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CITIGROUP INC

Disclosed activity across 179 companies

Tapewire entity
2837
SEC CIK
0000831001

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
AMIS HOLDINGS INCAMIS · Entity 1731610% ownerMarch 28, 2007March 30, 2007
BLACKROCK CALIFORNIA INSURED MUNICIPAL INCOME TRUSTBCK · Entity 1710110% ownerNovember 30, 2008December 10, 2008
BLACKROCK CALIFORNIA MUNICIPAL BOND TRUSTBRCMBT · Entity 1325310% ownerNovember 30, 2008December 10, 2008
BLACKROCK FLORIDA INSURED MUNICIPAL 2008 TERM TRUSTBRF · Entity 1710210% ownerNovember 30, 2008December 10, 2008
CALAMOS CONVERTIBLE & HIGH INCOME FUNDCHY · Entity 494710% ownerNovember 30, 2008December 10, 2008
CALAMOS STRATEGIC TOTAL RETURN FUNDCSQ · Entity 129610% ownerNovember 30, 2008December 10, 2008
CBRE GLOBAL REAL ESTATE INCOME FUNDIGR · Entity 523710% ownerNovember 30, 2008December 10, 2008
COHEN & STEERS ADVANTAGE INCOME REALTY FUND INCRLF · Entity 1328110% ownerNovember 30, 2008December 10, 2008
Calamos Global Dynamic Income FundCHW · Entity 53010% ownerNovember 30, 2008December 10, 2008
EDUCATION MANAGEMENT CORPORATIONEDMC · Entity 1266610% ownerJuly 25, 2014July 30, 2014
FAIRCHILD SEMICONDUCTOR INTERNATIONAL INCFCS · Entity 17743DirectorSeptember 05, 2003September 08, 2003
Granahan McCourt Acquisition CORPGHN · Entity 1714410% ownerJune 30, 2008July 07, 2008
ING CLARION REAL ESTATE INCOME FUNDIIA · Entity 1332610% ownerNovember 30, 2008December 10, 2008
Invesco California Municipal Income TrustIIC · Entity 1284810% ownerJune 18, 2012August 22, 2012
Invesco California Quality Municipal SecuritiesIQC · Entity 1284710% ownerMay 15, 2012August 22, 2012
Jones Energy, Inc.JONE · Entity 16602Director · 10% ownerJuly 23, 2013August 08, 2013
KEANE, INC.KEA · Entity 1732610% ownerFebruary 08, 2007March 02, 2007
Kayne Anderson Energy Infrastructure Fund, Inc.KYN · Entity 433410% ownerNovember 30, 2008December 10, 2008
LMP CAPITAL & INCOME FUND INC.SCD · Entity 5762Parent of AdvisorFebruary 24, 2004February 24, 2004
MACDERMID INCMRD · Entity 17738DirectorSeptember 22, 2003September 23, 2003
NTELOS HOLDINGS CORPNTLS · Entity 17239DirectorOctober 12, 2007October 16, 2007
NUVEEN ARIZONA DIVIDEND ADVANTAGE MUNICIPAL FUNDNFZ · Entity 1303310% ownerNovember 30, 2008December 10, 2008
NUVEEN ARIZONA DIVIDEND ADVANTAGE MUNICIPAL FUND 2NKR · Entity 1332510% ownerNovember 30, 2008December 10, 2008
NUVEEN CONNECTICUT DIVIDEND ADVANTAGE MUNICIPAL FUNDNFC · Entity 1327010% ownerNovember 30, 2008December 10, 2008
NUVEEN CONNECTICUT DIVIDEND ADVANTAGE MUNICIPAL FUND 2NGK · Entity 1332310% ownerNovember 30, 2008December 10, 2008
NUVEEN CONNECTICUT DIVIDEND ADVANTAGE MUNICIPAL FUND 3NGO · Entity 1333210% ownerNovember 30, 2008December 10, 2008
NUVEEN DIVERSIFIED DIVIDEND & INCOME FUNDJDD · Entity 1305910% ownerNovember 30, 2008December 10, 2008
NUVEEN FLORIDA QUALITY INCOME MUNICIPAL FUNDNUF · Entity 1332910% ownerNovember 30, 2008December 10, 2008
NUVEEN GEORGIA QUALITY MUNICIPAL INCOME FUNDNKG · Entity 1152310% ownerDecember 31, 2008February 12, 2009
NUVEEN INSURED FLORIDA TAX FREE ADVANTAGE MUNICIPAL FUNDNWF · Entity 1710910% ownerNovember 30, 2008December 10, 2008
NUVEEN MARYLAND DIVIDEND ADVANTAGE MUNICIPAL FUNDNFM · Entity 1319310% ownerNovember 30, 2008December 10, 2008
NUVEEN MARYLAND DIVIDEND ADVANTAGE MUNICIPAL FUND 2NZR · Entity 1319110% ownerNovember 30, 2008December 10, 2008
NUVEEN MASSACHUSETTS AMT-FREE MUNICIPAL INCOME FUNDNGX · Entity 1319210% ownerDecember 31, 2008February 12, 2009
NUVEEN MICHIGAN DIVIDEND ADVANTAGE MUNICIPAL FUNDNZW · Entity 1710610% ownerNovember 30, 2008December 10, 2008
NUVEEN MUNICIPAL ADVANTAGE FUND INCNMA · Entity 1305610% ownerNovember 30, 2008December 10, 2008
NUVEEN NEW JERSEY DIVIDEND ADVANTAGE MUNICIPAL FUND 2NUJ · Entity 13049See Footnote.January 18, 2011March 10, 2011
NUVEEN NEW YORK DIVIDEND ADVANTAGE MUNICIPAL FUND 2NXK · Entity 1246810% ownerNovember 30, 2008December 10, 2008
NUVEEN NORTH CAROLINA DIVIDEND ADVANTAGE MUNICIPAL FUND 2NNO · Entity 1708410% ownerDecember 31, 2008February 12, 2009
NUVEEN NORTH CAROLINA DIVIDEND ADVANTAGE MUNICIPAL FUND 3NII · Entity 1711110% ownerNovember 30, 2008December 10, 2008
NUVEEN PENNSYLVANIA DIVIDEND ADVANTAGE MUNICIPAL FUND 2NVY · Entity 1711010% ownerNovember 30, 2008December 10, 2008
NUVEEN PENNSYLVANIA DIVIDEND ADVANTAGE MUNICIPAL FUNDNXM · Entity 1319610% ownerNovember 30, 2008December 10, 2008
NUVEEN PENNSYLVANIA QUALITY MUNICIPAL INCOME FUNDNQP · Entity 1091610% ownerNovember 30, 2008December 10, 2008
NUVEEN QUALITY PREFERRED INCOME FUNDJTP · Entity 1710810% ownerNovember 30, 2008December 10, 2008
NUVEEN QUALITY PREFERRED INCOME FUND 3JHP · Entity 1710410% ownerNovember 30, 2008December 10, 2008
NUVEEN REAL ESTATE INCOME FUNDJRS · Entity 887110% ownerNovember 30, 2008December 10, 2008
NUVEEN TAX ADVANTAGED TOTAL RETURN STRATEGY FUNDJTA · Entity 1710710% ownerNovember 30, 2008December 10, 2008
NUVEEN VIRGINIA DIVIDEND ADVANTAGE MUNICIPAL FUNDNGB · Entity 1334510% ownerNovember 30, 2008December 10, 2008
NUVEEN VIRGINIA DIVIDEND ADVANTAGE MUNICIPAL FUND 2NNB · Entity 1302510% ownerNovember 30, 2008December 10, 2008
Nuveen AMT-Free Quality Municipal Income FundNEA · Entity 141110% ownerSeptember 13, 2016September 15, 2016
Nuveen Credit Strategies Income FundJQC · Entity 98610% ownerNovember 30, 2008December 10, 2008
Nuveen Preferred & Income Opportunities FundJPC · Entity 428410% ownerNovember 30, 2008December 10, 2008
Nuveen Preferred & Income Securities FundJPS · Entity 1710510% ownerNovember 30, 2008December 10, 2008
PIMCO MUNICIPAL INCOME FUND IIIPMX · Entity 1125210% ownerApril 06, 2011May 09, 2011
Primerica, Inc.PRI · Entity 3587Director · Former 10% OwnerDecember 19, 2011December 21, 2011
SALOMON BROTHERS INFLATION MANAGEMENT FUND INCIMF · Entity 17640Parent of AdvisorMay 25, 2004May 25, 2004
SELIGMAN SELECT MUNICIPAL FUND INCSEL · Entity 1710310% ownerNovember 30, 2008December 10, 2008
TAILWIND FINANCIAL INC.TNF · Entity 1714510% ownerJune 26, 2008July 07, 2008
TRAVELERS PROPERTY CASUALTY CORPTAP.A · Entity 1767510% ownerOctober 21, 2003October 22, 2003
WESTERN ASSET EMERGING MARKETS DEBT FUND INC.ESD · Entity 8890Parent of AdvisorDecember 01, 2003December 03, 2003
WESTERN ASSET GLOBAL HIGH INCOME FUND INC.EHI · Entity 6422Parent of AdviserJuly 28, 2003July 28, 2003
WESTERN ASSET VARIABLE RATE STRATEGIC FUND INC.GFY · Entity 17602Parent of AdvisorOctober 26, 2004October 27, 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.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectBy Affiliate10,746,298 Reported balance After 2007-03-28 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2007-03-28 · Sale · Disposed 9,594,001 · Balance 10,746,298

