organization · Reporting owner
CITIGROUP INVESTMENTS INC
Disclosed activity across 6 companies
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Patriot Coal CORPPCX · Entity 16920 | See footnote 1 | July 23, 2008 | August 01, 2008 |
| WESTERN ASSET CORPORATE LOAN FUND INC.TLI · Entity 16378 | See General Remarks. | September 30, 2004 | June 07, 2004 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Patriot Coal CORP
Report date July 23, 2008 · Filed August 01, 2008
Jointly reported with CITIGROUP INC, Citigroup Alternative Investments LLC, Citigroup Private Equity LP, Citigroup Capital Partners II 2006 Citigroup Investment, L.P., Citigroup Capital Partners II Employee Master Fund, L.P., STEPSTONE CAPITAL PARTNERS II ONSHORE L P, StepStone Capital Partners II Cayman Holdings, L.P.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Call OptionSEC Table II · derivative / convertible security · Conversion / exercise price $145.00 · Expires 2008-12-19 | IndirectSee Footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2008-07-23 · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · Balance Not disclosed F1: The reporting persons may be deemed as members of a group beneficially owning 10% or more of the common stock of the issuer within the meaning of Section 13(d) of the Securities Exchange Act of 1934. Except as set forth below, the reporting persons disclaim beneficial ownership of all securities other than those reported above, and this report shall not be deemed an admission that such a group exists or that the reporting person is the beneficial owner of the securities of such group for purposes of Section 16 or for any other purpose. F2: All options are currently exercisable. F3: The shares of Common Stock reported in Table I represent 247,602 shares held directly by Citigroup Capital Partners II 2006 Citigroup Investment, L.P., 278,126 shares held directly by Citigroup Capital Partners II Employee Master Fund, L.P., 125,566 shares held directly by Citigroup Capital Partners II Onshore, L.P., 157,330 shares held directly by Citigroup Capital Partners II Cayman Holdings, L.P. (collectively, the "CCP Funds") and 63,699 shares held directly by Citigroup Inc. ("Citigroup"). Citigroup Private Equity, LP ("Citigroup PE") is the general partner of each of the CCP Funds, Citigroup Alternative Investments LLC ("CAI") is its general partner and is a wholly owned subsidiary of Citigroup. F4: Each of the CCP Funds disclaims beneficial ownership of any shares of Common Stock held by any other person and each of Citigroup, CAI and Citigroup PE disclaims beneficial ownership of the shares held by the CCP Funds except to the extent of their pecuniary interest in the CCP Funds, if any. |
| Call OptionSEC Table II · derivative / convertible security · Conversion / exercise price $140.00 · Expires 2008-12-19 | IndirectSee Footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2008-07-23 · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · Balance Not disclosed F1: The reporting persons may be deemed as members of a group beneficially owning 10% or more of the common stock of the issuer within the meaning of Section 13(d) of the Securities Exchange Act of 1934. Except as set forth below, the reporting persons disclaim beneficial ownership of all securities other than those reported above, and this report shall not be deemed an admission that such a group exists or that the reporting person is the beneficial owner of the securities of such group for purposes of Section 16 or for any other purpose. F2: All options are currently exercisable. F3: The shares of Common Stock reported in Table I represent 247,602 shares held directly by Citigroup Capital Partners II 2006 Citigroup Investment, L.P., 278,126 shares held directly by Citigroup Capital Partners II Employee Master Fund, L.P., 125,566 shares held directly by Citigroup Capital Partners II Onshore, L.P., 157,330 shares held directly by Citigroup Capital Partners II Cayman Holdings, L.P. (collectively, the "CCP Funds") and 63,699 shares held directly by Citigroup Inc. ("Citigroup"). Citigroup Private Equity, LP ("Citigroup PE") is the general partner of each of the CCP Funds, Citigroup Alternative Investments LLC ("CAI") is its general partner and is a wholly owned subsidiary of Citigroup. F4: Each of the CCP Funds disclaims beneficial ownership of any shares of Common Stock held by any other person and each of Citigroup, CAI and Citigroup PE disclaims beneficial ownership of the shares held by the CCP Funds except to the extent of their pecuniary interest in the CCP Funds, if any. |
| Call OptionSEC Table II · derivative / convertible security · Conversion / exercise price $130.00 · Expires 2008-12-19 | IndirectSee Footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2008-07-23 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance Not disclosed F1: The reporting persons may be deemed as members of a group beneficially owning 10% or more of the common stock of the issuer within the meaning of Section 13(d) of the Securities Exchange Act of 1934. Except as set forth below, the reporting persons disclaim beneficial ownership of all securities other than those reported above, and this report shall not be deemed an admission that such a group exists or that the reporting person is the beneficial owner of the securities of such group for purposes of Section 16 or for any other purpose. F2: All options are currently exercisable. F3: The shares of Common Stock reported in Table I represent 247,602 shares held directly by Citigroup Capital Partners II 2006 Citigroup Investment, L.P., 278,126 shares held directly by Citigroup Capital Partners II Employee Master Fund, L.P., 125,566 shares held directly by Citigroup Capital Partners II Onshore, L.P., 157,330 shares held directly by Citigroup Capital Partners II Cayman Holdings, L.P. (collectively, the "CCP Funds") and 63,699 shares held directly by Citigroup Inc. ("Citigroup"). Citigroup Private Equity, LP ("Citigroup PE") is the general partner of each of the CCP Funds, Citigroup Alternative Investments LLC ("CAI") is its general partner and is a wholly owned subsidiary of Citigroup. F4: Each of the CCP Funds disclaims beneficial ownership of any shares of Common Stock held by any other person and each of Citigroup, CAI and Citigroup PE disclaims beneficial ownership of the shares held by the CCP Funds except to the extent of their pecuniary interest in the CCP Funds, if any. |
| Call OptionSEC Table II · derivative / convertible security · Conversion / exercise price $125.00 · Expires 2008-12-19 | IndirectSee Footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2008-07-23 · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · Balance Not disclosed F1: The reporting persons may be deemed as members of a group beneficially owning 10% or more of the common stock of the issuer within the meaning of Section 13(d) of the Securities Exchange Act of 1934. Except as set forth below, the reporting persons disclaim beneficial ownership of all securities other than those reported above, and this report shall not be deemed an admission that such a group exists or that the reporting person is the beneficial owner of the securities of such group for purposes of Section 16 or for any other purpose. F2: All options are currently exercisable. F3: The shares of Common Stock reported in Table I represent 247,602 shares held directly by Citigroup Capital Partners II 2006 Citigroup Investment, L.P., 278,126 shares held directly by Citigroup Capital Partners II Employee Master Fund, L.P., 125,566 shares held directly by Citigroup Capital Partners II Onshore, L.P., 157,330 shares held directly by Citigroup Capital Partners II Cayman Holdings, L.P. (collectively, the "CCP Funds") and 63,699 shares held directly by Citigroup Inc. ("Citigroup"). Citigroup Private Equity, LP ("Citigroup PE") is the general partner of each of the CCP Funds, Citigroup Alternative Investments LLC ("CAI") is its general partner and is a wholly owned subsidiary of Citigroup. F4: Each of the CCP Funds disclaims beneficial ownership of any shares of Common Stock held by any other person and each of Citigroup, CAI and Citigroup PE disclaims beneficial ownership of the shares held by the CCP Funds except to the extent of their pecuniary interest in the CCP Funds, if any. |
| Call OptionSEC Table II · derivative / convertible security · Conversion / exercise price $120.00 · Expires 2008-12-19 | IndirectSee Footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2008-07-23 · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · Balance Not disclosed F1: The reporting persons may be deemed as members of a group beneficially owning 10% or more of the common stock of the issuer within the meaning of Section 13(d) of the Securities Exchange Act of 1934. Except as set forth below, the reporting persons disclaim beneficial ownership of all securities other than those reported above, and this report shall not be deemed an admission that such a group exists or that the reporting person is the beneficial owner of the securities of such group for purposes of Section 16 or for any other purpose. F2: All options are currently exercisable. F3: The shares of Common Stock reported in Table I represent 247,602 shares held directly by Citigroup Capital Partners II 2006 Citigroup Investment, L.P., 278,126 shares held directly by Citigroup Capital Partners II Employee Master Fund, L.P., 125,566 shares held directly by Citigroup Capital Partners II Onshore, L.P., 157,330 shares held directly by Citigroup Capital Partners II Cayman Holdings, L.P. (collectively, the "CCP Funds") and 63,699 shares held directly by Citigroup Inc. ("Citigroup"). Citigroup Private Equity, LP ("Citigroup PE") is the general partner of each of the CCP Funds, Citigroup Alternative Investments LLC ("CAI") is its general partner and is a wholly owned subsidiary of Citigroup. F4: Each of the CCP Funds disclaims beneficial ownership of any shares of Common Stock held by any other person and each of Citigroup, CAI and Citigroup PE disclaims beneficial ownership of the shares held by the CCP Funds except to the extent of their pecuniary interest in the CCP Funds, if any. |
| Call OptionSEC Table II · derivative / convertible security · Conversion / exercise price $115.00 · Expires 2008-12-19 | IndirectSee Footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2008-07-23 · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · Balance Not disclosed F1: The reporting persons may be deemed as members of a group beneficially owning 10% or more of the common stock of the issuer within the meaning of Section 13(d) of the Securities Exchange Act of 1934. Except as set forth below, the reporting persons disclaim beneficial ownership of all securities other than those reported above, and this report shall not be deemed an admission that such a group exists or that the reporting person is the beneficial owner of the securities of such group for purposes of Section 16 or for any other purpose. F2: All options are currently exercisable. F3: The shares of Common Stock reported in Table I represent 247,602 shares held directly by Citigroup Capital Partners II 2006 Citigroup Investment, L.P., 278,126 shares held directly by Citigroup Capital Partners II Employee Master Fund, L.P., 125,566 shares held directly by Citigroup Capital Partners II Onshore, L.P., 157,330 shares held directly by Citigroup Capital Partners II Cayman Holdings, L.P. (collectively, the "CCP Funds") and 63,699 shares held directly by Citigroup Inc. ("Citigroup"). Citigroup Private Equity, LP ("Citigroup PE") is the general partner of each of the CCP Funds, Citigroup Alternative Investments LLC ("CAI") is its general partner and is a wholly owned subsidiary of Citigroup. F4: Each of the CCP Funds disclaims beneficial ownership of any shares of Common Stock held by any other person and each of Citigroup, CAI and Citigroup PE disclaims beneficial ownership of the shares held by the CCP Funds except to the extent of their pecuniary interest in the CCP Funds, if any. |
| Call OptionSEC Table II · derivative / convertible security · Conversion / exercise price $110.00 · Expires 2008-12-19 | IndirectSee Footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2008-07-23 · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · Balance Not disclosed F1: The reporting persons may be deemed as members of a group beneficially owning 10% or more of the common stock of the issuer within the meaning of Section 13(d) of the Securities Exchange Act of 1934. Except as set forth below, the reporting persons disclaim beneficial ownership of all securities other than those reported above, and this report shall not be deemed an admission that such a group exists or that the reporting person is the beneficial owner of the securities of such group for purposes of Section 16 or for any other purpose. F2: All options are currently exercisable. F3: The shares of Common Stock reported in Table I represent 247,602 shares held directly by Citigroup Capital Partners II 2006 Citigroup Investment, L.P., 278,126 shares held directly by Citigroup Capital Partners II Employee Master Fund, L.P., 125,566 shares held directly by Citigroup Capital Partners II Onshore, L.P., 157,330 shares held directly by Citigroup Capital Partners II Cayman Holdings, L.P. (collectively, the "CCP Funds") and 63,699 shares held directly by Citigroup Inc. ("Citigroup"). Citigroup Private Equity, LP ("Citigroup PE") is the general partner of each of the CCP Funds, Citigroup Alternative Investments LLC ("CAI") is its general partner and is a wholly owned subsidiary of Citigroup. F4: Each of the CCP Funds disclaims beneficial ownership of any shares of Common Stock held by any other person and each of Citigroup, CAI and Citigroup PE disclaims beneficial ownership of the shares held by the CCP Funds except to the extent of their pecuniary interest in the CCP Funds, if any. |
| Call OptionSEC Table II · derivative / convertible security · Conversion / exercise price $145.00 · Expires 2008-08-15 | IndirectSee Footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2008-07-23 · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · Balance Not disclosed F1: The reporting persons may be deemed as members of a group beneficially owning 10% or more of the common stock of the issuer within the meaning of Section 13(d) of the Securities Exchange Act of 1934. Except as set forth below, the reporting persons disclaim beneficial ownership of all securities other than those reported above, and this report shall not be deemed an admission that such a group exists or that the reporting person is the beneficial owner of the securities of such group for purposes of Section 16 or for any other purpose. F2: All options are currently exercisable. F3: The shares of Common Stock reported in Table I represent 247,602 shares held directly by Citigroup Capital Partners II 2006 Citigroup Investment, L.P., 278,126 shares held directly by Citigroup Capital Partners II Employee Master Fund, L.P., 125,566 shares held directly by Citigroup Capital Partners II Onshore, L.P., 157,330 shares held directly by Citigroup Capital Partners II Cayman Holdings, L.P. (collectively, the "CCP Funds") and 63,699 shares held directly by Citigroup Inc. ("Citigroup"). Citigroup Private Equity, LP ("Citigroup PE") is the general partner of each of the CCP Funds, Citigroup Alternative Investments LLC ("CAI") is its general partner and is a wholly owned subsidiary of Citigroup. F4: Each of the CCP Funds disclaims beneficial ownership of any shares of Common Stock held by any other person and each of Citigroup, CAI and Citigroup PE disclaims beneficial ownership of the shares held by the CCP Funds except to the extent of their pecuniary interest in the CCP Funds, if any. |
| Call OptionSEC Table II · derivative / convertible security · Conversion / exercise price $135.00 · Expires 2008-08-15 | IndirectSee Footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2008-07-23 · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · Balance Not disclosed F1: The reporting persons may be deemed as members of a group beneficially owning 10% or more of the common stock of the issuer within the meaning of Section 13(d) of the Securities Exchange Act of 1934. Except as set forth below, the reporting persons disclaim beneficial ownership of all securities other than those reported above, and this report shall not be deemed an admission that such a group exists or that the reporting person is the beneficial owner of the securities of such group for purposes of Section 16 or for any other purpose. F2: All options are currently exercisable. F3: The shares of Common Stock reported in Table I represent 247,602 shares held directly by Citigroup Capital Partners II 2006 Citigroup Investment, L.P., 278,126 shares held directly by Citigroup Capital Partners II Employee Master Fund, L.P., 125,566 shares held directly by Citigroup Capital Partners II Onshore, L.P., 157,330 shares held directly by Citigroup Capital Partners II Cayman Holdings, L.P. (collectively, the "CCP Funds") and 63,699 shares held directly by Citigroup Inc. ("Citigroup"). Citigroup Private Equity, LP ("Citigroup PE") is the general partner of each of the CCP Funds, Citigroup Alternative Investments LLC ("CAI") is its general partner and is a wholly owned subsidiary of Citigroup. F4: Each of the CCP Funds disclaims beneficial ownership of any shares of Common Stock held by any other person and each of Citigroup, CAI and Citigroup PE disclaims beneficial ownership of the shares held by the CCP Funds except to the extent of their pecuniary interest in the CCP Funds, if any. |
| Call OptionSEC Table II · derivative / convertible security · Conversion / exercise price $130.00 · Expires 2008-08-15 | IndirectSee Footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2008-07-23 · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · Balance Not disclosed F1: The reporting persons may be deemed as members of a group beneficially owning 10% or more of the common stock of the issuer within the meaning of Section 13(d) of the Securities Exchange Act of 1934. Except as set forth below, the reporting persons disclaim beneficial ownership of all securities other than those reported above, and this report shall not be deemed an admission that such a group exists or that the reporting person is the beneficial owner of the securities of such group for purposes of Section 16 or for any other purpose. F2: All options are currently exercisable. F3: The shares of Common Stock reported in Table I represent 247,602 shares held directly by Citigroup Capital Partners II 2006 Citigroup Investment, L.P., 278,126 shares held directly by Citigroup Capital Partners II Employee Master Fund, L.P., 125,566 shares held directly by Citigroup Capital Partners II Onshore, L.P., 157,330 shares held directly by Citigroup Capital Partners II Cayman Holdings, L.P. (collectively, the "CCP Funds") and 63,699 shares held directly by Citigroup Inc. ("Citigroup"). Citigroup Private Equity, LP ("Citigroup PE") is the general partner of each of the CCP Funds, Citigroup Alternative Investments LLC ("CAI") is its general partner and is a wholly owned subsidiary of Citigroup. F4: Each of the CCP Funds disclaims beneficial ownership of any shares of Common Stock held by any other person and each of Citigroup, CAI and Citigroup PE disclaims beneficial ownership of the shares held by the CCP Funds except to the extent of their pecuniary interest in the CCP Funds, if any. |
