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 09, 2004 Filed Feb 11, 2004 18:48 UTC | ON2 TECHNOLOGIES INC ONT · Entity 17634 | SaleCommon Stock | 40,000 | $1.14 | $45,600.00 |
DisclosureSEC source: 0001181431-04-008109 · rrd32629.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: 729,200 F1 · ownership.nature: See General Remarks. Read SEC document |
| February 06, 2004 Filed Feb 10, 2004 21:18 UTC | ON2 TECHNOLOGIES INC ONT · Entity 17634 | SaleCommon Stock | 50,000 | $1.11 | $55,500.00 |
DisclosureSEC source: 0001181431-04-007761 · rrd32449.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: 769,200 F1 · ownership.nature: See General Remarks. Read SEC document |
| February 05, 2004 Filed Feb 9, 2004 17:29 UTC | ON2 TECHNOLOGIES INC ONT · Entity 17634 | SaleCommon Stock | 95,000 | $1.12 | $106,400.00 |
DisclosureSEC source: 0001181431-04-007373 · rrd32072.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: 819,200 F1 · ownership.nature: See General Remarks. Read SEC document |
| February 04, 2004 Filed Feb 6, 2004 21:57 UTC | ON2 TECHNOLOGIES INC ONT · Entity 17634 | SaleCommon Stock | 120,000 | $1.05 | $126,000.00 |
DisclosureSEC source: 0001181431-04-007189 · rrd31824.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: 914,200 F1 · ownership.nature: See General Remarks. Read SEC document |
| February 03, 2004 Filed Feb 5, 2004 19:11 UTC | ON2 TECHNOLOGIES INC ONT · Entity 17634 | SaleCommon Stock | 96,600 | $1.16 | $112,056.00 |
DisclosureSEC source: 0001181431-04-006704 · rrd31575.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: 1,034,200 F1 · ownership.nature: See General Remarks. Read SEC document |
| February 02, 2004 Filed Feb 4, 2004 21:12 UTC | ON2 TECHNOLOGIES INC ONT · Entity 17634 | SaleCommon Stock | 96,500 | $1.18 | $113,870.00 |
DisclosureSEC source: 0001181431-04-006419 · rrd31570.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: 1,130,800 F1 · ownership.nature: See General Remarks. Read SEC document |
| January 30, 2004 Filed Feb 3, 2004 20:08 UTC | ON2 TECHNOLOGIES INC ONT · Entity 17634 | SaleCommon Stock | 60,100 | $1.26 | $75,726.00 |
DisclosureSEC source: 0001181431-04-006012 · rrd31281.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: 1,227,300 F1 · ownership.nature: See General Remarks. Read SEC document |
| January 29, 2004 Filed Feb 2, 2004 22:28 UTC | ON2 TECHNOLOGIES INC ONT · Entity 17634 | SaleCommon Stock | 76,600 | $1.27 | $97,282.00 |
DisclosureSEC source: 0001181431-04-005702 · rrd31192.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: 1,287,400 F1 · ownership.nature: See General Remarks. Read SEC document |
| January 28, 2004 Filed Jan 29, 2004 22:39 UTC | ON2 TECHNOLOGIES INC ONT · Entity 17634 | SaleCommon Stock | 250,000 | $1.27 | $317,500.00 |
DisclosureSEC source: 0001181431-04-005281 · rrd30823.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: 1,364,000 F1 · ownership.nature: See General Remarks. Read SEC document |
| January 27, 2004 Filed Jan 29, 2004 21:40 UTC | ON2 TECHNOLOGIES INC ONT · Entity 17634 | SaleCommon Stock | 50,000 | $1.45 | $72,500.00 |
DisclosureSEC source: 0001181431-04-005246 · rrd30806.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: 1,614,000 F1 · ownership.nature: See General Remarks. Read SEC document |
| January 21, 2004 Filed Jan 23, 2004 19:11 UTC | ON2 TECHNOLOGIES INC ONT · Entity 17634 | SaleCommon Stock | 31,900 | $1.40 | $44,660.00 |
DisclosureSEC source: 0001181431-04-004046 · rrd29934.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: 1,664,000 F1 · ownership.nature: See General Remarks. Read SEC document |
| January 15, 2004 Filed Jan 20, 2004 22:25 UTC | ON2 TECHNOLOGIES INC ONT · Entity 17634 | SaleCommon Stock | 50,000 | $1.52 | $76,000.00 |
DisclosureSEC source: 0001181431-04-003365 · rrd29342.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: 1,695,900 F1 · ownership.nature: See General Remarks. Read SEC document |
| January 14, 2004 Filed Jan 16, 2004 21:29 UTC | ON2 TECHNOLOGIES INC ONT · Entity 17634 | SaleCommon Stock | 50,000 | $1.54 | $77,000.00 |
DisclosureSEC source: 0001181431-04-003074 · rrd29210.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: 1,745,900 F1 · ownership.nature: See General Remarks. Read SEC document |