F1: The Common Stock reported in Table I represents (i) 10,546,212 shares directly beneficially owned by Citigroup Venture Capital Equity Partners, L.P. ("CVCEP") and (ii) 200,086 shares directly beneficially owned by affiliates of the Reporting Persons that are subsidiaries of CVC Partners, LLC and Citigroup Venture Capital GP Holdings, Ltd. ("CVCGP"). CVC Partners, LLC holds a general partnership interest in CVCEP. CVCGP holds a membership interest in CVC Partners, LLC. Court Square Capital Limited is the sole stockholder of CVCGP. Citicorp Banking Corporation ("CBC") is the sole stockholder of Court Square Capital Limited. Citigroup Inc. ("Citigroup") is the sole stockholder of CBC. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: The Common Stock reported in Table I represents (i) 10,546,212 shares directly beneficially owned by Citigroup Venture Capital Equity Partners, L.P. ("CVCEP") and (ii) 200,086 shares directly beneficially owned by affiliates of the Reporting Persons that are subsidiaries of CVC Partners, LLC and Citigroup Venture Capital GP Holdings, Ltd. ("CVCGP"). CVC Partners, LLC holds a general partnership interest in CVCEP. CVCGP holds a membership interest in CVC Partners, LLC. Court Square Capital Limited is the sole stockholder of CVCGP. Citicorp Banking Corporation ("CBC") is the sole stockholder of Court Square Capital Limited. Citigroup Inc. ("Citigroup") is the sole stockholder of CBC. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

BLACKROCK CALIFORNIA INSURED MUNICIPAL INCOME TRUST

Report date November 30, 2008 · Filed December 10, 2008

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary372 Reported balance Holding disclosure · report date 2008-11-30 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 372

F1: The Auction Preferred Shares ("Shares") reported in Table I represent 372 Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

Filing footnotes · ownership attribution and instrument terms

F1: The Auction Preferred Shares ("Shares") reported in Table I represent 372 Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

BLACKROCK CALIFORNIA MUNICIPAL BOND TRUST

Report date November 30, 2008 · Filed December 10, 2008

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary254 Reported balance Holding disclosure · report date 2008-11-30 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 254

F1: The Auction Preferred Shares ("Shares") reported in Table I represent 254 Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

Filing footnotes · ownership attribution and instrument terms

F1: The Auction Preferred Shares ("Shares") reported in Table I represent 254 Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

BLACKROCK FLORIDA INSURED MUNICIPAL 2008 TERM TRUST

Report date November 30, 2008 · Filed December 10, 2008

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary310 Reported balance Holding disclosure · report date 2008-11-30 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 310

F1: The Auction Preferred Shares ("Shares") reported in Table I represent 310 Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

Filing footnotes · ownership attribution and instrument terms

F1: The Auction Preferred Shares ("Shares") reported in Table I represent 310 Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

CALAMOS CONVERTIBLE & HIGH INCOME FUND

Report date November 30, 2008 · Filed December 10, 2008

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary915 Reported balance Holding disclosure · report date 2008-11-30 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 915

F1: The Auction Preferred Shares ("Shares") reported in Table I represent 915 Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

Filing footnotes · ownership attribution and instrument terms

F1: The Auction Preferred Shares ("Shares") reported in Table I represent 915 Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