| Call OptionSEC Table II · derivative / convertible security · Conversion / exercise price $125.00 · Expires 2008-08-15 | IndirectSee Footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2008-07-23 · row 12
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 12 · Balance Not disclosed F1: The reporting persons may be deemed as members of a group beneficially owning 10% or more of the common stock of the issuer within the meaning of Section 13(d) of the Securities Exchange Act of 1934. Except as set forth below, the reporting persons disclaim beneficial ownership of all securities other than those reported above, and this report shall not be deemed an admission that such a group exists or that the reporting person is the beneficial owner of the securities of such group for purposes of Section 16 or for any other purpose. F2: All options are currently exercisable. F3: The shares of Common Stock reported in Table I represent 247,602 shares held directly by Citigroup Capital Partners II 2006 Citigroup Investment, L.P., 278,126 shares held directly by Citigroup Capital Partners II Employee Master Fund, L.P., 125,566 shares held directly by Citigroup Capital Partners II Onshore, L.P., 157,330 shares held directly by Citigroup Capital Partners II Cayman Holdings, L.P. (collectively, the "CCP Funds") and 63,699 shares held directly by Citigroup Inc. ("Citigroup"). Citigroup Private Equity, LP ("Citigroup PE") is the general partner of each of the CCP Funds, Citigroup Alternative Investments LLC ("CAI") is its general partner and is a wholly owned subsidiary of Citigroup. F4: Each of the CCP Funds disclaims beneficial ownership of any shares of Common Stock held by any other person and each of Citigroup, CAI and Citigroup PE disclaims beneficial ownership of the shares held by the CCP Funds except to the extent of their pecuniary interest in the CCP Funds, if any. |
| Call OptionSEC Table II · derivative / convertible security · Conversion / exercise price $110.00 · Expires 2008-08-15 | IndirectSee Footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2008-07-23 · row 13
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 13 · Balance Not disclosed F1: The reporting persons may be deemed as members of a group beneficially owning 10% or more of the common stock of the issuer within the meaning of Section 13(d) of the Securities Exchange Act of 1934. Except as set forth below, the reporting persons disclaim beneficial ownership of all securities other than those reported above, and this report shall not be deemed an admission that such a group exists or that the reporting person is the beneficial owner of the securities of such group for purposes of Section 16 or for any other purpose. F2: All options are currently exercisable. F3: The shares of Common Stock reported in Table I represent 247,602 shares held directly by Citigroup Capital Partners II 2006 Citigroup Investment, L.P., 278,126 shares held directly by Citigroup Capital Partners II Employee Master Fund, L.P., 125,566 shares held directly by Citigroup Capital Partners II Onshore, L.P., 157,330 shares held directly by Citigroup Capital Partners II Cayman Holdings, L.P. (collectively, the "CCP Funds") and 63,699 shares held directly by Citigroup Inc. ("Citigroup"). Citigroup Private Equity, LP ("Citigroup PE") is the general partner of each of the CCP Funds, Citigroup Alternative Investments LLC ("CAI") is its general partner and is a wholly owned subsidiary of Citigroup. F4: Each of the CCP Funds disclaims beneficial ownership of any shares of Common Stock held by any other person and each of Citigroup, CAI and Citigroup PE disclaims beneficial ownership of the shares held by the CCP Funds except to the extent of their pecuniary interest in the CCP Funds, if any. |
| Call OptionSEC Table II · derivative / convertible security · Conversion / exercise price $105.00 · Expires 2008-12-19 | Indirectsee Footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2008-07-23 · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · Balance Not disclosed F1: The reporting persons may be deemed as members of a group beneficially owning 10% or more of the common stock of the issuer within the meaning of Section 13(d) of the Securities Exchange Act of 1934. Except as set forth below, the reporting persons disclaim beneficial ownership of all securities other than those reported above, and this report shall not be deemed an admission that such a group exists or that the reporting person is the beneficial owner of the securities of such group for purposes of Section 16 or for any other purpose. F2: All options are currently exercisable. F3: The shares of Common Stock reported in Table I represent 247,602 shares held directly by Citigroup Capital Partners II 2006 Citigroup Investment, L.P., 278,126 shares held directly by Citigroup Capital Partners II Employee Master Fund, L.P., 125,566 shares held directly by Citigroup Capital Partners II Onshore, L.P., 157,330 shares held directly by Citigroup Capital Partners II Cayman Holdings, L.P. (collectively, the "CCP Funds") and 63,699 shares held directly by Citigroup Inc. ("Citigroup"). Citigroup Private Equity, LP ("Citigroup PE") is the general partner of each of the CCP Funds, Citigroup Alternative Investments LLC ("CAI") is its general partner and is a wholly owned subsidiary of Citigroup. F4: Each of the CCP Funds disclaims beneficial ownership of any shares of Common Stock held by any other person and each of Citigroup, CAI and Citigroup PE disclaims beneficial ownership of the shares held by the CCP Funds except to the extent of their pecuniary interest in the CCP Funds, if any. |
Filing footnotes · ownership attribution and instrument terms
F1: The reporting persons may be deemed as members of a group beneficially owning 10% or more of the common stock of the issuer within the meaning of Section 13(d) of the Securities Exchange Act of 1934. Except as set forth below, the reporting persons disclaim beneficial ownership of all securities other than those reported above, and this report shall not be deemed an admission that such a group exists or that the reporting person is the beneficial owner of the securities of such group for purposes of Section 16 or for any other purpose.
F2: All options are currently exercisable.
F3: The shares of Common Stock reported in Table I represent 247,602 shares held directly by Citigroup Capital Partners II 2006 Citigroup Investment, L.P., 278,126 shares held directly by Citigroup Capital Partners II Employee Master Fund, L.P., 125,566 shares held directly by Citigroup Capital Partners II Onshore, L.P., 157,330 shares held directly by Citigroup Capital Partners II Cayman Holdings, L.P. (collectively, the "CCP Funds") and 63,699 shares held directly by Citigroup Inc. ("Citigroup"). Citigroup Private Equity, LP ("Citigroup PE") is the general partner of each of the CCP Funds, Citigroup Alternative Investments LLC ("CAI") is its general partner and is a wholly owned subsidiary of Citigroup.
F4: Each of the CCP Funds disclaims beneficial ownership of any shares of Common Stock held by any other person and each of Citigroup, CAI and Citigroup PE disclaims beneficial ownership of the shares held by the CCP Funds except to the extent of their pecuniary interest in the CCP Funds, if any.
WESTERN ASSET CORPORATE LOAN FUND INC.
Report date September 30, 2004 · Filed June 07, 2004
Jointly reported with CITIGROUP INC, CITIGROUP ALTERNATIVE INVESTMENTS INC, SMITH BARNEY FUND MANAGEMENT LLC, TRAVELERS ASSET MANAGEMENT INTERNATIONAL CO LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Subsidiary | 0 |
Reported balance
After 2004-04-01 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2004-04-01 · Other · Disposed 1,333,334 · Balance 0 F2: This Form 5 is being filed to report certain transactions that occurred during the Issuer's fiscal year that ends September 30, 2004 that have not previously been reported on Form 4. The amount of shares beneficially owned reflects holdings as of April 1, 2004. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of their pecuniary interests therein. F1: See General Remarks. F3: The chief executive officer of Smith Barney Fund Management LLC ("SB Fund"), an indirect wholly owned subsidiary of Citigroup Inc. ("Citigroup"), serves on the Issuer's Board of Directors. In addition, certain employees of Citigroup Asset Management, a division of Citigroup, serve as executive officers for the Issuer. SB Fund is investment adviser to the Issuer. Travelers Asset Management International Company LLC ("TAMIC"), an indirect wholly owned subsidiary of Citigroup, is subinvestment adviser to the Issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: See General Remarks.
F2: This Form 5 is being filed to report certain transactions that occurred during the Issuer's fiscal year that ends September 30, 2004 that have not previously been reported on Form 4. The amount of shares beneficially owned reflects holdings as of April 1, 2004. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of their pecuniary interests therein.
F3: The chief executive officer of Smith Barney Fund Management LLC ("SB Fund"), an indirect wholly owned subsidiary of Citigroup Inc. ("Citigroup"), serves on the Issuer's Board of Directors. In addition, certain employees of Citigroup Asset Management, a division of Citigroup, serve as executive officers for the Issuer. SB Fund is investment adviser to the Issuer. Travelers Asset Management International Company LLC ("TAMIC"), an indirect wholly owned subsidiary of Citigroup, is subinvestment adviser to the Issuer.
Past disclosures · reporting ended (4)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
DT INDUSTRIES INC
Report date June 27, 2004 · Filed June 07, 2004
Jointly reported with CITIGROUP INC, CITIGROUP ALTERNATIVE INVESTMENTS INC, ASSOCIATED MADISON COMPANIES INC, CITIGROUP INSURANCE HOLDING CORP, TRAVELERS INSURANCE CO
Section 16 reporting ended · disclosed 2004-06-07. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Subsidiary | 751,279 |
Reported balance
After 2004-04-01 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2004-04-01 · Other · Disposed 1,037,480 · Balance 751,279 F2: This Form 5 is being filed to report certain transactions that occurred during the Issuer's fiscal year that ends June 27, 2004 that have not previously been reported on Form 4. The amount of shares beneficially owned reflects holdings as of April 1, 2004. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of their pecuniary interests therein. F1: See General Remarks. F3: Represents 751,279 shares of the Issuer's common stock (the "Common Stock") and 84,000 shares of the Issuer's 7.16% Convertible Preferred Stock (the "Preferred Stock") directly beneficially owned by The Travelers Insurance Company ("TIC") as of April 1, 2004. TIC is a wholly owned subsidiary of Citigroup Insurance Holding Corporation ("Citigroup Insurance"), which is a wholly owned subsidiary of Associated Madison Companies, Inc. ("Associated Madison"), which is a wholly owned subsidiary of Citigroup Inc. ("Citigroup"). |
| 7.16% Convertible Preferred SecuritiesSEC Table II · derivative / convertible security | IndirectBy Subsidiary | 84,000 |
Reported balance
After 2004-04-01 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2004-04-01 · Other · Disposed 116,000 · Balance 84,000 F4: The Preferred Stock has an expiration date of May 31, 2008 and is immediately convertible into approximately 300,000 shares of Common Stock at a conversion price of $14.00 per share. The Common Stock that TIC has a right to acquire upon the exercise of the Preferred Stock is subject to change from time to time, pursuant to the terms of an Exchange Agreement between TIC and the Issuer. F2: This Form 5 is being filed to report certain transactions that occurred during the Issuer's fiscal year that ends June 27, 2004 that have not previously been reported on Form 4. The amount of shares beneficially owned reflects holdings as of April 1, 2004. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of their pecuniary interests therein. F1: See General Remarks. F3: Represents 751,279 shares of the Issuer's common stock (the "Common Stock") and 84,000 shares of the Issuer's 7.16% Convertible Preferred Stock (the "Preferred Stock") directly beneficially owned by The Travelers Insurance Company ("TIC") as of April 1, 2004. TIC is a wholly owned subsidiary of Citigroup Insurance Holding Corporation ("Citigroup Insurance"), which is a wholly owned subsidiary of Associated Madison Companies, Inc. ("Associated Madison"), which is a wholly owned subsidiary of Citigroup Inc. ("Citigroup"). |
Filing footnotes · ownership attribution and instrument terms
F1: See General Remarks.
F2: This Form 5 is being filed to report certain transactions that occurred during the Issuer's fiscal year that ends June 27, 2004 that have not previously been reported on Form 4. The amount of shares beneficially owned reflects holdings as of April 1, 2004. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of their pecuniary interests therein.
F3: Represents 751,279 shares of the Issuer's common stock (the "Common Stock") and 84,000 shares of the Issuer's 7.16% Convertible Preferred Stock (the "Preferred Stock") directly beneficially owned by The Travelers Insurance Company ("TIC") as of April 1, 2004. TIC is a wholly owned subsidiary of Citigroup Insurance Holding Corporation ("Citigroup Insurance"), which is a wholly owned subsidiary of Associated Madison Companies, Inc. ("Associated Madison"), which is a wholly owned subsidiary of Citigroup Inc. ("Citigroup").
F4: The Preferred Stock has an expiration date of May 31, 2008 and is immediately convertible into approximately 300,000 shares of Common Stock at a conversion price of $14.00 per share. The Common Stock that TIC has a right to acquire upon the exercise of the Preferred Stock is subject to change from time to time, pursuant to the terms of an Exchange Agreement between TIC and the Issuer.
FOSTER WHEELER LTD
Report date February 07, 2005 · Filed February 09, 2005
Jointly reported with CITIGROUP INC, Citigroup Global Markets Holdings Inc., Citigroup Financial Products Inc., Citigroup Global Markets Inc., Tribeca Global Management LLC
Section 16 reporting ended · disclosed 2005-02-09. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Shares, $0.01 par valueSEC Table I · non-derivative | IndirectBy Subsidiary | 4,157,155 |
Reported balance
After 2005-02-07 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2005-02-07 · Sale · Disposed 166,419 · Balance 4,157,155 F1: The Common Shares, $0.01 par value ("Common"), reported in Table I represent (i) 4,000,000 Common directly beneficially owned by Citigroup Global Markets Inc. ("CGM") and (ii) 157,155 Common directly beneficially owned by Tribeca Global Management LLC ("Tribeca"). F2: Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGM. Citigroup Global Markets Holdings Inc. ("CGM Holdings") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGM Holdings. CFP, CGM Holdings and Citigroup disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interests therein. F3: Citigroup Investments Inc. ("CII") is the sole member of Tribeca. Citigroup is the sole stockholder of CII. CII and Citigroup disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein. |
| Series B Convertible Preferred Shares, $0.01 par valueSEC Table II · derivative / convertible security | IndirectBy Subsidiary | 4 |
Reported balance
Holding disclosure · report date 2005-02-07 · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · Balance 4 F4: The Series B Convertible Preferred Shares, $0.01 par value ("Preferred"), are convertible at a rate of 1 Preferred for 65 Common. F5: There is no expiration date on the right to convert Preferred into Common. F6: The Preferred reported in Table II represent 4 Preferred directly beneficially owned by CGM. F2: Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGM. Citigroup Global Markets Holdings Inc. ("CGM Holdings") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGM Holdings. CFP, CGM Holdings and Citigroup disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interests therein. |
| Class A WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $9.38 · Expires 2009-09-24 | IndirectBy Subsidiary | 400 |
Reported balance
Holding disclosure · report date 2005-02-07 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance 400 F7: The Class A Warrants reported in Table II represent 400 Class A Warrants directly beneficially owned by CGM. F2: Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGM. Citigroup Global Markets Holdings Inc. ("CGM Holdings") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGM Holdings. CFP, CGM Holdings and Citigroup disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interests therein. |
| Class B WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $9.38 · Expires 2007-09-24 | IndirectBy Subsidiary | 29 |
Reported balance
Holding disclosure · report date 2005-02-07 · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · Balance 29 F8: The Class B Warrants reported in Table II represent 29 Class B Warrants directly beneficially owned by CGM. F2: Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGM. Citigroup Global Markets Holdings Inc. ("CGM Holdings") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGM Holdings. CFP, CGM Holdings and Citigroup disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interests therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The Common Shares, $0.01 par value ("Common"), reported in Table I represent (i) 4,000,000 Common directly beneficially owned by Citigroup Global Markets Inc. ("CGM") and (ii) 157,155 Common directly beneficially owned by Tribeca Global Management LLC ("Tribeca").
F2: Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGM. Citigroup Global Markets Holdings Inc. ("CGM Holdings") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGM Holdings. CFP, CGM Holdings and Citigroup disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interests therein.
