0001209191-16-151947.txt : 20161123 0001209191-16-151947.hdr.sgml : 20161123 20161123160203 ACCESSION NUMBER: 0001209191-16-151947 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161122 FILED AS OF DATE: 20161123 DATE AS OF CHANGE: 20161123 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CITIGROUP INC CENTRAL INDEX KEY: 0000831001 STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021] IRS NUMBER: 521568099 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 388 GREENWICH STREET CITY: NEW YORK STATE: NY ZIP: 10013 BUSINESS PHONE: 2125591000 MAIL ADDRESS: STREET 1: 388 GREENWICH STREET CITY: NEW YORK STATE: NY ZIP: 10013 FORMER COMPANY: FORMER CONFORMED NAME: TRAVELERS GROUP INC DATE OF NAME CHANGE: 19950519 FORMER COMPANY: FORMER CONFORMED NAME: TRAVELERS INC DATE OF NAME CHANGE: 19940103 FORMER COMPANY: FORMER CONFORMED NAME: PRIMERICA CORP /NEW/ DATE OF NAME CHANGE: 19920703 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Gerspach John C CENTRAL INDEX KEY: 0001321140 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09924 FILM NUMBER: 162016597 MAIL ADDRESS: STREET 1: C/O CORPORATE LAW DEP'T, CITIGOUP INC. STREET 2: 425 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10043 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2016-11-22 0 0000831001 CITIGROUP INC C 0001321140 Gerspach John C C/O CORPORATE LAW DEP'T, CITIGROUP INC. 153 EAST 53RD STREET, 19TH FLOOR NEW YORK NY 10022 0 1 0 0 Chief Financial Officer Common Stock 2016-11-22 4 M 0 150000 49.10 A 402269.09 D Common Stock 2016-11-22 4 F 0 141576.63 55.54 D 260692.46 D Common Stock 14890 I By 2015 GRAT 1 Common Stock 16909 I By 2015 GRAT 2 Common Stock 40000 I By 2016 GRAT 1 Common Stock 40000 I By 2016 GRAT 2 Employee Stock Options (Right to Buy) 49.10 2016-11-22 4 M 0 150000 0.00 D 2012-02-14 2017-02-14 Common Stock 150000 0 D On February 14, 2011, the Issuer awarded 150,000 employee stock options to the Reporting Person in accordance with Rule 16b-3. The transactions reported on this Form 4 are exempted pursuant to Rule 16b-3. Reflects the following distributions from the Reporting Person's current and expired Grantor Retained Annuity Trusts ("GRATs") to the Reporting Person's direct holdings that occurred since his last Form 4 filing on February 18, 2016: 27,330 shares from 2014 GRAT-1 on May 25, 2016; 25,110 shares from 2015 GRAT-1 on May 25, 2016; 23,091 shares from 2015 GRAT-2 on November 9, 2016; and 16,867 shares from 2014 GRAT-2 on November 13, 2016. Payment of exercise price and tax liability by withholding securities incident to the exercise of employee stock options issued in accordance with Rule 16b-3. On May 10, 2016, the Reporting Person transferred 40,000 shares to the 2016 GRAT-1, of which he is the Trustee. On November 9, 2016, the Reporting Person transferred 40,000 shares to the 2016 GRAT-2, of which he is the Trustee. John C. Gerspach by Joseph B. Wollard, Attorney-in-Fact 2016-11-23