CALAMOS STRATEGIC TOTAL RETURN FUND

Report date November 30, 2008 · Filed December 10, 2008

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary2,728 Reported balance Holding disclosure · report date 2008-11-30 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 2,728

F1: The Auction Preferred Shares ("Shares") reported in Table I represent 2,728 Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

Filing footnotes · ownership attribution and instrument terms

F1: The Auction Preferred Shares ("Shares") reported in Table I represent 2,728 Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

CBRE GLOBAL REAL ESTATE INCOME FUND

Report date November 30, 2008 · Filed December 10, 2008

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary7,836 Reported balance Holding disclosure · report date 2008-11-30 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 7,836

F1: The Auction Preferred Shares ("Shares") reported in Table I represent 7,836 Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

Filing footnotes · ownership attribution and instrument terms

F1: The Auction Preferred Shares ("Shares") reported in Table I represent 7,836 Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

COHEN & STEERS ADVANTAGE INCOME REALTY FUND INC

Report date November 30, 2008 · Filed December 10, 2008

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary992 Reported balance Holding disclosure · report date 2008-11-30 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 992

F1: The Auction Preferred Shares ("Shares") reported in Table I represent 992 Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

Filing footnotes · ownership attribution and instrument terms

F1: The Auction Preferred Shares ("Shares") reported in Table I represent 992 Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

Calamos Global Dynamic Income Fund

Report date November 30, 2008 · Filed December 10, 2008

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary379 Reported balance Holding disclosure · report date 2008-11-30 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 379

F1: The Auction Preferred Shares ("Shares") reported in Table I represent 379 Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

Filing footnotes · ownership attribution and instrument terms

F1: The Auction Preferred Shares ("Shares") reported in Table I represent 379 Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

EDUCATION MANAGEMENT CORPORATION

Report date July 25, 2014 · Filed July 30, 2014

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common Stock, par value $0.01 per shareSEC Table I · non-derivativeIndirectBy Subsidiary634,087 Last balance in matching sequence After 2014-07-28 transaction · row 2 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rows

Row 1 · 2014-07-25 · Sale · Disposed 724 · Balance 633,363

F1: The reporting person may be deemed a member 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 person disclaims 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: The securities reported herein are directly beneficially owned by Citigroup Capital Partners II Employee Master Fund, L.P. ("Citigroup Employee Master Fund") and Citibank, N.A. ("Citibank"), indirect wholly-owned subsidiaries of the reporting person. Citigroup Private Equity LP ("CPE") is the general partner of Citigroup Employee Master Fund. Citigroup Alternative Investments LLC ("CAI") is the sole member of CPE. Citigroup Investments Inc. ("CII") is the sole member of CAI. Citicorp is the sole stockholder of Citibank. Citigroup Inc. ("Citigroup") is the sole stockholder of CII and Citicorp. CPE, CAI, CII, Citicorp and Citigroup are indirect beneficial owners of the securities reported herein.

Row 2 · 2014-07-28 · Purchase · Acquired 724 · Balance 634,087

F1: The reporting person may be deemed a member 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 person disclaims 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: The securities reported herein are directly beneficially owned by Citigroup Capital Partners II Employee Master Fund, L.P. ("Citigroup Employee Master Fund") and Citibank, N.A. ("Citibank"), indirect wholly-owned subsidiaries of the reporting person. Citigroup Private Equity LP ("CPE") is the general partner of Citigroup Employee Master Fund. Citigroup Alternative Investments LLC ("CAI") is the sole member of CPE. Citigroup Investments Inc. ("CII") is the sole member of CAI. Citicorp is the sole stockholder of Citibank. Citigroup Inc. ("Citigroup") is the sole stockholder of CII and Citicorp. CPE, CAI, CII, Citicorp and Citigroup are indirect beneficial owners of the securities reported herein.

Filing footnotes · ownership attribution and instrument terms

F1: The reporting person may be deemed a member 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 person disclaims 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: The securities reported herein are directly beneficially owned by Citigroup Capital Partners II Employee Master Fund, L.P. ("Citigroup Employee Master Fund") and Citibank, N.A. ("Citibank"), indirect wholly-owned subsidiaries of the reporting person. Citigroup Private Equity LP ("CPE") is the general partner of Citigroup Employee Master Fund. Citigroup Alternative Investments LLC ("CAI") is the sole member of CPE. Citigroup Investments Inc. ("CII") is the sole member of CAI. Citicorp is the sole stockholder of Citibank. Citigroup Inc. ("Citigroup") is the sole stockholder of CII and Citicorp. CPE, CAI, CII, Citicorp and Citigroup are indirect beneficial owners of the securities reported herein.

FAIRCHILD SEMICONDUCTOR INTERNATIONAL INC

Report date September 05, 2003 · Filed September 08, 2003

Jointly reported with CITIGROUP HOLDINGS CO, CITICORP, Citicorp Banking Corp, COURT SQUARE CAPITAL LTD

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2003-09-05 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2003-09-05 · Sale · Disposed 100,000 · Balance 0

F1: An employee of Court Square Capital Limited ("Court Square") serves on the Issuer's Board of Directors. Court Square is the record owner of the securities reported herein. Court Square is a wholly-owned subsidiary of Citicorp Banking Corporation, which is a wholly owned subsidiary of Citicorp, which is a wholly owned subsidiary of Citigroup Holdings Company, which is a wholly owned subsidiary of Citigroup Inc. Each of Citigroup Inc., Citigroup Holdings Company, Citicorp and Citicorp Banking Corporation disclaim beneficial ownership of the shares reported herein except to the extent of their pecuniary interests therein.

Filing footnotes · ownership attribution and instrument terms

F1: An employee of Court Square Capital Limited ("Court Square") serves on the Issuer's Board of Directors. Court Square is the record owner of the securities reported herein. Court Square is a wholly-owned subsidiary of Citicorp Banking Corporation, which is a wholly owned subsidiary of Citicorp, which is a wholly owned subsidiary of Citigroup Holdings Company, which is a wholly owned subsidiary of Citigroup Inc. Each of Citigroup Inc., Citigroup Holdings Company, Citicorp and Citicorp Banking Corporation disclaim beneficial ownership of the shares reported herein except to the extent of their pecuniary interests therein.