F3: Citigroup Investments Inc. ("CII") is the sole member of Tribeca. Citigroup is the sole stockholder of CII. CII and Citigroup disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein.
F4: The Series B Convertible Preferred Shares, $0.01 par value ("Preferred"), are convertible at a rate of 1 Preferred for 65 Common.
F5: There is no expiration date on the right to convert Preferred into Common.
F6: The Preferred reported in Table II represent 4 Preferred directly beneficially owned by CGM.
F7: The Class A Warrants reported in Table II represent 400 Class A Warrants directly beneficially owned by CGM.
F8: The Class B Warrants reported in Table II represent 29 Class B Warrants directly beneficially owned by CGM.
MAX RE CAPITAL LTD
Report date December 31, 2004 · Filed June 21, 2005 · Amendment
Jointly reported with CITIGROUP INC, CITIGROUP ALTERNATIVE INVESTMENTS INC, ASSOCIATED MADISON COMPANIES INC, CITIGROUP INSURANCE HOLDING CORP, TRAVELERS INSURANCE CO, TRAVELERS LIFE & ANNUITY CO, Primerica Life Insurance CO
Section 16 reporting ended · disclosed 2005-06-21. Current position is not established by this disclosure.
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
No balance rows disclosed in this filing.
ON2 TECHNOLOGIES INC
Report date December 31, 2004 · Filed June 14, 2004
Jointly reported with CITIGROUP INC, TRAVELERS INSURANCE CO, CITIGROUP INSURANCE HOLDING CORP, ASSOCIATED MADISON COMPANIES INC, CITIGROUP ALTERNATIVE INVESTMENTS INC
Section 16 reporting ended · disclosed 2004-06-14. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Series C-IV Preferred StockSEC Table II · derivative / convertible security | IndirectBy Subsidiary | 0 |
Reported balance
After 2004-06-04 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2004-06-04 · Other · Disposed 1,849,057 · Balance 0 F2: The Series C-IV Preferred Stock had an initial conversion price of $2.65 per share. As a result of certain anti-dilution adjustments, the current conversion price is $1.7549 per share. The Series C-IV Preferred Stock is convertible immediately and has no expiration date. F3: This Form 5 is being filed to report certain transactions that occurred during the Issuer's fiscal year that ends December 31, 2004 that have not previously been reported on Form 4. The amount of shares beneficially owned reflects holdings as of June 4, 2004. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of their pecuniary interests therein. F1: See General Remarks. F8: Represents 820,911 shares of the Issuer's Series C-VI Preferred Stock, 5,357,143 shares of the Issuer's Series C-VI Warrants and 400,000 shares of the Issuer's Series A Preferred Stock directly beneficially owned by The Travelers Insurance Company ("TIC") as of June 4, 2004. TIC is a wholly owned subsidiary of Citigroup Insurance Holding Corporation ("Citigroup Insurance"), which is a wholly owned subsidiary of Associated Madison Companies, Inc. ("Associated Madison"), which is a wholly owned subsidiary of Citigroup Inc. ("Citigroup"). |
| Series C-V Preferred StockSEC Table II · derivative / convertible security | IndirectBy Subsidiary | 0 |
Reported balance
After 2004-06-04 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2004-06-04 · Other · Disposed 2,176,876 · Balance 0 F4: The Series C-V Preferred Stock had an initial conversion price of $1.244 per share. As a result of certain anti-dilution adjustments, the current conversion price is $0.9047 per share. The Series C-V Preferred Stock is convertible immediately and has no expiration date. F3: This Form 5 is being filed to report certain transactions that occurred during the Issuer's fiscal year that ends December 31, 2004 that have not previously been reported on Form 4. The amount of shares beneficially owned reflects holdings as of June 4, 2004. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of their pecuniary interests therein. F1: See General Remarks. F8: Represents 820,911 shares of the Issuer's Series C-VI Preferred Stock, 5,357,143 shares of the Issuer's Series C-VI Warrants and 400,000 shares of the Issuer's Series A Preferred Stock directly beneficially owned by The Travelers Insurance Company ("TIC") as of June 4, 2004. TIC is a wholly owned subsidiary of Citigroup Insurance Holding Corporation ("Citigroup Insurance"), which is a wholly owned subsidiary of Associated Madison Companies, Inc. ("Associated Madison"), which is a wholly owned subsidiary of Citigroup Inc. ("Citigroup"). |
| Series C-VI Preferred StockSEC Table II · derivative / convertible security | IndirectBy Subsidiary | 766,090 |
Reported balance
Holding disclosure · report date 2004-12-31 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance 766,090 F5: The Series C-VI Preferred Stock had an initial conversion price of $0.5601 per share. As a result of certain anti-dilution adjustments, the current conversion price is $0.5226 per share. The Series C-VI Preferred Stock is convertible immediately and has no expiration date. F8: Represents 820,911 shares of the Issuer's Series C-VI Preferred Stock, 5,357,143 shares of the Issuer's Series C-VI Warrants and 400,000 shares of the Issuer's Series A Preferred Stock directly beneficially owned by The Travelers Insurance Company ("TIC") as of June 4, 2004. TIC is a wholly owned subsidiary of Citigroup Insurance Holding Corporation ("Citigroup Insurance"), which is a wholly owned subsidiary of Associated Madison Companies, Inc. ("Associated Madison"), which is a wholly owned subsidiary of Citigroup Inc. ("Citigroup"). |
| Series C-VI WarrantsSEC Table II · derivative / convertible security | IndirectBy Subsidiary | 5,357,143 |
Reported balance
Holding disclosure · report date 2004-12-31 · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · Balance 5,357,143 F6: The Series C-VI Warrants have an exercise price of $0.56 per share, are exercisable immediately and have an expiration date of August 9, 2005. F8: Represents 820,911 shares of the Issuer's Series C-VI Preferred Stock, 5,357,143 shares of the Issuer's Series C-VI Warrants and 400,000 shares of the Issuer's Series A Preferred Stock directly beneficially owned by The Travelers Insurance Company ("TIC") as of June 4, 2004. TIC is a wholly owned subsidiary of Citigroup Insurance Holding Corporation ("Citigroup Insurance"), which is a wholly owned subsidiary of Associated Madison Companies, Inc. ("Associated Madison"), which is a wholly owned subsidiary of Citigroup Inc. ("Citigroup"). |
| Series A Preferred StockSEC Table II · derivative / convertible security | IndirectBy Subsidiary | 400,000 |
Reported balance
Holding disclosure · report date 2004-12-31 · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · Balance 400,000 F7: The Series A Preferred Stock has a conversion price of $7.50 per share, is convertible immediately and has no expiration date. F8: Represents 820,911 shares of the Issuer's Series C-VI Preferred Stock, 5,357,143 shares of the Issuer's Series C-VI Warrants and 400,000 shares of the Issuer's Series A Preferred Stock directly beneficially owned by The Travelers Insurance Company ("TIC") as of June 4, 2004. TIC is a wholly owned subsidiary of Citigroup Insurance Holding Corporation ("Citigroup Insurance"), which is a wholly owned subsidiary of Associated Madison Companies, Inc. ("Associated Madison"), which is a wholly owned subsidiary of Citigroup Inc. ("Citigroup"). |
Filing footnotes · ownership attribution and instrument terms
F1: See General Remarks.
F2: The Series C-IV Preferred Stock had an initial conversion price of $2.65 per share. As a result of certain anti-dilution adjustments, the current conversion price is $1.7549 per share. The Series C-IV Preferred Stock is convertible immediately and has no expiration date.
F3: This Form 5 is being filed to report certain transactions that occurred during the Issuer's fiscal year that ends December 31, 2004 that have not previously been reported on Form 4. The amount of shares beneficially owned reflects holdings as of June 4, 2004. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of their pecuniary interests therein.
F4: The Series C-V Preferred Stock had an initial conversion price of $1.244 per share. As a result of certain anti-dilution adjustments, the current conversion price is $0.9047 per share. The Series C-V Preferred Stock is convertible immediately and has no expiration date.
F5: The Series C-VI Preferred Stock had an initial conversion price of $0.5601 per share. As a result of certain anti-dilution adjustments, the current conversion price is $0.5226 per share. The Series C-VI Preferred Stock is convertible immediately and has no expiration date.
F6: The Series C-VI Warrants have an exercise price of $0.56 per share, are exercisable immediately and have an expiration date of August 9, 2005.
F7: The Series A Preferred Stock has a conversion price of $7.50 per share, is convertible immediately and has no expiration date.
F8: Represents 820,911 shares of the Issuer's Series C-VI Preferred Stock, 5,357,143 shares of the Issuer's Series C-VI Warrants and 400,000 shares of the Issuer's Series A Preferred Stock directly beneficially owned by The Travelers Insurance Company ("TIC") as of June 4, 2004. TIC is a wholly owned subsidiary of Citigroup Insurance Holding Corporation ("Citigroup Insurance"), which is a wholly owned subsidiary of Associated Madison Companies, Inc. ("Associated Madison"), which is a wholly owned subsidiary of Citigroup Inc. ("Citigroup").
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| February 07, 2005 Filed Feb 9, 2005 20:14 UTC | FOSTER WHEELER LTD FWHLF.OB · Entity 17567 | SaleCommon Shares, $0.01 par value | 166,419 | $16.46 | $2,739,256.74 |
DisclosureSEC source: 0001181431-05-008181 · rrd67972.xml · nonDerivative · entry 1 CITIGROUP INC · CIK 0000831001 · See General Remarks. CITIGROUP GLOBAL MARKETS HOLDINGS INC · CIK 0000200245 · See General Remarks. CITIGROUP FINANCIAL PRODUCTS INC · CIK 0000700691 · See General Remarks. CITIGROUP GLOBAL MARKETS INC · CIK 0000315030 · See General Remarks. CITIGROUP INVESTMENTS INC · CIK 0001205828 · See General Remarks. Tribeca Global Management LLC · CIK 0001085674 · See General Remarks. Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 4,157,155 F1 · balance_after: The Common Shares, $0.01 par value ("Common"), reported in Table I represent (i) 4,000,000 Common directly beneficially owned by Citigroup Global Markets Inc. ("CGM") and (ii) 157,155 Common directly beneficially owned by Tribeca Global Management LLC ("Tribeca"). F2 · ownership.nature: Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGM. Citigroup Global Markets Holdings Inc. ("CGM Holdings") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGM Holdings. CFP, CGM Holdings and Citigroup disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interests therein. F3 · ownership.nature: Citigroup Investments Inc. ("CII") is the sole member of Tribeca. Citigroup is the sole stockholder of CII. CII and Citigroup disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein. Read SEC document |
| February 04, 2005 Filed Feb 8, 2005 17:47 UTC | FOSTER WHEELER LTD FWHLF.OB · Entity 17567 | SaleCommon Shares, $0.01 par value | 342,500 | $15.88 | $5,438,900.00 |
DisclosureSEC source: 0001181431-05-007732 · rrd67714.xml · nonDerivative · entry 1 CITIGROUP INC · CIK 0000831001 · 10% owner CITIGROUP GLOBAL MARKETS HOLDINGS INC · CIK 0000200245 · 10% owner CITIGROUP FINANCIAL PRODUCTS INC · CIK 0000700691 · 10% owner CITIGROUP GLOBAL MARKETS INC · CIK 0000315030 · 10% owner CITIGROUP INVESTMENTS INC · CIK 0001205828 · 10% owner Tribeca Global Management LLC · CIK 0001085674 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 4,323,574 F1 · balance_after: The Common Shares, $0.01 par value ("Common"), reported in Table I represent (i) 4,166,419 Common directly beneficially owned by Citigroup Global Markets Inc. ("CGM") and (ii) 157,155 Common directly beneficially owned by Tribeca Global Management LLC ("Tribeca"). F2 · ownership.nature: Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGM. Citigroup Global Markets Holdings Inc. ("CGM Holdings") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGM Holdings. CFP, CGM Holdings and Citigroup disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interests therein. F3 · ownership.nature: Citigroup Investments Inc. ("CII") is the sole member of Tribeca. Citigroup is the sole stockholder of CII. CII and Citigroup disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein. Read SEC document |
| February 03, 2005 Filed Feb 4, 2005 23:54 UTC | FOSTER WHEELER LTD FWHLF.OB · Entity 17567 | SaleCommon Shares, $0.01 par value | 250,000 | $15.57 | $3,892,500.00 |
DisclosureSEC source: 0001181431-05-007357 · rrd67410.xml · nonDerivative · entry 2 CITIGROUP INC · CIK 0000831001 · 10% owner CITIGROUP GLOBAL MARKETS HOLDINGS INC · CIK 0000200245 · 10% owner CITIGROUP FINANCIAL PRODUCTS INC · CIK 0000700691 · 10% owner CITIGROUP GLOBAL MARKETS INC · CIK 0000315030 · 10% owner CITIGROUP INVESTMENTS INC · CIK 0001205828 · 10% owner Tribeca Global Management LLC · CIK 0001085674 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 4,666,074 F1 · balance_after: The Common Shares, $0.01 par value ("Common"), reported in Table I represent Common beneficially owned by Citigroup Global Markets Inc. ("CGM") and Tribeca Global Management LLC ("Tribeca"). The 4,916,074 Common beneficially owned after the reported transaction on February 2, 2005 represent (i) 4,758,919 Common directly beneficially owned by CGM and (ii) 157,155 Common directly beneficially owned by Tribeca. The 4,666,074 Common beneficially owned after the reported transaction on February 3, 2005 represent (i) 4,508,919 Common directly beneficially owned by CGM and (ii) 157,155 Common directly beneficially owned by Tribeca. F2 · ownership.nature: Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGM. Citigroup Global Markets Holdings Inc. ("CGM Holdings") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGM Holdings. CFP, CGM Holdings and Citigroup disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interests therein. F3 · ownership.nature: Citigroup Investments Inc. ("CII") is the sole member of Tribeca. Citigroup is the sole stockholder of CII. CII and Citigroup disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein. Read SEC document |
| February 02, 2005 Filed Feb 4, 2005 23:54 UTC | FOSTER WHEELER LTD FWHLF.OB · Entity 17567 | SaleCommon Shares, $0.01 par value | 147,500 | $15.34 | $2,262,650.00 |
DisclosureSEC source: 0001181431-05-007357 · rrd67410.xml · nonDerivative · entry 1 CITIGROUP INC · CIK 0000831001 · 10% owner CITIGROUP GLOBAL MARKETS HOLDINGS INC · CIK 0000200245 · 10% owner CITIGROUP FINANCIAL PRODUCTS INC · CIK 0000700691 · 10% owner CITIGROUP GLOBAL MARKETS INC · CIK 0000315030 · 10% owner CITIGROUP INVESTMENTS INC · CIK 0001205828 · 10% owner Tribeca Global Management LLC · CIK 0001085674 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 4,916,074 F1 · balance_after: The Common Shares, $0.01 par value ("Common"), reported in Table I represent Common beneficially owned by Citigroup Global Markets Inc. ("CGM") and Tribeca Global Management LLC ("Tribeca"). The 4,916,074 Common beneficially owned after the reported transaction on February 2, 2005 represent (i) 4,758,919 Common directly beneficially owned by CGM and (ii) 157,155 Common directly beneficially owned by Tribeca. The 4,666,074 Common beneficially owned after the reported transaction on February 3, 2005 represent (i) 4,508,919 Common directly beneficially owned by CGM and (ii) 157,155 Common directly beneficially owned by Tribeca. F2 · ownership.nature: Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGM. Citigroup Global Markets Holdings Inc. ("CGM Holdings") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGM Holdings. CFP, CGM Holdings and Citigroup disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interests therein. F3 · ownership.nature: Citigroup Investments Inc. ("CII") is the sole member of Tribeca. Citigroup is the sole stockholder of CII. CII and Citigroup disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein. Read SEC document |
