (ELKS®) Based Upon the Common Stock of Schlumberger Limited Due 2009 +

   NYSE Arca, Inc.

Equity LinKed Securities (ELKS®) Based Upon the Common Stock of Research In Motion Limited Due 2009 +

   NYSE Arca, Inc.

Stock Market Upturn NotesSM Based Upon the MSCI EAFE Index® Due 2009 +

   NYSE Arca, Inc.

Strategic Market Access Notes Based Upon the Citi U.S. Equity Model Index Due 2011 +

   NYSE Arca, Inc.

Equity LinKed Securities (ELKS®) Based Upon the Common Stock of J. C. Penney Company, Inc. Due 2009 +

   NYSE Arca, Inc.

Equity LinKed Securities (ELKS®) Based Upon the Common Stock of Amazon.com, Inc. Due 2009 +

   NYSE Arca, Inc.

Stock Market Upturn NotesSM Based Upon the S&P 500® Index Due 2009 +

   NYSE Arca, Inc.

Principal-Protected Trust Certificates Linked to the S&P 500® Index Due 2013 +

   NYSE Arca, Inc.

Equity LinKed Securities (ELKS®) Based Upon the Common Stock of Cisco Systems, Inc. Due 2009 +

   NYSE Arca, Inc.

Equity LinKed Securities (ELKS®) Based Upon the Common Stock of International Game Technology Due 2009+

   NYSE Arca, Inc.

Equity LinKed Securities (ELKS®) Based Upon the American Depositary Receipts of Nokia Corporation Due 2009 +

   NYSE Arca, Inc.


Premium mAndatory Callable Equity-linked secuRitieS (PACERSSM) Based Upon the American Depositary Shares of Companhia Vale do Rio Doce Due 2009 +

   NYSE Arca, Inc.

Buffer Notes Based Upon the S&P 500 Index® Due 2010 +

   NYSE Arca, Inc.

Buffer Notes Based Upon the Financial Select Sector SPDR® Fund Due 2010 +

   NYSE Arca, Inc.

Principal-Protected Trust Certificates Linked to the Global Index Basket Due 2013 +

   NYSE Arca, Inc.

Equity LinKed Securities (ELKS®) Based Upon the Common Stock of Microsoft Corporation Due 2009 +

   NYSE Arca, Inc.

Equity LinKed Securities (ELKS®) Based Upon the Common Stock of Exxon Mobil Corporation Due 2009 +

   NYSE Arca, Inc.

Equity LinKed Securities (ELKS®) Based Upon the Common Stock of Barrick Gold Corporation Due 2009 +

   NYSE Arca, Inc.

Equity LinKed Securities (ELKS®) Based Upon the Common Stock of Halliburton Company Due 2009 +

   NYSE Arca, Inc.

Principal-Protected Trust Certificates Linked to the S&P 500® Index Due 2013 +

   NYSE Arca, Inc.

Equity LinKed Securities (ELKS®) Based Upon the Class A Common Stock of Google Inc. Due 2009 +

   NYSE Arca, Inc.

Equity LinKed Securities (ELKS®) Based Upon the Common Stock of Honeywell International Inc. Due 2009 +

   NYSE Arca, Inc.

Buffer Notes Based Upon the S&P 500® Index Due 2010 +

   NYSE Arca, Inc.

Buffer Notes Based Upon the S&P 500® Index Due

January 7, 2011 +

   NYSE Arca, Inc.

Buffer Notes Based Upon the S&P 500® Index Due February 4, 2011 +

   NYSE Arca, Inc.

Equity LinKed Securities (ELKS®) Based Upon the Common Stock of Johnson & Johnson Due 2010 +

   NYSE Arca, Inc.

Equity LinKed Securities (ELKS®) Based Upon the Common Stock of International Business Machines Corporation Due 2010 +

   NYSE Arca, Inc.

2% Minimum Coupon Principal Protected Notes Based Upon the Russell 2000® Index Due 2014 +

   NYSE Arca, Inc.


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. 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.