Granahan McCourt Acquisition CORP

Report date June 30, 2008 · Filed July 07, 2008

Jointly reported with Citigroup Global Markets Holdings Inc., Citigroup Financial Products Inc., Citigroup Global Markets Inc.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common Stock, par value $0.0001 per shareSEC Table I · non-derivativeIndirectBy Subsidiary1,275,000 Reported balance Holding disclosure · report date 2008-06-30 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 1,275,000

F1: The shares of Common Stock ("Common") reported in Table I represents 1,250,000 Common beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

WarrantSEC Table II · derivative / convertible security · Conversion / exercise price $6.00 · Expires 2010-10-18IndirectBy SubsidiaryNot disclosed Reported balance Holding disclosure · report date 2008-06-30 · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · Balance Not disclosed

F2: The Warrant shares ("Warrants") reported in Table II represent 1,250,000 warrants beneficially owned by CGMI. CFP is the sole stockholder of CGMI. CGMHI is the sole stockholder of CFP. Citigroup is the sole stockholder of CGMHI.

Filing footnotes · ownership attribution and instrument terms

F1: The shares of Common Stock ("Common") reported in Table I represents 1,250,000 Common beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

F2: The Warrant shares ("Warrants") reported in Table II represent 1,250,000 warrants beneficially owned by CGMI. CFP is the sole stockholder of CGMI. CGMHI is the sole stockholder of CFP. Citigroup is the sole stockholder of CGMHI.

ING CLARION REAL ESTATE INCOME FUND

Report date November 30, 2008 · Filed December 10, 2008

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary200 Reported balance Holding disclosure · report date 2008-11-30 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 200

F1: The Auction Preferred Shares ("Shares") reported in Table I represent 200 Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

Filing footnotes · ownership attribution and instrument terms

F1: The Auction Preferred Shares ("Shares") reported in Table I represent 200 Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

Invesco California Municipal Income Trust

Report date June 18, 2012 · Filed August 22, 2012

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2012-06-18 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2012-06-18 · Other · Disposed 9 · Balance 0

F1: These Auction Rate Preferred shares ("Shares") were called for redemption by the issuer.

F2: These Shares are beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Filing footnotes · ownership attribution and instrument terms

F1: These Auction Rate Preferred shares ("Shares") were called for redemption by the issuer.

F2: These Shares are beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Invesco California Quality Municipal Securities

Report date May 15, 2012 · Filed August 22, 2012

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Series 2015/6-IQC Variable Rate Muni Term Preferred SharesSEC Table I · non-derivativeIndirectBy Subsidiary309 Reported balance Holding disclosure · report date 2012-05-15 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 309

F1: These shares are beneficially owned by Citibank, N.A. ("Citibank"). Citicorp is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

Filing footnotes · ownership attribution and instrument terms

F1: These shares are beneficially owned by Citibank, N.A. ("Citibank"). Citicorp is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

Jones Energy, Inc.

Report date July 23, 2013 · Filed August 08, 2013 · Amendment

Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class B Common StockSEC Table I · non-derivativeIndirectBy Subsidiary23,204,216 Reported balance Holding disclosure · report date 2013-07-23 · row 1 Amendment: may correct only part of an earlier disclosure.
1 source row

Row 1 · Balance 23,204,216

F1: Each share of Class B common stock has no economic rights but entitles its holder to one vote on all matters to be voted by stockholders generally.

F2: The Reporting Person is the indirect parent of Metalmark Capital Holdings LLC ("Metalmark"), which is in turn the general partner of Metalmark Capital Partners II GP, L.P., which is in turn the general partner of private equity funds who own the shares through the following entities: MCP (C) II Jones Intermediate LLC, MCP II Co-Investment Jones Intermediate LLC, MCP II Jones Intermediate LLC, MCP II (TE) AIF Jones Intermediate LLC, MCP II (Cayman) AIF Jones Intermediate LLC and MCP II Executive Fund Jones Intermediate LLC. Metalmark Capital Holdings LLC is wholly owned by Citigroup Alternative Investments LLC ("CAI"). Citigroup Investments Inc. ("CII") is the sole stockholder of CAI. Citigroup Inc. is the sole stockholder of CII.

F3: The Reporting Person may be deemed to share beneficial ownership of shares held by the entities referenced in footnote (2), which are controlled by Metalmark. The Reporting Person disclaims beneficial ownership of the shares of Class B common stock held by such private equity funds, except to the extent of its indirect pecuniary interest therein.

F4: Citigroup may be deemed a director of the Issuer on the basis of its relationship with two of the directors of the Issuer and/or the relationship among the Reporting Persons described in footnote (2).

Units of Jones Energy Holdings, LLCSEC Table II · derivative / convertible securityIndirectBy SubsidiaryNot disclosed Reported balance Holding disclosure · report date 2013-07-23 · row 2 Amendment: may correct only part of an earlier disclosure.
1 source row

Row 2 · Balance Not disclosed

F5: Subject to the terms of an exchange agreement among Jones Energy Holdings, LLC ("JEH LLC") and the members thereof, the Units of JEH LLC (together with a corresponding number of shares of Class B common stock) are exchangeable at any time and from time to time for shares of Class A common stock of Jones Energy, Inc.

F2: The Reporting Person is the indirect parent of Metalmark Capital Holdings LLC ("Metalmark"), which is in turn the general partner of Metalmark Capital Partners II GP, L.P., which is in turn the general partner of private equity funds who own the shares through the following entities: MCP (C) II Jones Intermediate LLC, MCP II Co-Investment Jones Intermediate LLC, MCP II Jones Intermediate LLC, MCP II (TE) AIF Jones Intermediate LLC, MCP II (Cayman) AIF Jones Intermediate LLC and MCP II Executive Fund Jones Intermediate LLC. Metalmark Capital Holdings LLC is wholly owned by Citigroup Alternative Investments LLC ("CAI"). Citigroup Investments Inc. ("CII") is the sole stockholder of CAI. Citigroup Inc. is the sole stockholder of CII.

F3: The Reporting Person may be deemed to share beneficial ownership of shares held by the entities referenced in footnote (2), which are controlled by Metalmark. The Reporting Person disclaims beneficial ownership of the shares of Class B common stock held by such private equity funds, except to the extent of its indirect pecuniary interest therein.

F4: Citigroup may be deemed a director of the Issuer on the basis of its relationship with two of the directors of the Issuer and/or the relationship among the Reporting Persons described in footnote (2).

Filing footnotes · ownership attribution and instrument terms

F1: Each share of Class B common stock has no economic rights but entitles its holder to one vote on all matters to be voted by stockholders generally.