| February 01, 2005 Filed Feb 2, 2005 22:26 UTC | FOSTER WHEELER LTD FWHLF.OB · Entity 17567 | SaleCommon Shares, $0.01 par value | 11,500 | $15.20 | $174,800.00 |
DisclosureSEC source: 0001181431-05-006519 · rrd66900.xml · nonDerivative · entry 3 CITIGROUP INC · CIK 0000831001 · 10% owner CITIGROUP GLOBAL MARKETS HOLDINGS INC · CIK 0000200245 · 10% owner CITIGROUP FINANCIAL PRODUCTS INC · CIK 0000700691 · 10% owner CITIGROUP GLOBAL MARKETS INC · CIK 0000315030 · 10% owner CITIGROUP INVESTMENTS INC · CIK 0001205828 · 10% owner Tribeca Global Management LLC · CIK 0001085674 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 5,063,574 F1 · balance_after: The Common Shares ("Common") reported in Table I represent Common beneficially owned by Citigroup Global Markets Inc ("CGM") and Tribeca Global Management LLC ("Tribeca"). The 5,100,074 Common beneficially owned after the reported transaction on January 31, 2005 represent (i) 4,917,919 Common directly beneficially owned by CGM and (ii) 182,155 Common directly beneficially owned by Tribeca; the 5,075,074 Common beneficially owned after the first reported transaction on February 1, 2005 represent (i) 4,917,919 Common directly beneficially owned by CGM and (ii) 157,155 Common directly beneficially owned by Tribeca; and the 5,063,574 Common directly beneficially owned after the second reported transaction on February 1, 2005 represent (i) 4,906,419 Common directly beneficially owned by CGM and (ii) 157,155 Common directly beneficially owned by Tribeca. F2 · ownership.nature: Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGM. Citigroup Global Markets Holdings Inc. ("CGM Holdings") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGM Holdings. CFP, CGM Holdings and Citigroup disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interests therein. F3 · ownership.nature: Citigroup Investments Inc. ("CII") is the sole member of Tribeca. Citigroup is the sole stockholder of CII. CII and Citigroup disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein. Read SEC document |
| February 01, 2005 Filed Feb 2, 2005 22:26 UTC | FOSTER WHEELER LTD FWHLF.OB · Entity 17567 | SaleCommon Shares, $0.01 par value | 25,000 | $15.00 | $375,000.00 |
DisclosureSEC source: 0001181431-05-006519 · rrd66900.xml · nonDerivative · entry 2 CITIGROUP INC · CIK 0000831001 · 10% owner CITIGROUP GLOBAL MARKETS HOLDINGS INC · CIK 0000200245 · 10% owner CITIGROUP FINANCIAL PRODUCTS INC · CIK 0000700691 · 10% owner CITIGROUP GLOBAL MARKETS INC · CIK 0000315030 · 10% owner CITIGROUP INVESTMENTS INC · CIK 0001205828 · 10% owner Tribeca Global Management LLC · CIK 0001085674 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 5,075,074 F1 · balance_after: The Common Shares ("Common") reported in Table I represent Common beneficially owned by Citigroup Global Markets Inc ("CGM") and Tribeca Global Management LLC ("Tribeca"). The 5,100,074 Common beneficially owned after the reported transaction on January 31, 2005 represent (i) 4,917,919 Common directly beneficially owned by CGM and (ii) 182,155 Common directly beneficially owned by Tribeca; the 5,075,074 Common beneficially owned after the first reported transaction on February 1, 2005 represent (i) 4,917,919 Common directly beneficially owned by CGM and (ii) 157,155 Common directly beneficially owned by Tribeca; and the 5,063,574 Common directly beneficially owned after the second reported transaction on February 1, 2005 represent (i) 4,906,419 Common directly beneficially owned by CGM and (ii) 157,155 Common directly beneficially owned by Tribeca. F2 · ownership.nature: Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGM. Citigroup Global Markets Holdings Inc. ("CGM Holdings") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGM Holdings. CFP, CGM Holdings and Citigroup disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interests therein. F3 · ownership.nature: Citigroup Investments Inc. ("CII") is the sole member of Tribeca. Citigroup is the sole stockholder of CII. CII and Citigroup disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein. Read SEC document |
| January 31, 2005 Filed Feb 2, 2005 22:26 UTC | FOSTER WHEELER LTD FWHLF.OB · Entity 17567 | SaleCommon Shares, $0.01 par value | 25,000 | $14.68 | $367,000.00 |
DisclosureSEC source: 0001181431-05-006519 · rrd66900.xml · nonDerivative · entry 1 CITIGROUP INC · CIK 0000831001 · 10% owner CITIGROUP GLOBAL MARKETS HOLDINGS INC · CIK 0000200245 · 10% owner CITIGROUP FINANCIAL PRODUCTS INC · CIK 0000700691 · 10% owner CITIGROUP GLOBAL MARKETS INC · CIK 0000315030 · 10% owner CITIGROUP INVESTMENTS INC · CIK 0001205828 · 10% owner Tribeca Global Management LLC · CIK 0001085674 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 5,100,074 F1 · balance_after: The Common Shares ("Common") reported in Table I represent Common beneficially owned by Citigroup Global Markets Inc ("CGM") and Tribeca Global Management LLC ("Tribeca"). The 5,100,074 Common beneficially owned after the reported transaction on January 31, 2005 represent (i) 4,917,919 Common directly beneficially owned by CGM and (ii) 182,155 Common directly beneficially owned by Tribeca; the 5,075,074 Common beneficially owned after the first reported transaction on February 1, 2005 represent (i) 4,917,919 Common directly beneficially owned by CGM and (ii) 157,155 Common directly beneficially owned by Tribeca; and the 5,063,574 Common directly beneficially owned after the second reported transaction on February 1, 2005 represent (i) 4,906,419 Common directly beneficially owned by CGM and (ii) 157,155 Common directly beneficially owned by Tribeca. F2 · ownership.nature: Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGM. Citigroup Global Markets Holdings Inc. ("CGM Holdings") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGM Holdings. CFP, CGM Holdings and Citigroup disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interests therein. F3 · ownership.nature: Citigroup Investments Inc. ("CII") is the sole member of Tribeca. Citigroup is the sole stockholder of CII. CII and Citigroup disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein. Read SEC document |
| January 11, 2005 Filed Jan 13, 2005 20:42 UTC | FOSTER WHEELER LTD FWHLF.OB · Entity 17567 | ConversionSeries B Convertible Preferred Shares, $0.01 par value · Derivative | 3,187 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001181431-05-002816 · rrd64675.xml · derivative · entry 2 CITIGROUP INC · CIK 0000831001 · 10% owner CITIGROUP GLOBAL MARKETS HOLDINGS INC · CIK 0000200245 · 10% owner CITIGROUP FINANCIAL PRODUCTS INC · CIK 0000700691 · 10% owner CITIGROUP GLOBAL MARKETS INC · CIK 0000315030 · 10% owner CITIGROUP INVESTMENTS INC · CIK 0001205828 · 10% owner Tribeca Global Management LLC · CIK 0001085674 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 4 Underlying: Common Shares, $0.01 par value · 207,155 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Reporting Persons converted 3,187 Series B Convertible Preferred Shares ("Preferred") on January 11, 2005 at a conversion rate of 1 share of Preferred for 65 Common Shares ("Common"), resulting in an acquisition of 207,155 Common. F1 · price: The Reporting Persons converted 3,187 Series B Convertible Preferred Shares ("Preferred") on January 11, 2005 at a conversion rate of 1 share of Preferred for 65 Common Shares ("Common"), resulting in an acquisition of 207,155 Common. F5 · derivative.expiration_date: There is no expiration date on the right to convert Preferred into Common. F6 · balance_after: The Preferred reported in Table II represent 4 Preferred directly beneficially owned by CGM. F3 · ownership.nature: Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGM. Citigroup Global Markets Holdings Inc. ("CGM Holdings") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGM Holdings. CFP, CGM Holdings and Citigroup disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interests therein. Read SEC document |
| January 11, 2005 Filed Jan 13, 2005 20:42 UTC | FOSTER WHEELER LTD FWHLF.OB · Entity 17567 | ConversionCommon Shares, $0.01 par value | 207,155 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001181431-05-002816 · rrd64675.xml · nonDerivative · entry 1 CITIGROUP INC · CIK 0000831001 · 10% owner CITIGROUP GLOBAL MARKETS HOLDINGS INC · CIK 0000200245 · 10% owner CITIGROUP FINANCIAL PRODUCTS INC · CIK 0000700691 · 10% owner CITIGROUP GLOBAL MARKETS INC · CIK 0000315030 · 10% owner CITIGROUP INVESTMENTS INC · CIK 0001205828 · 10% owner Tribeca Global Management LLC · CIK 0001085674 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 5,125,074 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The Reporting Persons converted 3,187 Series B Convertible Preferred Shares ("Preferred") on January 11, 2005 at a conversion rate of 1 share of Preferred for 65 Common Shares ("Common"), resulting in an acquisition of 207,155 Common. F2 · balance_after: The Common reported in Table I represent (i) 4,917,919 Common directly beneficially owned by Citigroup Global Markets Inc ("CGM") and (ii) 207,155 Common directly beneficially owned by Tribeca Global Management LLC ("Tribeca"). F3 · ownership.nature: Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGM. Citigroup Global Markets Holdings Inc. ("CGM Holdings") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGM Holdings. CFP, CGM Holdings and Citigroup disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interests therein. F4 · ownership.nature: Citigroup Investments Inc. ("CII") is the sole member of Tribeca. Citigroup is the sole stockholder of CII. CII and Citigroup disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein. Read SEC document |
| December 01, 2004 Filed Jan 7, 2005 21:58 UTC | FOSTER WHEELER LTD FWHLF.OB · Entity 17567 | ConversionSeries B Convertible Preferred Shares, $0.01 par value · Derivative | 69,949 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001181431-05-002105 · rrd62950.xml · derivative · entry 17 CITIGROUP INC · CIK 0000831001 · 10% owner CITIGROUP GLOBAL MARKETS HOLDINGS INC · CIK 0000200245 · 10% owner CITIGROUP FINANCIAL PRODUCTS INC · CIK 0000700691 · 10% owner CITIGROUP GLOBAL MARKETS INC · CIK 0000315030 · 10% owner CITIGROUP INVESTMENTS INC · CIK 0001205828 · 10% owner Tribeca Global Management LLC · CIK 0001085674 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 3,191 Underlying: Common Shares, $0.01 par value · 4,546,685 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · security: On November 29, 2004, the Issuer's shareholders approved a series of proposals which included (i) increasing the number of Common authorized for issuance from 160,000,000 to 1,475,908,957 Common, (ii) reducing the par value of the Common and the Series B Convertible Preferred Shares ("Preferred") from $1.00 to $0.01 per share and (iii) a 1-for-20 Common consolidation. As a result of such actions, (a) the 73,140 Preferred held by the Reporting Persons became optionally convertible into 4,754,100 Common, (b) the Preferred ceased to have voting rights, except in limited circumstances as required under Bermuda law and the Company's by-laws and (c) the Class A Warrants and the Class B Warrants became exercisable into Common in accordance with their terms on or after September 24, 2005. F5 · derivative.exercise_price: The Reporting Persons converted 69,949 Preferred on December 1, 2004 at a conversion rate of 1 share of Preferred for 65 Common, resulting in an acquisition of 4,546,685 Common. F5 · price: The Reporting Persons converted 69,949 Preferred on December 1, 2004 at a conversion rate of 1 share of Preferred for 65 Common, resulting in an acquisition of 4,546,685 Common. F7 · derivative.expiration_date: There is no expiration date on the right to convert the Preferred into Common. F6 · balance_after: The Preferred reported in Table I and Table II represent (i) 3,187 Preferred directly beneficially owned by Tribeca and (ii) 4 Preferred directly beneficially owned by CGM at the end of the Issuer's fiscal year. The Preferred reported in Table I represent securities held prior to November 29, 2004, the date on which the Preferred became optionally convertible into Common. See Note 4 above. F2 · ownership.nature: Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGM. Citigroup Global Markets Holdings Inc. ("CGM Holdings") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGM Holdings. CFP, CGM Holdings and Citigroup disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interests therein. F3 · ownership.nature: Citigroup Investments Inc. ("CII") is the sole member of Tribeca. Citigroup is the sole stockholder of CII. CII and Citigroup disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein. Read SEC document |
| December 01, 2004 Filed Jan 7, 2005 21:58 UTC | FOSTER WHEELER LTD FWHLF.OB · Entity 17567 | ConversionCommon Shares, $0.01 par value | 4,546,685 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001181431-05-002105 · rrd62950.xml · nonDerivative · entry 9 CITIGROUP INC · CIK 0000831001 · 10% owner CITIGROUP GLOBAL MARKETS HOLDINGS INC · CIK 0000200245 · 10% owner CITIGROUP FINANCIAL PRODUCTS INC · CIK 0000700691 · 10% owner CITIGROUP GLOBAL MARKETS INC · CIK 0000315030 · 10% owner CITIGROUP INVESTMENTS INC · CIK 0001205828 · 10% owner Tribeca Global Management LLC · CIK 0001085674 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 4,917,919 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · security: On November 29, 2004, the Issuer's shareholders approved a series of proposals which included (i) increasing the number of Common authorized for issuance from 160,000,000 to 1,475,908,957 Common, (ii) reducing the par value of the Common and the Series B Convertible Preferred Shares ("Preferred") from $1.00 to $0.01 per share and (iii) a 1-for-20 Common consolidation. As a result of such actions, (a) the 73,140 Preferred held by the Reporting Persons became optionally convertible into 4,754,100 Common, (b) the Preferred ceased to have voting rights, except in limited circumstances as required under Bermuda law and the Company's by-laws and (c) the Class A Warrants and the Class B Warrants became exercisable into Common in accordance with their terms on or after September 24, 2005. F5 · price: The Reporting Persons converted 69,949 Preferred on December 1, 2004 at a conversion rate of 1 share of Preferred for 65 Common, resulting in an acquisition of 4,546,685 Common. F1 · balance_after: The Common Shares ("Common") reported in Table I represent 4,917,919 Common directly beneficially owned by Citigroup Global Markets Inc ("CGM") at the end of Foster Wheeler Ltd.'s ("the Issuer") fiscal year. The sales reported in Table I represent sales effected by Tribeca Global Management LLC ("Tribeca"). F2 · ownership.nature: Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGM. Citigroup Global Markets Holdings Inc. ("CGM Holdings") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGM Holdings. CFP, CGM Holdings and Citigroup disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interests therein. Read SEC document |