| January 13, 2004 Filed Jan 15, 2004 22:04 UTC | ON2 TECHNOLOGIES INC ONT · Entity 17634 | SaleCommon Stock | 200,000 | $1.52 | $304,000.00 |
DisclosureSEC source: 0001181431-04-002876 · rrd29113.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: 1,795,900 F1 · ownership.nature: See General Remarks. Read SEC document |
| January 12, 2004 Filed Jan 14, 2004 22:53 UTC | ON2 TECHNOLOGIES INC ONT · Entity 17634 | SaleCommon Stock | 640,500 | $1.54 | $986,370.00 |
DisclosureSEC source: 0001181431-04-002761 · rrd29112.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: 1,995,900 F1 · ownership.nature: See General Remarks. Read SEC document |
| January 08, 2004 Filed Jan 12, 2004 18:15 UTC | ON2 TECHNOLOGIES INC ONT · Entity 17634 | SaleCommon Stock | 100,000 | $1.41 | $141,000.00 |
DisclosureSEC source: 0001181431-04-002301 · rrd28533.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: 2,636,400 F1 · ownership.nature: See General Remarks. Read SEC document |
| January 07, 2004 Filed Jan 9, 2004 22:06 UTC | ON2 TECHNOLOGIES INC ONT · Entity 17634 | SaleCommon Stock | 50,000 | $1.44 | $72,000.00 |
DisclosureSEC source: 0001181431-04-002130 · rrd28398.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: 2,736,400 F1 · ownership.nature: See General Remarks. Read SEC document |
| January 06, 2004 Filed Jan 8, 2004 21:13 UTC | ON2 TECHNOLOGIES INC ONT · Entity 17634 | SaleCommon Stock | 209,500 | $1.42 | $297,490.00 |
DisclosureSEC source: 0001181431-04-001828 · rrd28201.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: 2,786,400 F1 · ownership.nature: See General Remarks. Read SEC document |
| November 18, 2003 Filed Nov 19, 2003 22:27 UTC | ON2 TECHNOLOGIES INC ONT · Entity 17634 | SaleCommon Stock | 254,100 | $1.88 | $477,708.00 |
DisclosureSEC source: 0001181431-03-031839 · rrd23306.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: 2,995,900 F1 · ownership.nature: See General Remarks. Read SEC document |
| November 18, 2003 Filed Dec 16, 2003 20:42 UTC Amendment | ON2 TECHNOLOGIES INC ONT · Entity 17634 | SaleCommon Stock | 254,100 | $1.99 | $505,659.00 |
DisclosureSEC source: 0001181431-03-036034 · rrd25826.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: 2,995,900 F1 · ownership.nature: See General Remarks. Read SEC document |
| November 17, 2003 Filed Nov 19, 2003 22:21 UTC | ON2 TECHNOLOGIES INC ONT · Entity 17634 | SaleCommon Stock | 1,000,000 | $1.85 | $1,850,000.00 |
DisclosureSEC source: 0001181431-03-031838 · rrd23188.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: 3,250,000 F1 · ownership.nature: See General Remarks. Read SEC document |
| November 10, 2003 Filed Nov 12, 2003 22:59 UTC | ON2 TECHNOLOGIES INC ONT · Entity 17634 | SaleCommon Stock | 1,000,000 | $1.25 | $1,250,000.00 |
DisclosureSEC source: 0001181431-03-030607 · rrd22622.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: 4,250,000 F1 · ownership.nature: See General Remarks. Read SEC document |
| November 04, 2003 Filed Nov 12, 2003 22:59 UTC | ON2 TECHNOLOGIES INC ONT · Entity 17634 | ConversionSeries C-VI Preferred Stock · Derivative | 2,432,051 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001181431-03-030608 · rrd22601.xml · derivative · entry 4 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: 1,139,378 Underlying: Common Stock · 2,606,087 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. F3 · 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. F3 · price: The Series C-VI Preferred Stock has an exercise price of $0.5222 per share, is exercisable immediately and has no expiration date. F3 · 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. F3 · 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 |
| November 04, 2003 Filed Nov 12, 2003 22:59 UTC | ON2 TECHNOLOGIES INC ONT · Entity 17634 | ConversionSeries C-V Preferred Stock · Derivative | 1,922,802 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001181431-03-030608 · rrd22601.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: 2,176,876 Underlying: Common Stock · 2,643,913 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-V Preferred Stock has an exercise price of $0.9047 per share, is exercisable immediately and has no expiration date. F2 · price: The Series C-V Preferred Stock has an exercise price of $0.9047 per share, is exercisable immediately and has no expiration date. F2 · derivative.exercise_date: The Series C-V Preferred Stock has an exercise price of $0.9047 per share, is exercisable immediately and has no expiration date. F2 · derivative.expiration_date: The Series C-V Preferred Stock has an exercise price of $0.9047 per share, is exercisable immediately and has no expiration date. F1 · ownership.nature: See General Remarks. Read SEC document |