F2: The Reporting Person is the indirect parent of Metalmark Capital Holdings LLC ("Metalmark"), which is in turn the general partner of Metalmark Capital Partners II GP, L.P., which is in turn the general partner of private equity funds who own the shares through the following entities: MCP (C) II Jones Intermediate LLC, MCP II Co-Investment Jones Intermediate LLC, MCP II Jones Intermediate LLC, MCP II (TE) AIF Jones Intermediate LLC, MCP II (Cayman) AIF Jones Intermediate LLC and MCP II Executive Fund Jones Intermediate LLC. Metalmark Capital Holdings LLC is wholly owned by Citigroup Alternative Investments LLC ("CAI"). Citigroup Investments Inc. ("CII") is the sole stockholder of CAI. Citigroup Inc. is the sole stockholder of CII.

F3: The Reporting Person may be deemed to share beneficial ownership of shares held by the entities referenced in footnote (2), which are controlled by Metalmark. The Reporting Person disclaims beneficial ownership of the shares of Class B common stock held by such private equity funds, except to the extent of its indirect pecuniary interest therein.

F4: Citigroup may be deemed a director of the Issuer on the basis of its relationship with two of the directors of the Issuer and/or the relationship among the Reporting Persons described in footnote (2).

F5: Subject to the terms of an exchange agreement among Jones Energy Holdings, LLC ("JEH LLC") and the members thereof, the Units of JEH LLC (together with a corresponding number of shares of Class B common stock) are exchangeable at any time and from time to time for shares of Class A common stock of Jones Energy, Inc.

KEANE, INC.

Report date February 08, 2007 · Filed March 02, 2007

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common Stock, par value $0.10 per shareSEC Table I · non-derivativeIndirectSee Footnote13,000 Reported balance After 2007-02-08 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2007-02-08 · Sale · Disposed 100 · Balance 13,000

F1: The shares of Common Stock ("Common") reported in Table I represent Common directly beneficially owned by Tribeca Global Investments L.P. ("TGI"). TGI is jointly managed by Tribeca Global Management LLC ("TGM"), Tribeca Global Management (Europe) Ltd ("TGME") and Tribeca Global Management (Asia) Pte. Ltd. ("TGMA", and together with TGM and TGME, "Tribeca"). Citigroup Investments Inc. ("CII") is the sole member of TGM, which is the sole shareholder of TGME and TGMA. Citigroup Inc. is the sole shareholder of CII. The Reporting Persons disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interests therein.

F2: In addition to the securities reported herein, the Reporting Persons may be deemed to beneficially own additional securities of the Issuer pursuant to the Stockholder Voting Agreement (the "Voting Agreement") between certain affiliates of the Reporting Persons and certain stockholders of the Issuer. The Voting Agreement was entered into to facilitate the transactions described on the Schedule 13D filed on February 20, 2007 by the Reporting Persons.

Common Stock, par value $0.10 per shareSEC Table I · non-derivativeIndirectSee Footnote13,200 Reported balance After 2007-02-09 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 2 · 2007-02-09 · Purchase · Acquired 200 · Balance 13,200

F3: The transaction executed on February 9, 2007 by TGI resulted in a short swing profit under Section 16(b) of the Securities Exchange Act of 1934. As of the date hereof, Tribeca has made the Issuer aware of such profit and has made arrangements with the Issuer to disgorge such profit promptly.

F1: The shares of Common Stock ("Common") reported in Table I represent Common directly beneficially owned by Tribeca Global Investments L.P. ("TGI"). TGI is jointly managed by Tribeca Global Management LLC ("TGM"), Tribeca Global Management (Europe) Ltd ("TGME") and Tribeca Global Management (Asia) Pte. Ltd. ("TGMA", and together with TGM and TGME, "Tribeca"). Citigroup Investments Inc. ("CII") is the sole member of TGM, which is the sole shareholder of TGME and TGMA. Citigroup Inc. is the sole shareholder of CII. The Reporting Persons disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interests therein.

F2: In addition to the securities reported herein, the Reporting Persons may be deemed to beneficially own additional securities of the Issuer pursuant to the Stockholder Voting Agreement (the "Voting Agreement") between certain affiliates of the Reporting Persons and certain stockholders of the Issuer. The Voting Agreement was entered into to facilitate the transactions described on the Schedule 13D filed on February 20, 2007 by the Reporting Persons.

Common Stock, par value $0.10 per shareSEC Table I · non-derivativeIndirectSee Footnote0 Reported balance After 2007-02-12 transaction · row 3 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 3 · 2007-02-12 · Sale · Disposed 13,200 · Balance 0

F2: In addition to the securities reported herein, the Reporting Persons may be deemed to beneficially own additional securities of the Issuer pursuant to the Stockholder Voting Agreement (the "Voting Agreement") between certain affiliates of the Reporting Persons and certain stockholders of the Issuer. The Voting Agreement was entered into to facilitate the transactions described on the Schedule 13D filed on February 20, 2007 by the Reporting Persons.

Filing footnotes · ownership attribution and instrument terms

F1: The shares of Common Stock ("Common") reported in Table I represent Common directly beneficially owned by Tribeca Global Investments L.P. ("TGI"). TGI is jointly managed by Tribeca Global Management LLC ("TGM"), Tribeca Global Management (Europe) Ltd ("TGME") and Tribeca Global Management (Asia) Pte. Ltd. ("TGMA", and together with TGM and TGME, "Tribeca"). Citigroup Investments Inc. ("CII") is the sole member of TGM, which is the sole shareholder of TGME and TGMA. Citigroup Inc. is the sole shareholder of CII. The Reporting Persons disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interests therein.

F2: In addition to the securities reported herein, the Reporting Persons may be deemed to beneficially own additional securities of the Issuer pursuant to the Stockholder Voting Agreement (the "Voting Agreement") between certain affiliates of the Reporting Persons and certain stockholders of the Issuer. The Voting Agreement was entered into to facilitate the transactions described on the Schedule 13D filed on February 20, 2007 by the Reporting Persons.

F3: The transaction executed on February 9, 2007 by TGI resulted in a short swing profit under Section 16(b) of the Securities Exchange Act of 1934. As of the date hereof, Tribeca has made the Issuer aware of such profit and has made arrangements with the Issuer to disgorge such profit promptly.

Kayne Anderson Energy Infrastructure Fund, Inc.

Report date November 30, 2008 · Filed December 10, 2008

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary1,307 Reported balance Holding disclosure · report date 2008-11-30 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 1,307

F1: The Auction Preferred Shares ("Shares") reported in Table I represent 1,307 Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

Filing footnotes · ownership attribution and instrument terms

F1: The Auction Preferred Shares ("Shares") reported in Table I represent 1,307 Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

LMP CAPITAL & INCOME FUND INC.