| November 29, 2004 Filed Jan 7, 2005 21:58 UTC | FOSTER WHEELER LTD FWHLF.OB · Entity 17567 | OtherSeries B Convertible Preferred Shares, $0.01 par value · Derivative | 73,140 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001181431-05-002105 · rrd62950.xml · derivative · entry 16 CITIGROUP INC · CIK 0000831001 · 10% owner CITIGROUP GLOBAL MARKETS HOLDINGS INC · CIK 0000200245 · 10% owner CITIGROUP FINANCIAL PRODUCTS INC · CIK 0000700691 · 10% owner CITIGROUP GLOBAL MARKETS INC · CIK 0000315030 · 10% owner CITIGROUP INVESTMENTS INC · CIK 0001205828 · 10% owner Tribeca Global Management LLC · CIK 0001085674 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 3,191 Underlying: Common Shares, $0.01 par value · 4,754,100 shares Expires not disclosed F4 · security: On November 29, 2004, the Issuer's shareholders approved a series of proposals which included (i) increasing the number of Common authorized for issuance from 160,000,000 to 1,475,908,957 Common, (ii) reducing the par value of the Common and the Series B Convertible Preferred Shares ("Preferred") from $1.00 to $0.01 per share and (iii) a 1-for-20 Common consolidation. As a result of such actions, (a) the 73,140 Preferred held by the Reporting Persons became optionally convertible into 4,754,100 Common, (b) the Preferred ceased to have voting rights, except in limited circumstances as required under Bermuda law and the Company's by-laws and (c) the Class A Warrants and the Class B Warrants became exercisable into Common in accordance with their terms on or after September 24, 2005. F4 · derivative.exercise_price: On November 29, 2004, the Issuer's shareholders approved a series of proposals which included (i) increasing the number of Common authorized for issuance from 160,000,000 to 1,475,908,957 Common, (ii) reducing the par value of the Common and the Series B Convertible Preferred Shares ("Preferred") from $1.00 to $0.01 per share and (iii) a 1-for-20 Common consolidation. As a result of such actions, (a) the 73,140 Preferred held by the Reporting Persons became optionally convertible into 4,754,100 Common, (b) the Preferred ceased to have voting rights, except in limited circumstances as required under Bermuda law and the Company's by-laws and (c) the Class A Warrants and the Class B Warrants became exercisable into Common in accordance with their terms on or after September 24, 2005. F4 · date: On November 29, 2004, the Issuer's shareholders approved a series of proposals which included (i) increasing the number of Common authorized for issuance from 160,000,000 to 1,475,908,957 Common, (ii) reducing the par value of the Common and the Series B Convertible Preferred Shares ("Preferred") from $1.00 to $0.01 per share and (iii) a 1-for-20 Common consolidation. As a result of such actions, (a) the 73,140 Preferred held by the Reporting Persons became optionally convertible into 4,754,100 Common, (b) the Preferred ceased to have voting rights, except in limited circumstances as required under Bermuda law and the Company's by-laws and (c) the Class A Warrants and the Class B Warrants became exercisable into Common in accordance with their terms on or after September 24, 2005. F4 · kind: On November 29, 2004, the Issuer's shareholders approved a series of proposals which included (i) increasing the number of Common authorized for issuance from 160,000,000 to 1,475,908,957 Common, (ii) reducing the par value of the Common and the Series B Convertible Preferred Shares ("Preferred") from $1.00 to $0.01 per share and (iii) a 1-for-20 Common consolidation. As a result of such actions, (a) the 73,140 Preferred held by the Reporting Persons became optionally convertible into 4,754,100 Common, (b) the Preferred ceased to have voting rights, except in limited circumstances as required under Bermuda law and the Company's by-laws and (c) the Class A Warrants and the Class B Warrants became exercisable into Common in accordance with their terms on or after September 24, 2005. F4 · price: On November 29, 2004, the Issuer's shareholders approved a series of proposals which included (i) increasing the number of Common authorized for issuance from 160,000,000 to 1,475,908,957 Common, (ii) reducing the par value of the Common and the Series B Convertible Preferred Shares ("Preferred") from $1.00 to $0.01 per share and (iii) a 1-for-20 Common consolidation. As a result of such actions, (a) the 73,140 Preferred held by the Reporting Persons became optionally convertible into 4,754,100 Common, (b) the Preferred ceased to have voting rights, except in limited circumstances as required under Bermuda law and the Company's by-laws and (c) the Class A Warrants and the Class B Warrants became exercisable into Common in accordance with their terms on or after September 24, 2005. F7 · derivative.expiration_date: There is no expiration date on the right to convert the Preferred into Common. F6 · balance_after: The Preferred reported in Table I and Table II represent (i) 3,187 Preferred directly beneficially owned by Tribeca and (ii) 4 Preferred directly beneficially owned by CGM at the end of the Issuer's fiscal year. The Preferred reported in Table I represent securities held prior to November 29, 2004, the date on which the Preferred became optionally convertible into Common. See Note 4 above. F2 · ownership.nature: Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGM. Citigroup Global Markets Holdings Inc. ("CGM Holdings") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGM Holdings. CFP, CGM Holdings and Citigroup disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interests therein. F3 · ownership.nature: Citigroup Investments Inc. ("CII") is the sole member of Tribeca. Citigroup is the sole stockholder of CII. CII and Citigroup disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein. Read SEC document |
| October 08, 2004 Filed Jan 7, 2005 21:58 UTC | FOSTER WHEELER LTD FWHLF.OB · Entity 17567 | SaleSeries B Convertible Preferred Shares, $1.00 par value | 250 | $591.50 | $147,875.00 |
DisclosureSEC source: 0001181431-05-002105 · rrd62950.xml · nonDerivative · entry 15 CITIGROUP INC · CIK 0000831001 · 10% owner CITIGROUP GLOBAL MARKETS HOLDINGS INC · CIK 0000200245 · 10% owner CITIGROUP FINANCIAL PRODUCTS INC · CIK 0000700691 · 10% owner CITIGROUP GLOBAL MARKETS INC · CIK 0000315030 · 10% owner CITIGROUP INVESTMENTS INC · CIK 0001205828 · 10% owner Tribeca Global Management LLC · CIK 0001085674 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 3,191 F6 · balance_after: The Preferred reported in Table I and Table II represent (i) 3,187 Preferred directly beneficially owned by Tribeca and (ii) 4 Preferred directly beneficially owned by CGM at the end of the Issuer's fiscal year. The Preferred reported in Table I represent securities held prior to November 29, 2004, the date on which the Preferred became optionally convertible into Common. See Note 4 above. F2 · ownership.nature: Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGM. Citigroup Global Markets Holdings Inc. ("CGM Holdings") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGM Holdings. CFP, CGM Holdings and Citigroup disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interests therein. F3 · ownership.nature: Citigroup Investments Inc. ("CII") is the sole member of Tribeca. Citigroup is the sole stockholder of CII. CII and Citigroup disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein. Read SEC document |
| October 08, 2004 Filed Jan 7, 2005 21:58 UTC | FOSTER WHEELER LTD FWHLF.OB · Entity 17567 | SaleCommon Shares, $1.00 par value | 50,000 | $0.48 | $23,750.00 |
DisclosureSEC source: 0001181431-05-002105 · rrd62950.xml · nonDerivative · entry 8 CITIGROUP INC · CIK 0000831001 · 10% owner CITIGROUP GLOBAL MARKETS HOLDINGS INC · CIK 0000200245 · 10% owner CITIGROUP FINANCIAL PRODUCTS INC · CIK 0000700691 · 10% owner CITIGROUP GLOBAL MARKETS INC · CIK 0000315030 · 10% owner CITIGROUP INVESTMENTS INC · CIK 0001205828 · 10% owner Tribeca Global Management LLC · CIK 0001085674 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 4,917,919 F1 · balance_after: The Common Shares ("Common") reported in Table I represent 4,917,919 Common directly beneficially owned by Citigroup Global Markets Inc ("CGM") at the end of Foster Wheeler Ltd.'s ("the Issuer") fiscal year. The sales reported in Table I represent sales effected by Tribeca Global Management LLC ("Tribeca"). F2 · ownership.nature: Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGM. Citigroup Global Markets Holdings Inc. ("CGM Holdings") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGM Holdings. CFP, CGM Holdings and Citigroup disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interests therein. F3 · ownership.nature: Citigroup Investments Inc. ("CII") is the sole member of Tribeca. Citigroup is the sole stockholder of CII. CII and Citigroup disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein. Read SEC document |
| October 07, 2004 Filed Jan 7, 2005 21:58 UTC | FOSTER WHEELER LTD FWHLF.OB · Entity 17567 | SaleSeries B Convertible Preferred Shares, $1.00 par value | 500 | $585.00 | $292,500.00 |
DisclosureSEC source: 0001181431-05-002105 · rrd62950.xml · nonDerivative · entry 14 CITIGROUP INC · CIK 0000831001 · 10% owner CITIGROUP GLOBAL MARKETS HOLDINGS INC · CIK 0000200245 · 10% owner CITIGROUP FINANCIAL PRODUCTS INC · CIK 0000700691 · 10% owner CITIGROUP GLOBAL MARKETS INC · CIK 0000315030 · 10% owner CITIGROUP INVESTMENTS INC · CIK 0001205828 · 10% owner Tribeca Global Management LLC · CIK 0001085674 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 3,191 F6 · balance_after: The Preferred reported in Table I and Table II represent (i) 3,187 Preferred directly beneficially owned by Tribeca and (ii) 4 Preferred directly beneficially owned by CGM at the end of the Issuer's fiscal year. The Preferred reported in Table I represent securities held prior to November 29, 2004, the date on which the Preferred became optionally convertible into Common. See Note 4 above. F2 · ownership.nature: Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGM. Citigroup Global Markets Holdings Inc. ("CGM Holdings") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGM Holdings. CFP, CGM Holdings and Citigroup disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interests therein. F3 · ownership.nature: Citigroup Investments Inc. ("CII") is the sole member of Tribeca. Citigroup is the sole stockholder of CII. CII and Citigroup disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein. Read SEC document |
| October 06, 2004 Filed Jan 7, 2005 21:58 UTC | FOSTER WHEELER LTD FWHLF.OB · Entity 17567 | SaleSeries B Convertible Preferred Shares, $1.00 par value | 100 | $585.00 | $58,500.00 |
DisclosureSEC source: 0001181431-05-002105 · rrd62950.xml · nonDerivative · entry 13 CITIGROUP INC · CIK 0000831001 · 10% owner CITIGROUP GLOBAL MARKETS HOLDINGS INC · CIK 0000200245 · 10% owner CITIGROUP FINANCIAL PRODUCTS INC · CIK 0000700691 · 10% owner CITIGROUP GLOBAL MARKETS INC · CIK 0000315030 · 10% owner CITIGROUP INVESTMENTS INC · CIK 0001205828 · 10% owner Tribeca Global Management LLC · CIK 0001085674 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 3,191 F6 · balance_after: The Preferred reported in Table I and Table II represent (i) 3,187 Preferred directly beneficially owned by Tribeca and (ii) 4 Preferred directly beneficially owned by CGM at the end of the Issuer's fiscal year. The Preferred reported in Table I represent securities held prior to November 29, 2004, the date on which the Preferred became optionally convertible into Common. See Note 4 above. F2 · ownership.nature: Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGM. Citigroup Global Markets Holdings Inc. ("CGM Holdings") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGM Holdings. CFP, CGM Holdings and Citigroup disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interests therein. F3 · ownership.nature: Citigroup Investments Inc. ("CII") is the sole member of Tribeca. Citigroup is the sole stockholder of CII. CII and Citigroup disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein. Read SEC document |
| October 06, 2004 Filed Jan 7, 2005 21:58 UTC | FOSTER WHEELER LTD FWHLF.OB · Entity 17567 | SaleCommon Shares, $1.00 par value | 225,000 | $0.47 | $105,750.00 |
DisclosureSEC source: 0001181431-05-002105 · rrd62950.xml · nonDerivative · entry 7 CITIGROUP INC · CIK 0000831001 · 10% owner CITIGROUP GLOBAL MARKETS HOLDINGS INC · CIK 0000200245 · 10% owner CITIGROUP FINANCIAL PRODUCTS INC · CIK 0000700691 · 10% owner CITIGROUP GLOBAL MARKETS INC · CIK 0000315030 · 10% owner CITIGROUP INVESTMENTS INC · CIK 0001205828 · 10% owner Tribeca Global Management LLC · CIK 0001085674 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 4,917,919 F1 · balance_after: The Common Shares ("Common") reported in Table I represent 4,917,919 Common directly beneficially owned by Citigroup Global Markets Inc ("CGM") at the end of Foster Wheeler Ltd.'s ("the Issuer") fiscal year. The sales reported in Table I represent sales effected by Tribeca Global Management LLC ("Tribeca"). F2 · ownership.nature: Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGM. Citigroup Global Markets Holdings Inc. ("CGM Holdings") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGM Holdings. CFP, CGM Holdings and Citigroup disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interests therein. F3 · ownership.nature: Citigroup Investments Inc. ("CII") is the sole member of Tribeca. Citigroup is the sole stockholder of CII. CII and Citigroup disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein. Read SEC document |
| September 30, 2004 Filed Jan 7, 2005 21:58 UTC | FOSTER WHEELER LTD FWHLF.OB · Entity 17567 | SaleCommon Shares, $1.00 par value | 150,000 | $0.47 | $70,755.00 |
DisclosureSEC source: 0001181431-05-002105 · rrd62950.xml · nonDerivative · entry 6 CITIGROUP INC · CIK 0000831001 · 10% owner CITIGROUP GLOBAL MARKETS HOLDINGS INC · CIK 0000200245 · 10% owner CITIGROUP FINANCIAL PRODUCTS INC · CIK 0000700691 · 10% owner CITIGROUP GLOBAL MARKETS INC · CIK 0000315030 · 10% owner CITIGROUP INVESTMENTS INC · CIK 0001205828 · 10% owner Tribeca Global Management LLC · CIK 0001085674 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 4,917,919 F1 · balance_after: The Common Shares ("Common") reported in Table I represent 4,917,919 Common directly beneficially owned by Citigroup Global Markets Inc ("CGM") at the end of Foster Wheeler Ltd.'s ("the Issuer") fiscal year. The sales reported in Table I represent sales effected by Tribeca Global Management LLC ("Tribeca"). F2 · ownership.nature: Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGM. Citigroup Global Markets Holdings Inc. ("CGM Holdings") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGM Holdings. CFP, CGM Holdings and Citigroup disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interests therein. F3 · ownership.nature: Citigroup Investments Inc. ("CII") is the sole member of Tribeca. Citigroup is the sole stockholder of CII. CII and Citigroup disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein. Read SEC document |
| September 29, 2004 Filed Jan 7, 2005 21:58 UTC | FOSTER WHEELER LTD FWHLF.OB · Entity 17567 | SaleSeries B Convertible Preferred Shares, $1.00 par value | 257 | $577.06 | $148,303.91 |