| November 04, 2003 Filed Nov 12, 2003 22:59 UTC | ON2 TECHNOLOGIES INC ONT · Entity 17634 | ConversionCommon Stock | 2,606,087 | $0.52 | $1,360,898.63 |
DisclosureSEC source: 0001181431-03-030608 · rrd22601.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: 5,250,000 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 |
| November 04, 2003 Filed Nov 12, 2003 22:59 UTC | ON2 TECHNOLOGIES INC ONT · Entity 17634 | ConversionCommon Stock | 2,643,913 | $0.90 | $2,391,948.09 |
DisclosureSEC source: 0001181431-03-030608 · rrd22601.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: 2,643,913 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 |
| August 19, 2003 Filed Sep 2, 2003 19:27 UTC | ON2 TECHNOLOGIES INC ONT · Entity 17634 | SaleCommon Stock | 1,901,400 | $1.79 | $3,403,506.00 |
DisclosureSEC source: 0001181431-03-021331 · rrd16998.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: 0 F1 · balance_after: This Form 5 is being filed to report certain transactions that occurred during the Issuer's fiscal year that ends December 31, 2003 that have not previously been reported on Form 4. The amount of shares beneficially owned reflects holdings as of August 29, 2003. F2 · ownership.nature: See General Remarks. Read SEC document |
| April 09, 2003 Filed Sep 2, 2003 19:27 UTC | ON2 TECHNOLOGIES INC ONT · Entity 17634 | SaleCommon Stock | 500,000 | $0.31 | $155,000.00 |
DisclosureSEC source: 0001181431-03-021331 · rrd16998.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: 1,901,400 F1 · balance_after: This Form 5 is being filed to report certain transactions that occurred during the Issuer's fiscal year that ends December 31, 2003 that have not previously been reported on Form 4. The amount of shares beneficially owned reflects holdings as of August 29, 2003. F2 · ownership.nature: See General Remarks. Read SEC document |
| March 25, 2003 Filed Sep 2, 2003 19:27 UTC | ON2 TECHNOLOGIES INC ONT · Entity 17634 | Disposition to issuerSeries C-V Warrants · Derivative | 1,397,072 | $0.02 | $27,941.44 |
DisclosureSEC source: 0001181431-03-021331 · rrd16998.xml · derivative · entry 4 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 Underlying: Common Stock · 1,397,072 shares Expires 2003-06-07 F4 · derivative.exercise_price: As of March 25, 2003, the Series C-V Warrants had an exercise price of $0.84 per share and were exercisable immediately. F4 · derivative.exercise_date: As of March 25, 2003, the Series C-V Warrants had an exercise price of $0.84 per share and were exercisable immediately. F1 · balance_after: This Form 5 is being filed to report certain transactions that occurred during the Issuer's fiscal year that ends December 31, 2003 that have not previously been reported on Form 4. The amount of shares beneficially owned reflects holdings as of August 29, 2003. F2 · ownership.nature: See General Remarks. Read SEC document |
| March 25, 2003 Filed Sep 2, 2003 19:27 UTC | ON2 TECHNOLOGIES INC ONT · Entity 17634 | Disposition to issuerSeries C-IV Warrants · Derivative | 697,064 | $0.02 | $13,941.28 |
DisclosureSEC source: 0001181431-03-021331 · rrd16998.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: 0 Underlying: Common Stock · 697,064 shares Expires 2003-06-07 F3 · derivative.exercise_price: As of March 25, 2003, the Series C-IV Warrants had an exercise price of $1.75 per share and were exercisable immediately. F3 · derivative.exercise_date: As of March 25, 2003, the Series C-IV Warrants had an exercise price of $1.75 per share and were exercisable immediately. F1 · balance_after: This Form 5 is being filed to report certain transactions that occurred during the Issuer's fiscal year that ends December 31, 2003 that have not previously been reported on Form 4. The amount of shares beneficially owned reflects holdings as of August 29, 2003. F2 · 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.