Report date February 24, 2004 · Filed February 24, 2004

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
common stockSEC Table I · non-derivativeDirect0 Reported balance Holding disclosure · report date 2004-02-24 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 0

MACDERMID INC

Report date September 22, 2003 · Filed September 23, 2003

Jointly reported with CITIGROUP HOLDINGS CO, CITICORP, Citibank, N.A., CITICORP VENTURE CAPITAL LTD

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2003-09-22 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2003-09-22 · Disposition to issuer · Disposed 851,720 · Balance 0

F1: The disposition of 851,720 shares reported herein represents shares of Common Stock that were, prior to the disposition, directly beneficially owned by Citicorp Venture Capital ("CVC").

F2: An employee of CVC serves on the Issuer's Board of Directors. CVC is a wholly owned subsidiary of Citibank, N.A., which is a wholly owned subsidiary of Citicorp, which is a wholly owned subsidiary of Citigroup Holdings Company, which is a wholly owned subsidiary of Citigroup Inc. Each of Citigroup Inc., Citigroup Holdings Company, Citicorp and Citibank, N.A. disclaim beneficial ownership of the shares reported herein except to the extent of their pecuniary interests therein.

Filing footnotes · ownership attribution and instrument terms

F1: The disposition of 851,720 shares reported herein represents shares of Common Stock that were, prior to the disposition, directly beneficially owned by Citicorp Venture Capital ("CVC").

F2: An employee of CVC serves on the Issuer's Board of Directors. CVC is a wholly owned subsidiary of Citibank, N.A., which is a wholly owned subsidiary of Citicorp, which is a wholly owned subsidiary of Citigroup Holdings Company, which is a wholly owned subsidiary of Citigroup Inc. Each of Citigroup Inc., Citigroup Holdings Company, Citicorp and Citibank, N.A. disclaim beneficial ownership of the shares reported herein except to the extent of their pecuniary interests therein.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common Stock, par value $0.01 per shareSEC Table I · non-derivativeIndirectBy Affiliate848,437 Reported balance After 2007-10-12 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2007-10-12 · Sale · Disposed 2,423,185 · Balance 848,437

F1: Shares will be disposed of in a private transaction pursuant to a Stock Purchase Agreement, dated as of September 25, 2007, by and among Quadrangle Capital Partners II, LP and certain of its affiliates and Citigroup Venture Capital Equity Partners, L.P. ("CVCEP") and certain of its affiliates. The closing of such disposition is estimated to occur on October 17, 2007.

F2: A principal of CVCEP serves on the Issuer's Board of Directors. The Common Stock reported in Table I represents (i) 832,234 shares directly beneficially owned by CVCEP and (ii) 16,203 shares directly beneficially owned by affiliates of the Reporting Persons that are subsidiaries of CVC Partners, LLC and Citigroup Venture Capital GP Holdings, Ltd. ("CVCGP"). CVC Partners, LLC holds a general partnership interest in CVCEP. CVCGP holds a membership interest in CVC Partners, LLC. Court Square Capital Limited is the sole stockholder of CVCGP. Citicorp Banking Corporation ("CBC") is the sole stockholder of Court Square Capital Limited. Citigroup Inc. ("Citigroup") is the sole stockholder of CBC. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: Shares will be disposed of in a private transaction pursuant to a Stock Purchase Agreement, dated as of September 25, 2007, by and among Quadrangle Capital Partners II, LP and certain of its affiliates and Citigroup Venture Capital Equity Partners, L.P. ("CVCEP") and certain of its affiliates. The closing of such disposition is estimated to occur on October 17, 2007.

F2: A principal of CVCEP serves on the Issuer's Board of Directors. The Common Stock reported in Table I represents (i) 832,234 shares directly beneficially owned by CVCEP and (ii) 16,203 shares directly beneficially owned by affiliates of the Reporting Persons that are subsidiaries of CVC Partners, LLC and Citigroup Venture Capital GP Holdings, Ltd. ("CVCGP"). CVC Partners, LLC holds a general partnership interest in CVCEP. CVCGP holds a membership interest in CVC Partners, LLC. Court Square Capital Limited is the sole stockholder of CVCGP. Citicorp Banking Corporation ("CBC") is the sole stockholder of Court Square Capital Limited. Citigroup Inc. ("Citigroup") is the sole stockholder of CBC. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

NUVEEN ARIZONA DIVIDEND ADVANTAGE MUNICIPAL FUND

Report date November 30, 2008 · Filed December 10, 2008

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary133 Reported balance Holding disclosure · report date 2008-11-30 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 133

F1: The Auction Preferred Shares ("Shares") reported in Table I represent 133 Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

Filing footnotes · ownership attribution and instrument terms

F1: The Auction Preferred Shares ("Shares") reported in Table I represent 133 Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

NUVEEN ARIZONA DIVIDEND ADVANTAGE MUNICIPAL FUND 2

Report date November 30, 2008 · Filed December 10, 2008

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary104 Reported balance Holding disclosure · report date 2008-11-30 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 104

F1: The Auction Preferred Shares ("Shares") reported in Table I represent 104 Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

Filing footnotes · ownership attribution and instrument terms

F1: The Auction Preferred Shares ("Shares") reported in Table I represent 104 Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

NUVEEN CONNECTICUT DIVIDEND ADVANTAGE MUNICIPAL FUND

Report date November 30, 2008 · Filed December 10, 2008

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary139 Reported balance Holding disclosure · report date 2008-11-30 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 139

F1: The Auction Preferred Shares ("Shares") reported in Table I represent 139 Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

Filing footnotes · ownership attribution and instrument terms

F1: The Auction Preferred Shares ("Shares") reported in Table I represent 139 Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

NUVEEN CONNECTICUT DIVIDEND ADVANTAGE MUNICIPAL FUND 2

Report date November 30, 2008 · Filed December 10, 2008

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary169 Reported balance Holding disclosure · report date 2008-11-30 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 169

F1: The Auction Preferred Shares ("Shares") reported in Table I represent 169 Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

Filing footnotes · ownership attribution and instrument terms

F1: The Auction Preferred Shares ("Shares") reported in Table I represent 169 Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

NUVEEN CONNECTICUT DIVIDEND ADVANTAGE MUNICIPAL FUND 3

Report date November 30, 2008 · Filed December 10, 2008

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary257 Reported balance Holding disclosure · report date 2008-11-30 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 257