DisclosureSEC source: 0001181431-05-002105 · rrd62950.xml · nonDerivative · entry 12 CITIGROUP INC · CIK 0000831001 · 10% owner CITIGROUP GLOBAL MARKETS HOLDINGS INC · CIK 0000200245 · 10% owner CITIGROUP FINANCIAL PRODUCTS INC · CIK 0000700691 · 10% owner CITIGROUP GLOBAL MARKETS INC · CIK 0000315030 · 10% owner CITIGROUP INVESTMENTS INC · CIK 0001205828 · 10% owner Tribeca Global Management LLC · CIK 0001085674 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 3,191 F6 · balance_after: The Preferred reported in Table I and Table II represent (i) 3,187 Preferred directly beneficially owned by Tribeca and (ii) 4 Preferred directly beneficially owned by CGM at the end of the Issuer's fiscal year. The Preferred reported in Table I represent securities held prior to November 29, 2004, the date on which the Preferred became optionally convertible into Common. See Note 4 above. F2 · ownership.nature: Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGM. Citigroup Global Markets Holdings Inc. ("CGM Holdings") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGM Holdings. CFP, CGM Holdings and Citigroup disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interests therein. F3 · ownership.nature: Citigroup Investments Inc. ("CII") is the sole member of Tribeca. Citigroup is the sole stockholder of CII. CII and Citigroup disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein. Read SEC document |
| September 29, 2004 Filed Jan 7, 2005 21:58 UTC | FOSTER WHEELER LTD FWHLF.OB · Entity 17567 | SaleCommon Shares, $1.00 par value | 75,000 | $0.47 | $35,250.00 |
DisclosureSEC source: 0001181431-05-002105 · rrd62950.xml · nonDerivative · entry 5 CITIGROUP INC · CIK 0000831001 · 10% owner CITIGROUP GLOBAL MARKETS HOLDINGS INC · CIK 0000200245 · 10% owner CITIGROUP FINANCIAL PRODUCTS INC · CIK 0000700691 · 10% owner CITIGROUP GLOBAL MARKETS INC · CIK 0000315030 · 10% owner CITIGROUP INVESTMENTS INC · CIK 0001205828 · 10% owner Tribeca Global Management LLC · CIK 0001085674 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 4,917,919 F1 · balance_after: The Common Shares ("Common") reported in Table I represent 4,917,919 Common directly beneficially owned by Citigroup Global Markets Inc ("CGM") at the end of Foster Wheeler Ltd.'s ("the Issuer") fiscal year. The sales reported in Table I represent sales effected by Tribeca Global Management LLC ("Tribeca"). F2 · ownership.nature: Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGM. Citigroup Global Markets Holdings Inc. ("CGM Holdings") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGM Holdings. CFP, CGM Holdings and Citigroup disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interests therein. F3 · ownership.nature: Citigroup Investments Inc. ("CII") is the sole member of Tribeca. Citigroup is the sole stockholder of CII. CII and Citigroup disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein. Read SEC document |
| September 28, 2004 Filed Jan 7, 2005 21:58 UTC | FOSTER WHEELER LTD FWHLF.OB · Entity 17567 | SaleSeries B Convertible Preferred Shares, $1.00 par value | 75 | $572.00 | $42,900.00 |
DisclosureSEC source: 0001181431-05-002105 · rrd62950.xml · nonDerivative · entry 11 CITIGROUP INC · CIK 0000831001 · 10% owner CITIGROUP GLOBAL MARKETS HOLDINGS INC · CIK 0000200245 · 10% owner CITIGROUP FINANCIAL PRODUCTS INC · CIK 0000700691 · 10% owner CITIGROUP GLOBAL MARKETS INC · CIK 0000315030 · 10% owner CITIGROUP INVESTMENTS INC · CIK 0001205828 · 10% owner Tribeca Global Management LLC · CIK 0001085674 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 3,191 F6 · balance_after: The Preferred reported in Table I and Table II represent (i) 3,187 Preferred directly beneficially owned by Tribeca and (ii) 4 Preferred directly beneficially owned by CGM at the end of the Issuer's fiscal year. The Preferred reported in Table I represent securities held prior to November 29, 2004, the date on which the Preferred became optionally convertible into Common. See Note 4 above. F2 · ownership.nature: Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGM. Citigroup Global Markets Holdings Inc. ("CGM Holdings") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGM Holdings. CFP, CGM Holdings and Citigroup disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interests therein. F3 · ownership.nature: Citigroup Investments Inc. ("CII") is the sole member of Tribeca. Citigroup is the sole stockholder of CII. CII and Citigroup disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein. Read SEC document |
| September 28, 2004 Filed Jan 7, 2005 21:58 UTC | FOSTER WHEELER LTD FWHLF.OB · Entity 17567 | SaleSeries B Convertible Preferred Shares, $1.00 par value | 243 | $572.00 | $138,996.00 |
DisclosureSEC source: 0001181431-05-002105 · rrd62950.xml · nonDerivative · entry 10 CITIGROUP INC · CIK 0000831001 · 10% owner CITIGROUP GLOBAL MARKETS HOLDINGS INC · CIK 0000200245 · 10% owner CITIGROUP FINANCIAL PRODUCTS INC · CIK 0000700691 · 10% owner CITIGROUP GLOBAL MARKETS INC · CIK 0000315030 · 10% owner CITIGROUP INVESTMENTS INC · CIK 0001205828 · 10% owner Tribeca Global Management LLC · CIK 0001085674 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 3,191 F6 · balance_after: The Preferred reported in Table I and Table II represent (i) 3,187 Preferred directly beneficially owned by Tribeca and (ii) 4 Preferred directly beneficially owned by CGM at the end of the Issuer's fiscal year. The Preferred reported in Table I represent securities held prior to November 29, 2004, the date on which the Preferred became optionally convertible into Common. See Note 4 above. F2 · ownership.nature: Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGM. Citigroup Global Markets Holdings Inc. ("CGM Holdings") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGM Holdings. CFP, CGM Holdings and Citigroup disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interests therein. F3 · ownership.nature: Citigroup Investments Inc. ("CII") is the sole member of Tribeca. Citigroup is the sole stockholder of CII. CII and Citigroup disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein. Read SEC document |
| September 28, 2004 Filed Jan 7, 2005 21:58 UTC | FOSTER WHEELER LTD FWHLF.OB · Entity 17567 | SaleCommon Shares, $1.00 par value | 211,000 | $0.48 | $101,280.00 |
DisclosureSEC source: 0001181431-05-002105 · rrd62950.xml · nonDerivative · entry 4 CITIGROUP INC · CIK 0000831001 · 10% owner CITIGROUP GLOBAL MARKETS HOLDINGS INC · CIK 0000200245 · 10% owner CITIGROUP FINANCIAL PRODUCTS INC · CIK 0000700691 · 10% owner CITIGROUP GLOBAL MARKETS INC · CIK 0000315030 · 10% owner CITIGROUP INVESTMENTS INC · CIK 0001205828 · 10% owner Tribeca Global Management LLC · CIK 0001085674 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 4,917,919 F1 · balance_after: The Common Shares ("Common") reported in Table I represent 4,917,919 Common directly beneficially owned by Citigroup Global Markets Inc ("CGM") at the end of Foster Wheeler Ltd.'s ("the Issuer") fiscal year. The sales reported in Table I represent sales effected by Tribeca Global Management LLC ("Tribeca"). F2 · ownership.nature: Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGM. Citigroup Global Markets Holdings Inc. ("CGM Holdings") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGM Holdings. CFP, CGM Holdings and Citigroup disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interests therein. F3 · ownership.nature: Citigroup Investments Inc. ("CII") is the sole member of Tribeca. Citigroup is the sole stockholder of CII. CII and Citigroup disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein. Read SEC document |
| September 27, 2004 Filed Jan 7, 2005 21:58 UTC | FOSTER WHEELER LTD FWHLF.OB · Entity 17567 | SaleCommon Shares, $1.00 par value | 100,000 | $0.50 | $50,000.00 |
DisclosureSEC source: 0001181431-05-002105 · rrd62950.xml · nonDerivative · entry 3 CITIGROUP INC · CIK 0000831001 · 10% owner CITIGROUP GLOBAL MARKETS HOLDINGS INC · CIK 0000200245 · 10% owner CITIGROUP FINANCIAL PRODUCTS INC · CIK 0000700691 · 10% owner CITIGROUP GLOBAL MARKETS INC · CIK 0000315030 · 10% owner CITIGROUP INVESTMENTS INC · CIK 0001205828 · 10% owner Tribeca Global Management LLC · CIK 0001085674 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 4,917,919 F1 · balance_after: The Common Shares ("Common") reported in Table I represent 4,917,919 Common directly beneficially owned by Citigroup Global Markets Inc ("CGM") at the end of Foster Wheeler Ltd.'s ("the Issuer") fiscal year. The sales reported in Table I represent sales effected by Tribeca Global Management LLC ("Tribeca"). F2 · ownership.nature: Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGM. Citigroup Global Markets Holdings Inc. ("CGM Holdings") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGM Holdings. CFP, CGM Holdings and Citigroup disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interests therein. F3 · ownership.nature: Citigroup Investments Inc. ("CII") is the sole member of Tribeca. Citigroup is the sole stockholder of CII. CII and Citigroup disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein. Read SEC document |
| September 27, 2004 Filed Jan 7, 2005 21:58 UTC | FOSTER WHEELER LTD FWHLF.OB · Entity 17567 | SaleCommon Shares, $1.00 par value | 19,865 | $0.48 | $9,535.20 |
DisclosureSEC source: 0001181431-05-002105 · rrd62950.xml · nonDerivative · entry 2 CITIGROUP INC · CIK 0000831001 · 10% owner CITIGROUP GLOBAL MARKETS HOLDINGS INC · CIK 0000200245 · 10% owner CITIGROUP FINANCIAL PRODUCTS INC · CIK 0000700691 · 10% owner CITIGROUP GLOBAL MARKETS INC · CIK 0000315030 · 10% owner CITIGROUP INVESTMENTS INC · CIK 0001205828 · 10% owner Tribeca Global Management LLC · CIK 0001085674 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 4,917,919 F1 · balance_after: The Common Shares ("Common") reported in Table I represent 4,917,919 Common directly beneficially owned by Citigroup Global Markets Inc ("CGM") at the end of Foster Wheeler Ltd.'s ("the Issuer") fiscal year. The sales reported in Table I represent sales effected by Tribeca Global Management LLC ("Tribeca"). F2 · ownership.nature: Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGM. Citigroup Global Markets Holdings Inc. ("CGM Holdings") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGM Holdings. CFP, CGM Holdings and Citigroup disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interests therein. F3 · ownership.nature: Citigroup Investments Inc. ("CII") is the sole member of Tribeca. Citigroup is the sole stockholder of CII. CII and Citigroup disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein. Read SEC document |
| September 27, 2004 Filed Jan 7, 2005 21:58 UTC | FOSTER WHEELER LTD FWHLF.OB · Entity 17567 | SaleCommon Shares, $1.00 par value | 30,135 | $0.48 | $14,464.80 |
DisclosureSEC source: 0001181431-05-002105 · rrd62950.xml · nonDerivative · entry 1 CITIGROUP INC · CIK 0000831001 · 10% owner CITIGROUP GLOBAL MARKETS HOLDINGS INC · CIK 0000200245 · 10% owner CITIGROUP FINANCIAL PRODUCTS INC · CIK 0000700691 · 10% owner CITIGROUP GLOBAL MARKETS INC · CIK 0000315030 · 10% owner CITIGROUP INVESTMENTS INC · CIK 0001205828 · 10% owner Tribeca Global Management LLC · CIK 0001085674 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 4,917,919 F1 · balance_after: The Common Shares ("Common") reported in Table I represent 4,917,919 Common directly beneficially owned by Citigroup Global Markets Inc ("CGM") at the end of Foster Wheeler Ltd.'s ("the Issuer") fiscal year. The sales reported in Table I represent sales effected by Tribeca Global Management LLC ("Tribeca"). F2 · ownership.nature: Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGM. Citigroup Global Markets Holdings Inc. ("CGM Holdings") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGM Holdings. CFP, CGM Holdings and Citigroup disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interests therein. F3 · ownership.nature: Citigroup Investments Inc. ("CII") is the sole member of Tribeca. Citigroup is the sole stockholder of CII. CII and Citigroup disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein. Read SEC document |
| June 04, 2004 Filed Jun 14, 2004 16:25 UTC | ON2 TECHNOLOGIES INC ONT · Entity 17634 | OtherSeries C-V Preferred Stock · Derivative | 2,176,876 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001181431-04-030470 · rrd42972.xml · derivative · entry 2 CITIGROUP INC · CIK 0000831001 · See General Remarks. TRAVELERS INSURANCE CO · CIK 0000733076 · See General Remarks. CITIGROUP INSURANCE HOLDING CORP · CIK 0001003658 · See General Remarks. ASSOCIATED MADISON COMPANIES INC · CIK 0000806395 · See General Remarks. CITIGROUP INVESTMENTS INC · CIK 0001205828 · See General Remarks. CITIGROUP ALTERNATIVE INVESTMENTS INC · CIK 0001205833 · See General Remarks. Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 0 Underlying: Common Stock · 2,993,273 shares Expires not disclosed F4 · derivative.exercise_price: The Series C-V Preferred Stock had an initial conversion price of $1.244 per share. As a result of certain anti-dilution adjustments, the current conversion price is $0.9047 per share. The Series C-V Preferred Stock is convertible immediately and has no expiration date. F3 · date: This Form 5 is being filed to report certain transactions that occurred during the Issuer's fiscal year that ends December 31, 2004 that have not previously been reported on Form 4. The amount of shares beneficially owned reflects holdings as of June 4, 2004. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of their pecuniary interests therein. F1 · kind: See General Remarks. F1 · shares: See General Remarks. F4 · price: The Series C-V Preferred Stock had an initial conversion price of $1.244 per share. As a result of certain anti-dilution adjustments, the current conversion price is $0.9047 per share. The Series C-V Preferred Stock is convertible immediately and has no expiration date. F4 · derivative.exercise_date: The Series C-V Preferred Stock had an initial conversion price of $1.244 per share. As a result of certain anti-dilution adjustments, the current conversion price is $0.9047 per share. The Series C-V Preferred Stock is convertible immediately and has no expiration date. F4 · derivative.expiration_date: The Series C-V Preferred Stock had an initial conversion price of $1.244 per share. As a result of certain anti-dilution adjustments, the current conversion price is $0.9047 per share. The Series C-V Preferred Stock is convertible immediately and has no expiration date. F1 · balance_after: See General Remarks. F3 · balance_after: This Form 5 is being filed to report certain transactions that occurred during the Issuer's fiscal year that ends December 31, 2004 that have not previously been reported on Form 4. The amount of shares beneficially owned reflects holdings as of June 4, 2004. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of their pecuniary interests therein. F1 · ownership.nature: See General Remarks. F8 · ownership.nature: Represents 820,911 shares of the Issuer's Series C-VI Preferred Stock, 5,357,143 shares of the Issuer's Series C-VI Warrants and 400,000 shares of the Issuer's Series A Preferred Stock directly beneficially owned by The Travelers Insurance Company ("TIC") as of June 4, 2004. TIC is a wholly owned subsidiary of Citigroup Insurance Holding Corporation ("Citigroup Insurance"), which is a wholly owned subsidiary of Associated Madison Companies, Inc. ("Associated Madison"), which is a wholly owned subsidiary of Citigroup Inc. ("Citigroup"). Read SEC document |
| June 04, 2004 Filed Jun 14, 2004 16:25 UTC | ON2 TECHNOLOGIES INC ONT · Entity 17634 | OtherSeries C-IV Preferred Stock · Derivative | 1,849,057 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001181431-04-030470 · rrd42972.xml · derivative · entry 1 CITIGROUP INC · CIK 0000831001 · See General Remarks. TRAVELERS INSURANCE CO · CIK 0000733076 · See General Remarks. CITIGROUP INSURANCE HOLDING CORP · CIK 0001003658 · See General Remarks. ASSOCIATED MADISON COMPANIES INC · CIK 0000806395 · See General Remarks. CITIGROUP INVESTMENTS INC · CIK 0001205828 · See General Remarks. CITIGROUP ALTERNATIVE INVESTMENTS INC · CIK 0001205833 · See General Remarks. Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 0 Underlying: Common Stock · 2,792,257 shares Expires not disclosed F2 · derivative.exercise_price: The Series C-IV Preferred Stock had an initial conversion price of $2.65 per share. As a result of certain anti-dilution adjustments, the current conversion price is $1.7549 per share. The Series C-IV Preferred Stock is convertible immediately and has no expiration date. F3 · date: This Form 5 is being filed to report certain transactions that occurred during the Issuer's fiscal year that ends December 31, 2004 that have not previously been reported on Form 4. The amount of shares beneficially owned reflects holdings as of June 4, 2004. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of their pecuniary interests therein. F1 · kind: See General Remarks. F1 · shares: See General Remarks. F2 · price: The Series C-IV Preferred Stock had an initial conversion price of $2.65 per share. As a result of certain anti-dilution adjustments, the current conversion price is $1.7549 per share. The Series C-IV Preferred Stock is convertible immediately and has no expiration date. F2 · derivative.exercise_date: The Series C-IV Preferred Stock had an initial conversion price of $2.65 per share. As a result of certain anti-dilution adjustments, the current conversion price is $1.7549 per share. The Series C-IV Preferred Stock is convertible immediately and has no expiration date. F2 · derivative.expiration_date: The Series C-IV Preferred Stock had an initial conversion price of $2.65 per share. As a result of certain anti-dilution adjustments, the current conversion price is $1.7549 per share. The Series C-IV Preferred Stock is convertible immediately and has no expiration date. F1 · balance_after: See General Remarks. F3 · balance_after: This Form 5 is being filed to report certain transactions that occurred during the Issuer's fiscal year that ends December 31, 2004 that have not previously been reported on Form 4. The amount of shares beneficially owned reflects holdings as of June 4, 2004. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of their pecuniary interests therein. F1 · ownership.nature: See General Remarks. F8 · ownership.nature: Represents 820,911 shares of the Issuer's Series C-VI Preferred Stock, 5,357,143 shares of the Issuer's Series C-VI Warrants and 400,000 shares of the Issuer's Series A Preferred Stock directly beneficially owned by The Travelers Insurance Company ("TIC") as of June 4, 2004. TIC is a wholly owned subsidiary of Citigroup Insurance Holding Corporation ("Citigroup Insurance"), which is a wholly owned subsidiary of Associated Madison Companies, Inc. ("Associated Madison"), which is a wholly owned subsidiary of Citigroup Inc. ("Citigroup"). Read SEC document |
| April 01, 2004 Filed Jun 7, 2004 17:22 UTC | WESTERN ASSET CORPORATE LOAN FUND INC. TLI · Entity 16378 | OtherCommon Stock | 1,333,334 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001181431-04-029803 · rrd43050.xml · nonDerivative · entry 1 CITIGROUP INC · CIK 0000831001 · See General Remarks. CITIGROUP INVESTMENTS INC · CIK 0001205828 · See General Remarks. CITIGROUP ALTERNATIVE INVESTMENTS INC · CIK 0001205833 · See General Remarks. SMITH BARNEY FUND MANAGEMENT LLC · CIK 0000914851 · See Footnote 3. TRAVELERS ASSET MANAGEMENT INTERNATIONAL CO LLC · CIK 0000891567 · See Footnote 3. Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 0 F2 · date: This Form 5 is being filed to report certain transactions that occurred during the Issuer's fiscal year that ends September 30, 2004 that have not previously been reported on Form 4. The amount of shares beneficially owned reflects holdings as of April 1, 2004. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of their pecuniary interests therein. F1 · kind: See General Remarks. F1 · shares: See General Remarks. F1 · price: See General Remarks. F1 · balance_after: See General Remarks. F2 · balance_after: This Form 5 is being filed to report certain transactions that occurred during the Issuer's fiscal year that ends September 30, 2004 that have not previously been reported on Form 4. The amount of shares beneficially owned reflects holdings as of April 1, 2004. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of their pecuniary interests therein. F1 · ownership.nature: See General Remarks. F3 · ownership.nature: The chief executive officer of Smith Barney Fund Management LLC ("SB Fund"), an indirect wholly owned subsidiary of Citigroup Inc. ("Citigroup"), serves on the Issuer's Board of Directors. In addition, certain employees of Citigroup Asset Management, a division of Citigroup, serve as executive officers for the Issuer. SB Fund is investment adviser to the Issuer. Travelers Asset Management International Company LLC ("TAMIC"), an indirect wholly owned subsidiary of Citigroup, is subinvestment adviser to the Issuer. Read SEC document |
| April 01, 2004 Filed Jun 7, 2004 21:23 UTC | DT INDUSTRIES INC DTIIQ · Entity 17635 | Other7.16% Convertible Preferred Securities · Derivative | 116,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001181431-04-029804 · rrd43052.xml · derivative · entry 2 CITIGROUP INC · CIK 0000831001 · See General Remarks. CITIGROUP INVESTMENTS INC · CIK 0001205828 · See General Remarks. CITIGROUP ALTERNATIVE INVESTMENTS INC · CIK 0001205833 · See General Remarks. ASSOCIATED MADISON COMPANIES INC · CIK 0000806395 · See Footnote 3. CITIGROUP INSURANCE HOLDING CORP · CIK 0001003658 · See Footnote 3. TRAVELERS INSURANCE CO · CIK 0000733076 · See Footnote 3. Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 84,000 Underlying: Common Stock · 414,282 shares Expires not disclosed F4 · derivative.exercise_price: The Preferred Stock has an expiration date of May 31, 2008 and is immediately convertible into approximately 300,000 shares of Common Stock at a conversion price of $14.00 per share. The Common Stock that TIC has a right to acquire upon the exercise of the Preferred Stock is subject to change from time to time, pursuant to the terms of an Exchange Agreement between TIC and the Issuer. F2 · date: This Form 5 is being filed to report certain transactions that occurred during the Issuer's fiscal year that ends June 27, 2004 that have not previously been reported on Form 4. The amount of shares beneficially owned reflects holdings as of April 1, 2004. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of their pecuniary interests therein. F1 · kind: See General Remarks. F1 · shares: See General Remarks. F4 · price: The Preferred Stock has an expiration date of May 31, 2008 and is immediately convertible into approximately 300,000 shares of Common Stock at a conversion price of $14.00 per share. The Common Stock that TIC has a right to acquire upon the exercise of the Preferred Stock is subject to change from time to time, pursuant to the terms of an Exchange Agreement between TIC and the Issuer. F4 · derivative.exercise_date: The Preferred Stock has an expiration date of May 31, 2008 and is immediately convertible into approximately 300,000 shares of Common Stock at a conversion price of $14.00 per share. The Common Stock that TIC has a right to acquire upon the exercise of the Preferred Stock is subject to change from time to time, pursuant to the terms of an Exchange Agreement between TIC and the Issuer. F4 · derivative.expiration_date: The Preferred Stock has an expiration date of May 31, 2008 and is immediately convertible into approximately 300,000 shares of Common Stock at a conversion price of $14.00 per share. The Common Stock that TIC has a right to acquire upon the exercise of the Preferred Stock is subject to change from time to time, pursuant to the terms of an Exchange Agreement between TIC and the Issuer. F1 · balance_after: See General Remarks. F2 · balance_after: This Form 5 is being filed to report certain transactions that occurred during the Issuer's fiscal year that ends June 27, 2004 that have not previously been reported on Form 4. The amount of shares beneficially owned reflects holdings as of April 1, 2004. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of their pecuniary interests therein. F3 · balance_after: Represents 751,279 shares of the Issuer's common stock (the "Common Stock") and 84,000 shares of the Issuer's 7.16% Convertible Preferred Stock (the "Preferred Stock") directly beneficially owned by The Travelers Insurance Company ("TIC") as of April 1, 2004. TIC is a wholly owned subsidiary of Citigroup Insurance Holding Corporation ("Citigroup Insurance"), which is a wholly owned subsidiary of Associated Madison Companies, Inc. ("Associated Madison"), which is a wholly owned subsidiary of Citigroup Inc. ("Citigroup"). F1 · ownership.nature: See General Remarks. F3 · ownership.nature: Represents 751,279 shares of the Issuer's common stock (the "Common Stock") and 84,000 shares of the Issuer's 7.16% Convertible Preferred Stock (the "Preferred Stock") directly beneficially owned by The Travelers Insurance Company ("TIC") as of April 1, 2004. TIC is a wholly owned subsidiary of Citigroup Insurance Holding Corporation ("Citigroup Insurance"), which is a wholly owned subsidiary of Associated Madison Companies, Inc. ("Associated Madison"), which is a wholly owned subsidiary of Citigroup Inc. ("Citigroup"). Read SEC document |
| April 01, 2004 Filed Jun 7, 2004 21:23 UTC | DT INDUSTRIES INC DTIIQ · Entity 17635 | OtherCommon Stock | 1,037,480 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001181431-04-029804 · rrd43052.xml · nonDerivative · entry 1 CITIGROUP INC · CIK 0000831001 · See General Remarks. CITIGROUP INVESTMENTS INC · CIK 0001205828 · See General Remarks. CITIGROUP ALTERNATIVE INVESTMENTS INC · CIK 0001205833 · See General Remarks. ASSOCIATED MADISON COMPANIES INC · CIK 0000806395 · See Footnote 3. CITIGROUP INSURANCE HOLDING CORP · CIK 0001003658 · See Footnote 3. TRAVELERS INSURANCE CO · CIK 0000733076 · See Footnote 3. Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 751,279 F2 · date: This Form 5 is being filed to report certain transactions that occurred during the Issuer's fiscal year that ends June 27, 2004 that have not previously been reported on Form 4. The amount of shares beneficially owned reflects holdings as of April 1, 2004. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of their pecuniary interests therein. F1 · kind: See General Remarks. F1 · shares: See General Remarks. F1 · price: See General Remarks. F1 · balance_after: See General Remarks. F2 · balance_after: This Form 5 is being filed to report certain transactions that occurred during the Issuer's fiscal year that ends June 27, 2004 that have not previously been reported on Form 4. The amount of shares beneficially owned reflects holdings as of April 1, 2004. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of their pecuniary interests therein. F3 · balance_after: Represents 751,279 shares of the Issuer's common stock (the "Common Stock") and 84,000 shares of the Issuer's 7.16% Convertible Preferred Stock (the "Preferred Stock") directly beneficially owned by The Travelers Insurance Company ("TIC") as of April 1, 2004. TIC is a wholly owned subsidiary of Citigroup Insurance Holding Corporation ("Citigroup Insurance"), which is a wholly owned subsidiary of Associated Madison Companies, Inc. ("Associated Madison"), which is a wholly owned subsidiary of Citigroup Inc. ("Citigroup"). F1 · ownership.nature: See General Remarks. F3 · ownership.nature: Represents 751,279 shares of the Issuer's common stock (the "Common Stock") and 84,000 shares of the Issuer's 7.16% Convertible Preferred Stock (the "Preferred Stock") directly beneficially owned by The Travelers Insurance Company ("TIC") as of April 1, 2004. TIC is a wholly owned subsidiary of Citigroup Insurance Holding Corporation ("Citigroup Insurance"), which is a wholly owned subsidiary of Associated Madison Companies, Inc. ("Associated Madison"), which is a wholly owned subsidiary of Citigroup Inc. ("Citigroup"). Read SEC document |
| April 01, 2004 Filed Jun 7, 2004 21:29 UTC | MAX RE CAPITAL LTD MXRE · Entity 17517 | OtherCommon Stock | 1,058,833 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001181431-04-029813 · rrd43046.xml · nonDerivative · entry 1 CITIGROUP INC · CIK 0000831001 · See General Remarks. CITIGROUP INVESTMENTS INC · CIK 0001205828 · See Footnote 4. CITIGROUP ALTERNATIVE INVESTMENTS INC · CIK 0001205833 · See General Remarks. ASSOCIATED MADISON COMPANIES INC · CIK 0000806395 · See Footnote 2. CITIGROUP INSURANCE HOLDING CORP · CIK 0001003658 · See Footnote 2. TRAVELERS INSURANCE CO · CIK 0000733076 · See Footnote 2. TRAVELERS LIFE & ANNUITY CO · CIK 0000929498 · See Footnote 2. Primerica Life Insurance CO · CIK 0001291918 · See Footnote 2. Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 607,833 F3 · date: This Form 5 is being filed to report certain transactions that occurred during the Issuer's fiscal year that ends December 31, 2004 that have not previously been reported on Form 4. The amount of shares beneficially owned reflects holdings as of April 1, 2004. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of their pecuniary interests therein. F1 · kind: See General Remarks. F1 · shares: See General Remarks. F1 · price: See General Remarks. F1 · balance_after: See General Remarks. F2 · balance_after: Represents 64,500 shares of the Issuer's common stock (the "Common Stock") directly beneficially owned by The Travelers Life and Annuity Company ("TLAC"), 91,500 shares of Common Stock directly beneficially owned by Primerica Life Insurance Company ("Primerica") and 451,833 shares of Common Stock directly beneficially owned by The Travelers Insurance Company ("TIC") as of April 1, 2004. Each of TLAC and Primerica are wholly owned subsidiaries of TIC, which is a wholly owned subsidiary of Citigroup Insurance Holding Corporation ("Citigroup Insurance"), which is a wholly owned subsidiary of Associated Madison Companies, Inc. ("Associated Madison"), which is a wholly owned subsidiary of Citigroup Inc. ("Citigroup"). F3 · balance_after: This Form 5 is being filed to report certain transactions that occurred during the Issuer's fiscal year that ends December 31, 2004 that have not previously been reported on Form 4. The amount of shares beneficially owned reflects holdings as of April 1, 2004. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of their pecuniary interests therein. F1 · ownership.nature: See General Remarks. F2 · ownership.nature: Represents 64,500 shares of the Issuer's common stock (the "Common Stock") directly beneficially owned by The Travelers Life and Annuity Company ("TLAC"), 91,500 shares of Common Stock directly beneficially owned by Primerica Life Insurance Company ("Primerica") and 451,833 shares of Common Stock directly beneficially owned by The Travelers Insurance Company ("TIC") as of April 1, 2004. Each of TLAC and Primerica are wholly owned subsidiaries of TIC, which is a wholly owned subsidiary of Citigroup Insurance Holding Corporation ("Citigroup Insurance"), which is a wholly owned subsidiary of Associated Madison Companies, Inc. ("Associated Madison"), which is a wholly owned subsidiary of Citigroup Inc. ("Citigroup"). F4 · ownership.nature: An employee of Citigroup Investments Inc. ("CII") serves on the Issuer's Board of Directors. CII is a wholly owned subsidiary of Citigroup. Read SEC document |
| March 03, 2004 Filed Mar 5, 2004 21:20 UTC | ON2 TECHNOLOGIES INC ONT · Entity 17634 | SaleCommon Stock | 87,000 | $0.94 | $81,780.00 |
DisclosureSEC source: 0001181431-04-014085 · rrd35899.xml · nonDerivative · entry 1 CITIGROUP INC · CIK 0000831001 · 10% owner TRAVELERS INDEMNITY CO · CIK 0000937875 · 10% owner TRAVELERS INSURANCE GROUP HOLDINGS INC · CIK 0001010551 · 10% owner TRAVELERS PROPERTY CASUALTY CORP · CIK 0000919482 · 10% owner TRAVELERS INSURANCE CO · CIK 0000733076 · 10% owner CITIGROUP INSURANCE HOLDING CORP · CIK 0001003658 · 10% owner ASSOCIATED MADISON COMPANIES INC · CIK 0000806395 · 10% owner CITIGROUP ALTERNATIVE INVESTMENTS INC · CIK 0001205833 · 10% owner CITIGROUP INVESTMENTS INC · CIK 0001205828 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 0 F1 · ownership.nature: See General Remarks. Read SEC document |