F1: The Auction Preferred Shares ("Shares") reported in Table I represent 257 Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

Filing footnotes · ownership attribution and instrument terms

F1: The Auction Preferred Shares ("Shares") reported in Table I represent 257 Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

NUVEEN DIVERSIFIED DIVIDEND & INCOME FUND

Report date November 30, 2008 · Filed December 10, 2008

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary1,000 Reported balance Holding disclosure · report date 2008-11-30 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 1,000

F1: The Auction Preferred Shares ("Shares") reported in Table I represent 1,000 Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

Filing footnotes · ownership attribution and instrument terms

F1: The Auction Preferred Shares ("Shares") reported in Table I represent 1,000 Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

NUVEEN FLORIDA QUALITY INCOME MUNICIPAL FUND

Report date November 30, 2008 · Filed December 10, 2008

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary524 Reported balance Holding disclosure · report date 2008-11-30 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 524

F1: The Auction Preferred Shares ("Shares") reported in Table I represent 524 Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

Filing footnotes · ownership attribution and instrument terms

F1: The Auction Preferred Shares ("Shares") reported in Table I represent 524 Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

NUVEEN GEORGIA QUALITY MUNICIPAL INCOME FUND

Report date December 31, 2008 · Filed February 12, 2009

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary191 Reported balance Holding disclosure · report date 2008-12-31 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 191

F1: The Auction Preferred Shares ("Shares") reported in Table I represent 191 Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

Filing footnotes · ownership attribution and instrument terms

F1: The Auction Preferred Shares ("Shares") reported in Table I represent 191 Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

NUVEEN INSURED FLORIDA TAX FREE ADVANTAGE MUNICIPAL FUND

Report date November 30, 2008 · Filed December 10, 2008

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary196 Reported balance Holding disclosure · report date 2008-11-30 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 196

F1: The Auction Preferred Shares ("Shares") reported in Table I represent 196 Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

Filing footnotes · ownership attribution and instrument terms

F1: The Auction Preferred Shares ("Shares") reported in Table I represent 196 Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

NUVEEN MARYLAND DIVIDEND ADVANTAGE MUNICIPAL FUND

Report date November 30, 2008 · Filed December 10, 2008

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary525 Reported balance Holding disclosure · report date 2008-11-30 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 525

F1: The Auction Preferred Shares ("Shares") reported in Table I represent 525 Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

Filing footnotes · ownership attribution and instrument terms

F1: The Auction Preferred Shares ("Shares") reported in Table I represent 525 Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

NUVEEN MARYLAND DIVIDEND ADVANTAGE MUNICIPAL FUND 2

Report date November 30, 2008 · Filed December 10, 2008

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary468 Reported balance Holding disclosure · report date 2008-11-30 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 468

F1: The Auction Preferred Shares ("Shares") reported in Table I represent 468 Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

Filing footnotes · ownership attribution and instrument terms

F1: The Auction Preferred Shares ("Shares") reported in Table I represent 468 Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

NUVEEN MASSACHUSETTS AMT-FREE MUNICIPAL INCOME FUND

Report date December 31, 2008 · Filed February 12, 2009

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary115 Reported balance Holding disclosure · report date 2008-12-31 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 115

F1: The Auction Preferred Shares ("Shares") reported in Table I represent 115 Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

Filing footnotes · ownership attribution and instrument terms

F1: The Auction Preferred Shares ("Shares") reported in Table I represent 115 Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

NUVEEN MICHIGAN DIVIDEND ADVANTAGE MUNICIPAL FUND

Report date November 30, 2008 · Filed December 10, 2008

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary142 Reported balance Holding disclosure · report date 2008-11-30 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 142

F1: The Auction Preferred Shares ("Shares") reported in Table I represent 142 Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

Filing footnotes · ownership attribution and instrument terms

F1: The Auction Preferred Shares ("Shares") reported in Table I represent 142 Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

NUVEEN MUNICIPAL ADVANTAGE FUND INC

Report date November 30, 2008 · Filed December 10, 2008

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary2,191 Reported balance Holding disclosure · report date 2008-11-30 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 2,191

F1: The Auction Preferred Shares ("Shares") reported in Table I represent 2,191 Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

Filing footnotes · ownership attribution and instrument terms

F1: The Auction Preferred Shares ("Shares") reported in Table I represent 2,191 Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

NUVEEN NEW JERSEY DIVIDEND ADVANTAGE MUNICIPAL FUND 2

Report date January 18, 2011 · Filed March 10, 2011 · Amendment

Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance Holding disclosure · report date 2011-01-18 · row 1 Amendment: may correct only part of an earlier disclosure.
1 source row

Row 1 · Balance 0

F1: This amendment to Form 3 is being filed to correct an administrative oversight that resulted in the reporting person filing Form 3 in respect of this issuer when no securities of this issuer were beneficially owned.

Filing footnotes · ownership attribution and instrument terms

F1: This amendment to Form 3 is being filed to correct an administrative oversight that resulted in the reporting person filing Form 3 in respect of this issuer when no securities of this issuer were beneficially owned.

NUVEEN NEW YORK DIVIDEND ADVANTAGE MUNICIPAL FUND 2

Report date November 30, 2008 · Filed December 10, 2008

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary187 Reported balance Holding disclosure · report date 2008-11-30 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 187

F1: The Auction Preferred Shares ("Shares") reported in Table I represent 187 Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

Filing footnotes · ownership attribution and instrument terms

F1: The Auction Preferred Shares ("Shares") reported in Table I represent 187 Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

NUVEEN NORTH CAROLINA DIVIDEND ADVANTAGE MUNICIPAL FUND 2

Report date December 31, 2008 · Filed February 12, 2009

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary113 Reported balance Holding disclosure · report date 2008-12-31 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 113

F1: The Auction Preferred Shares ("Shares") reported in Table I represent 113 Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

Filing footnotes · ownership attribution and instrument terms

F1: The Auction Preferred Shares ("Shares") reported in Table I represent 113 Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

NUVEEN NORTH CAROLINA DIVIDEND ADVANTAGE MUNICIPAL FUND 3

Report date November 30, 2008 · Filed December 10, 2008

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary131 Reported balance Holding disclosure · report date 2008-11-30 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 131

F1: The Auction Preferred Shares ("Shares") reported in Table I represent 131 Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

Filing footnotes · ownership attribution and instrument terms

F1: The Auction Preferred Shares ("Shares") reported in Table I represent 131 Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