| March 02, 2004 Filed Mar 4, 2004 21:32 UTC | ON2 TECHNOLOGIES INC ONT · Entity 17634 | SaleCommon Stock | 120,000 | $1.00 | $120,000.00 |
DisclosureSEC source: 0001181431-04-013740 · rrd35687.xml · nonDerivative · entry 1 CITIGROUP INC · CIK 0000831001 · 10% owner TRAVELERS INDEMNITY CO · CIK 0000937875 · 10% owner TRAVELERS INSURANCE GROUP HOLDINGS INC · CIK 0001010551 · 10% owner TRAVELERS PROPERTY CASUALTY CORP · CIK 0000919482 · 10% owner TRAVELERS INSURANCE CO · CIK 0000733076 · 10% owner CITIGROUP INSURANCE HOLDING CORP · CIK 0001003658 · 10% owner ASSOCIATED MADISON COMPANIES INC · CIK 0000806395 · 10% owner CITIGROUP ALTERNATIVE INVESTMENTS INC · CIK 0001205833 · 10% owner CITIGROUP INVESTMENTS INC · CIK 0001205828 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 87,000 F1 · ownership.nature: See General Remarks. Read SEC document |
| March 01, 2004 Filed Mar 3, 2004 21:10 UTC | ON2 TECHNOLOGIES INC ONT · Entity 17634 | SaleCommon Stock | 100,000 | $0.96 | $96,000.00 |
DisclosureSEC source: 0001181431-04-013458 · rrd35585.xml · nonDerivative · entry 1 CITIGROUP INC · CIK 0000831001 · 10% owner TRAVELERS INDEMNITY CO · CIK 0000937875 · 10% owner TRAVELERS INSURANCE GROUP HOLDINGS INC · CIK 0001010551 · 10% owner TRAVELERS PROPERTY CASUALTY CORP · CIK 0000919482 · 10% owner TRAVELERS INSURANCE CO · CIK 0000733076 · 10% owner CITIGROUP INSURANCE HOLDING CORP · CIK 0001003658 · 10% owner ASSOCIATED MADISON COMPANIES INC · CIK 0000806395 · 10% owner CITIGROUP ALTERNATIVE INVESTMENTS INC · CIK 0001205833 · 10% owner CITIGROUP INVESTMENTS INC · CIK 0001205828 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 207,000 F1 · ownership.nature: See General Remarks. Read SEC document |
| February 27, 2004 Filed Mar 2, 2004 22:24 UTC | ON2 TECHNOLOGIES INC ONT · Entity 17634 | SaleCommon Stock | 127,000 | $1.00 | $127,000.00 |
DisclosureSEC source: 0001181431-04-013197 · rrd35407.xml · nonDerivative · entry 1 CITIGROUP INC · CIK 0000831001 · 10% owner TRAVELERS INDEMNITY CO · CIK 0000937875 · 10% owner TRAVELERS INSURANCE GROUP HOLDINGS INC · CIK 0001010551 · 10% owner TRAVELERS PROPERTY CASUALTY CORP · CIK 0000919482 · 10% owner TRAVELERS INSURANCE CO · CIK 0000733076 · 10% owner CITIGROUP INSURANCE HOLDING CORP · CIK 0001003658 · 10% owner ASSOCIATED MADISON COMPANIES INC · CIK 0000806395 · 10% owner CITIGROUP ALTERNATIVE INVESTMENTS INC · CIK 0001205833 · 10% owner CITIGROUP INVESTMENTS INC · CIK 0001205828 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 307,000 F1 · ownership.nature: See General Remarks. Read SEC document |
| February 26, 2004 Filed Mar 1, 2004 21:39 UTC | ON2 TECHNOLOGIES INC ONT · Entity 17634 | SaleCommon Stock | 113,500 | $0.98 | $111,230.00 |
DisclosureSEC source: 0001181431-04-012810 · rrd35139.xml · nonDerivative · entry 1 CITIGROUP INC · CIK 0000831001 · 10% owner TRAVELERS INDEMNITY CO · CIK 0000937875 · 10% owner TRAVELERS INSURANCE GROUP HOLDINGS INC · CIK 0001010551 · 10% owner TRAVELERS PROPERTY CASUALTY CORP · CIK 0000919482 · 10% owner TRAVELERS INSURANCE CO · CIK 0000733076 · 10% owner CITIGROUP INSURANCE HOLDING CORP · CIK 0001003658 · 10% owner ASSOCIATED MADISON COMPANIES INC · CIK 0000806395 · 10% owner CITIGROUP ALTERNATIVE INVESTMENTS INC · CIK 0001205833 · 10% owner CITIGROUP INVESTMENTS INC · CIK 0001205828 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 434,000 F1 · ownership.nature: See General Remarks. Read SEC document |
| February 25, 2004 Filed Feb 27, 2004 21:06 UTC | ON2 TECHNOLOGIES INC ONT · Entity 17634 | SaleCommon Stock | 72,600 | $1.06 | $76,956.00 |
DisclosureSEC source: 0001181431-04-012474 · rrd35045.xml · nonDerivative · entry 1 CITIGROUP INC · CIK 0000831001 · 10% owner TRAVELERS INDEMNITY CO · CIK 0000937875 · 10% owner TRAVELERS INSURANCE GROUP HOLDINGS INC · CIK 0001010551 · 10% owner TRAVELERS PROPERTY CASUALTY CORP · CIK 0000919482 · 10% owner TRAVELERS INSURANCE CO · CIK 0000733076 · 10% owner CITIGROUP INSURANCE HOLDING CORP · CIK 0001003658 · 10% owner ASSOCIATED MADISON COMPANIES INC · CIK 0000806395 · 10% owner CITIGROUP ALTERNATIVE INVESTMENTS INC · CIK 0001205833 · 10% owner CITIGROUP INVESTMENTS INC · CIK 0001205828 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 547,500 F1 · ownership.nature: See General Remarks. Read SEC document |
| February 24, 2004 Filed Feb 26, 2004 22:07 UTC | ON2 TECHNOLOGIES INC ONT · Entity 17634 | SaleCommon Stock | 45,000 | $1.07 | $48,150.00 |
DisclosureSEC source: 0001181431-04-012238 · rrd34819.xml · nonDerivative · entry 1 CITIGROUP INC · CIK 0000831001 · 10% owner TRAVELERS INDEMNITY CO · CIK 0000937875 · 10% owner TRAVELERS INSURANCE GROUP HOLDINGS INC · CIK 0001010551 · 10% owner TRAVELERS PROPERTY CASUALTY CORP · CIK 0000919482 · 10% owner TRAVELERS INSURANCE CO · CIK 0000733076 · 10% owner CITIGROUP INSURANCE HOLDING CORP · CIK 0001003658 · 10% owner ASSOCIATED MADISON COMPANIES INC · CIK 0000806395 · 10% owner CITIGROUP ALTERNATIVE INVESTMENTS INC · CIK 0001205833 · 10% owner CITIGROUP INVESTMENTS INC · CIK 0001205828 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 620,100 F1 · ownership.nature: See General Remarks. Read SEC document |
| February 23, 2004 Filed Feb 25, 2004 18:24 UTC | ON2 TECHNOLOGIES INC ONT · Entity 17634 | SaleCommon Stock | 42,900 | $1.06 | $45,474.00 |
DisclosureSEC source: 0001181431-04-011822 · rrd34455.xml · nonDerivative · entry 1 CITIGROUP INC · CIK 0000831001 · 10% owner TRAVELERS INDEMNITY CO · CIK 0000937875 · 10% owner TRAVELERS INSURANCE GROUP HOLDINGS INC · CIK 0001010551 · 10% owner TRAVELERS PROPERTY CASUALTY CORP · CIK 0000919482 · 10% owner TRAVELERS INSURANCE CO · CIK 0000733076 · 10% owner CITIGROUP INSURANCE HOLDING CORP · CIK 0001003658 · 10% owner ASSOCIATED MADISON COMPANIES INC · CIK 0000806395 · 10% owner CITIGROUP ALTERNATIVE INVESTMENTS INC · CIK 0001205833 · 10% owner CITIGROUP INVESTMENTS INC · CIK 0001205828 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 665,100 F1 · ownership.nature: See General Remarks. Read SEC document |
| February 20, 2004 Filed Feb 24, 2004 21:32 UTC | ON2 TECHNOLOGIES INC ONT · Entity 17634 | ConversionSeries C-VI Preferred Stock · Derivative | 373,288 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001181431-04-011697 · rrd34394.xml · derivative · entry 3 CITIGROUP INC · CIK 0000831001 · 10% owner TRAVELERS INDEMNITY CO · CIK 0000937875 · 10% owner TRAVELERS INSURANCE GROUP HOLDINGS INC · CIK 0001010551 · 10% owner TRAVELERS PROPERTY CASUALTY CORP · CIK 0000919482 · 10% owner TRAVELERS INSURANCE CO · CIK 0000733076 · 10% owner CITIGROUP INSURANCE HOLDING CORP · CIK 0001003658 · 10% owner ASSOCIATED MADISON COMPANIES INC · CIK 0000806395 · 10% owner CITIGROUP ALTERNATIVE INVESTMENTS INC · CIK 0001205833 · 10% owner CITIGROUP INVESTMENTS INC · CIK 0001205828 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 766,090 Underlying: Common Stock · 400,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: The Series C-VI Preferred Stock has an exercise price of $0.5222 per share, is exercisable immediately and has no expiration date. F2 · price: The Series C-VI Preferred Stock has an exercise price of $0.5222 per share, is exercisable immediately and has no expiration date. F2 · derivative.exercise_date: The Series C-VI Preferred Stock has an exercise price of $0.5222 per share, is exercisable immediately and has no expiration date. F2 · derivative.expiration_date: The Series C-VI Preferred Stock has an exercise price of $0.5222 per share, is exercisable immediately and has no expiration date. F1 · ownership.nature: See General Remarks. Read SEC document |
| February 20, 2004 Filed Feb 24, 2004 21:32 UTC | ON2 TECHNOLOGIES INC ONT · Entity 17634 | SaleCommon Stock | 51,200 | $1.06 | $54,272.00 |
DisclosureSEC source: 0001181431-04-011697 · rrd34394.xml · nonDerivative · entry 2 CITIGROUP INC · CIK 0000831001 · 10% owner TRAVELERS INDEMNITY CO · CIK 0000937875 · 10% owner TRAVELERS INSURANCE GROUP HOLDINGS INC · CIK 0001010551 · 10% owner TRAVELERS PROPERTY CASUALTY CORP · CIK 0000919482 · 10% owner TRAVELERS INSURANCE CO · CIK 0000733076 · 10% owner CITIGROUP INSURANCE HOLDING CORP · CIK 0001003658 · 10% owner ASSOCIATED MADISON COMPANIES INC · CIK 0000806395 · 10% owner CITIGROUP ALTERNATIVE INVESTMENTS INC · CIK 0001205833 · 10% owner CITIGROUP INVESTMENTS INC · CIK 0001205828 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 708,000 F1 · ownership.nature: See General Remarks. Read SEC document |
| February 20, 2004 Filed Feb 24, 2004 21:32 UTC | ON2 TECHNOLOGIES INC ONT · Entity 17634 | ConversionCommon Stock | 400,000 | $0.52 | $208,880.00 |
DisclosureSEC source: 0001181431-04-011697 · rrd34394.xml · nonDerivative · entry 1 CITIGROUP INC · CIK 0000831001 · 10% owner TRAVELERS INDEMNITY CO · CIK 0000937875 · 10% owner TRAVELERS INSURANCE GROUP HOLDINGS INC · CIK 0001010551 · 10% owner TRAVELERS PROPERTY CASUALTY CORP · CIK 0000919482 · 10% owner TRAVELERS INSURANCE CO · CIK 0000733076 · 10% owner CITIGROUP INSURANCE HOLDING CORP · CIK 0001003658 · 10% owner ASSOCIATED MADISON COMPANIES INC · CIK 0000806395 · 10% owner CITIGROUP ALTERNATIVE INVESTMENTS INC · CIK 0001205833 · 10% owner CITIGROUP INVESTMENTS INC · CIK 0001205828 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 759,200 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · ownership.nature: See General Remarks. Read SEC document |
| February 19, 2004 Filed Feb 23, 2004 21:51 UTC | ON2 TECHNOLOGIES INC ONT · Entity 17634 | SaleCommon Stock | 40,000 | $1.10 | $44,000.00 |
DisclosureSEC source: 0001181431-04-011470 · rrd34051.xml · nonDerivative · entry 1 CITIGROUP INC · CIK 0000831001 · 10% owner TRAVELERS INDEMNITY CO · CIK 0000937875 · 10% owner TRAVELERS INSURANCE GROUP HOLDINGS INC · CIK 0001010551 · 10% owner TRAVELERS PROPERTY CASUALTY CORP · CIK 0000919482 · 10% owner TRAVELERS INSURANCE CO · CIK 0000733076 · 10% owner CITIGROUP INSURANCE HOLDING CORP · CIK 0001003658 · 10% owner ASSOCIATED MADISON COMPANIES INC · CIK 0000806395 · 10% owner CITIGROUP ALTERNATIVE INVESTMENTS INC · CIK 0001205833 · 10% owner CITIGROUP INVESTMENTS INC · CIK 0001205828 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 359,200 F1 · ownership.nature: See General Remarks. Read SEC document |
| February 18, 2004 Filed Feb 20, 2004 20:03 UTC | ON2 TECHNOLOGIES INC ONT · Entity 17634 | SaleCommon Stock | 70,000 | $1.11 | $77,700.00 |
DisclosureSEC source: 0001181431-04-011125 · rrd34050.xml · nonDerivative · entry 1 CITIGROUP INC · CIK 0000831001 · 10% owner TRAVELERS INDEMNITY CO · CIK 0000937875 · 10% owner TRAVELERS INSURANCE GROUP HOLDINGS INC · CIK 0001010551 · 10% owner TRAVELERS PROPERTY CASUALTY CORP · CIK 0000919482 · 10% owner TRAVELERS INSURANCE CO · CIK 0000733076 · 10% owner CITIGROUP INSURANCE HOLDING CORP · CIK 0001003658 · 10% owner ASSOCIATED MADISON COMPANIES INC · CIK 0000806395 · 10% owner CITIGROUP ALTERNATIVE INVESTMENTS INC · CIK 0001205833 · 10% owner CITIGROUP INVESTMENTS INC · CIK 0001205828 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 399,200 F1 · ownership.nature: See General Remarks. Read SEC document |
| February 17, 2004 Filed Feb 19, 2004 20:32 UTC | ON2 TECHNOLOGIES INC ONT · Entity 17634 | SaleCommon Stock | 75,000 | $1.06 | $79,500.00 |
DisclosureSEC source: 0001181431-04-010808 · rrd33966.xml · nonDerivative · entry 1 CITIGROUP INC · CIK 0000831001 · 10% owner TRAVELERS INDEMNITY CO · CIK 0000937875 · 10% owner TRAVELERS INSURANCE GROUP HOLDINGS INC · CIK 0001010551 · 10% owner TRAVELERS PROPERTY CASUALTY CORP · CIK 0000919482 · 10% owner TRAVELERS INSURANCE CO · CIK 0000733076 · 10% owner CITIGROUP INSURANCE HOLDING CORP · CIK 0001003658 · 10% owner ASSOCIATED MADISON COMPANIES INC · CIK 0000806395 · 10% owner CITIGROUP ALTERNATIVE INVESTMENTS INC · CIK 0001205833 · 10% owner CITIGROUP INVESTMENTS INC · CIK 0001205828 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 469,200 F1 · ownership.nature: See General Remarks. Read SEC document |
| February 13, 2004 Filed Feb 18, 2004 21:38 UTC | ON2 TECHNOLOGIES INC ONT · Entity 17634 | SaleCommon Stock | 45,000 | $1.11 | $49,950.00 |
DisclosureSEC source: 0001181431-04-010515 · rrd33714.xml · nonDerivative · entry 1 CITIGROUP INC · CIK 0000831001 · 10% owner TRAVELERS INDEMNITY CO · CIK 0000937875 · 10% owner TRAVELERS INSURANCE GROUP HOLDINGS INC · CIK 0001010551 · 10% owner TRAVELERS PROPERTY CASUALTY CORP · CIK 0000919482 · 10% owner TRAVELERS INSURANCE CO · CIK 0000733076 · 10% owner CITIGROUP INSURANCE HOLDING CORP · CIK 0001003658 · 10% owner ASSOCIATED MADISON COMPANIES INC · CIK 0000806395 · 10% owner CITIGROUP ALTERNATIVE INVESTMENTS INC · CIK 0001205833 · 10% owner CITIGROUP INVESTMENTS INC · CIK 0001205828 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 544,200 F1 · ownership.nature: See General Remarks. Read SEC document |
| February 12, 2004 Filed Feb 17, 2004 22:19 UTC | ON2 TECHNOLOGIES INC ONT · Entity 17634 | SaleCommon Stock | 40,000 | $1.13 | $45,200.00 |
DisclosureSEC source: 0001181431-04-010121 · rrd33480.xml · nonDerivative · entry 1 CITIGROUP INC · CIK 0000831001 · 10% owner TRAVELERS INDEMNITY CO · CIK 0000937875 · 10% owner TRAVELERS INSURANCE GROUP HOLDINGS INC · CIK 0001010551 · 10% owner TRAVELERS PROPERTY CASUALTY CORP · CIK 0000919482 · 10% owner TRAVELERS INSURANCE CO · CIK 0000733076 · 10% owner CITIGROUP INSURANCE HOLDING CORP · CIK 0001003658 · 10% owner ASSOCIATED MADISON COMPANIES INC · CIK 0000806395 · 10% owner CITIGROUP ALTERNATIVE INVESTMENTS INC · CIK 0001205833 · 10% owner CITIGROUP INVESTMENTS INC · CIK 0001205828 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 589,200 F1 · ownership.nature: See General Remarks. Read SEC document |
| February 11, 2004 Filed Feb 13, 2004 21:22 UTC | ON2 TECHNOLOGIES INC ONT · Entity 17634 | SaleCommon Stock | 30,000 | $1.14 | $34,200.00 |
DisclosureSEC source: 0001181431-04-009279 · rrd33127.xml · nonDerivative · entry 1 CITIGROUP INC · CIK 0000831001 · 10% owner TRAVELERS INDEMNITY CO · CIK 0000937875 · 10% owner TRAVELERS INSURANCE GROUP HOLDINGS INC · CIK 0001010551 · 10% owner TRAVELERS PROPERTY CASUALTY CORP · CIK 0000919482 · 10% owner TRAVELERS INSURANCE CO · CIK 0000733076 · 10% owner CITIGROUP INSURANCE HOLDING CORP · CIK 0001003658 · 10% owner ASSOCIATED MADISON COMPANIES INC · CIK 0000806395 · 10% owner CITIGROUP ALTERNATIVE INVESTMENTS INC · CIK 0001205833 · 10% owner CITIGROUP INVESTMENTS INC · CIK 0001205828 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 629,200 F1 · ownership.nature: See General Remarks. Read SEC document |
| February 10, 2004 Filed Feb 12, 2004 22:35 UTC | ON2 TECHNOLOGIES INC ONT · Entity 17634 | SaleCommon Stock | 70,000 | $1.16 | $81,200.00 |
DisclosureSEC source: 0001181431-04-008772 · rrd32866.xml · nonDerivative · entry 1 CITIGROUP INC · CIK 0000831001 · 10% owner TRAVELERS INDEMNITY CO · CIK 0000937875 · 10% owner TRAVELERS INSURANCE GROUP HOLDINGS INC · CIK 0001010551 · 10% owner TRAVELERS PROPERTY CASUALTY CORP · CIK 0000919482 · 10% owner TRAVELERS INSURANCE CO · CIK 0000733076 · 10% owner CITIGROUP INSURANCE HOLDING CORP · CIK 0001003658 · 10% owner ASSOCIATED MADISON COMPANIES INC · CIK 0000806395 · 10% owner CITIGROUP ALTERNATIVE INVESTMENTS INC · CIK 0001205833 · 10% owner CITIGROUP INVESTMENTS INC · CIK 0001205828 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 659,200 F1 · ownership.nature: See General Remarks. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.