NUVEEN PENNSYLVANIA DIVIDEND ADVANTAGE MUNICIPAL FUND 2

Report date November 30, 2008 · Filed December 10, 2008

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary253 Reported balance Holding disclosure · report date 2008-11-30 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 253

F1: The Auction Preferred Shares ("Shares") reported in Table I represent 253 Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

Filing footnotes · ownership attribution and instrument terms

F1: The Auction Preferred Shares ("Shares") reported in Table I represent 253 Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

NUVEEN PENNSYLVANIA DIVIDEND ADVANTAGE MUNICIPAL FUND

Report date November 30, 2008 · Filed December 10, 2008

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary239 Reported balance Holding disclosure · report date 2008-11-30 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 239

F1: The Auction Preferred Shares ("Shares") reported in Table I represent 239 Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

Filing footnotes · ownership attribution and instrument terms

F1: The Auction Preferred Shares ("Shares") reported in Table I represent 239 Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

NUVEEN PENNSYLVANIA QUALITY MUNICIPAL INCOME FUND

Report date November 30, 2008 · Filed December 10, 2008

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary536 Reported balance Holding disclosure · report date 2008-11-30 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 536

F1: The Auction Preferred Shares ("Shares") reported in Table I represent 536 Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

Filing footnotes · ownership attribution and instrument terms

F1: The Auction Preferred Shares ("Shares") reported in Table I represent 536 Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

NUVEEN QUALITY PREFERRED INCOME FUND

Report date November 30, 2008 · Filed December 10, 2008

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary1,810 Reported balance Holding disclosure · report date 2008-11-30 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 1,810

F1: The Auction Preferred Shares ("Shares") reported in Table I represent 1,810 Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

Filing footnotes · ownership attribution and instrument terms

F1: The Auction Preferred Shares ("Shares") reported in Table I represent 1,810 Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

NUVEEN QUALITY PREFERRED INCOME FUND 3

Report date November 30, 2008 · Filed December 10, 2008

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary748 Reported balance Holding disclosure · report date 2008-11-30 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 748

F1: The Auction Preferred Shares ("Shares") reported in Table I represent 748 Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

Filing footnotes · ownership attribution and instrument terms

F1: The Auction Preferred Shares ("Shares") reported in Table I represent 748 Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

NUVEEN REAL ESTATE INCOME FUND

Report date November 30, 2008 · Filed December 10, 2008

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary1,143 Reported balance Holding disclosure · report date 2008-11-30 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 1,143

F1: The Auction Preferred Shares ("Shares") reported in Table I represent 1,143 Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

Filing footnotes · ownership attribution and instrument terms

F1: The Auction Preferred Shares ("Shares") reported in Table I represent 1,143 Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

NUVEEN TAX ADVANTAGED TOTAL RETURN STRATEGY FUND

Report date November 30, 2008 · Filed December 10, 2008

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary248 Reported balance Holding disclosure · report date 2008-11-30 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 248

F1: The Auction Preferred Shares ("Shares") reported in Table I represent 248 Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

Filing footnotes · ownership attribution and instrument terms

F1: The Auction Preferred Shares ("Shares") reported in Table I represent 248 Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

NUVEEN VIRGINIA DIVIDEND ADVANTAGE MUNICIPAL FUND

Report date November 30, 2008 · Filed December 10, 2008

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary157 Reported balance Holding disclosure · report date 2008-11-30 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 157

F1: The Auction Preferred Shares ("Shares") reported in Table I represent 157 Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

Filing footnotes · ownership attribution and instrument terms

F1: The Auction Preferred Shares ("Shares") reported in Table I represent 157 Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

NUVEEN VIRGINIA DIVIDEND ADVANTAGE MUNICIPAL FUND 2

Report date November 30, 2008 · Filed December 10, 2008

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary270 Reported balance Holding disclosure · report date 2008-11-30 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 270

F1: The Auction Preferred Shares ("Shares") reported in Table I represent 270 Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

Filing footnotes · ownership attribution and instrument terms

F1: The Auction Preferred Shares ("Shares") reported in Table I represent 270 Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

Nuveen AMT-Free Quality Municipal Income Fund

Report date September 13, 2016 · Filed September 15, 2016

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Variable Rate Demand Preferred Shares (Series 2)SEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2016-09-13 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2016-09-13 · Sale · Disposed 380 · Balance 0

F1: The Variable Rate Demand Preferred Shares ("Shares") reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Filing footnotes · ownership attribution and instrument terms

F1: The Variable Rate Demand Preferred Shares ("Shares") reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Nuveen Credit Strategies Income Fund

Report date November 30, 2008 · Filed December 10, 2008

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary3,320 Reported balance Holding disclosure · report date 2008-11-30 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 3,320

F1: The Auction Preferred Shares ("Shares") reported in Table I represent 3,320 Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

Filing footnotes · ownership attribution and instrument terms

F1: The Auction Preferred Shares ("Shares") reported in Table I represent 3,320 Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

Nuveen Preferred & Income Opportunities Fund

Report date November 30, 2008 · Filed December 10, 2008

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary1,855 Reported balance Holding disclosure · report date 2008-11-30 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 1,855

F1: The Auction Preferred Shares ("Shares") reported in Table I represent 1,855 Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

Filing footnotes · ownership attribution and instrument terms

F1: The Auction Preferred Shares ("Shares") reported in Table I represent 1,855 Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

Nuveen Preferred & Income Securities Fund

Report date November 30, 2008 · Filed December 10, 2008

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary2,063 Reported balance Holding disclosure · report date 2008-11-30 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 2,063

F1: The Auction Preferred Shares ("Shares") reported in Table I represent 2,063 Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

Filing footnotes · ownership attribution and instrument terms

F1: The Auction Preferred Shares ("Shares") reported in Table I represent 2,063 Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

PIMCO MUNICIPAL INCOME FUND III

Report date April 06, 2011 · Filed May 09, 2011

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary166 Reported balance Holding disclosure · report date 2011-04-06 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 166

F1: The Auction Preferred Shares ("Shares") reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Filing footnotes · ownership attribution and instrument terms

F1: The Auction Preferred Shares ("Shares") reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Primerica, Inc.

Report date December 19, 2011 · Filed December 21, 2011

Jointly reported with ASSOCIATED MADISON COMPANIES INC, CITIGROUP INSURANCE HOLDING CORP

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common Stock, par value $0.01SEC Table I · non-derivativeIndirectBy Subsidiary16,061 Reported balance After 2011-12-19 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2011-12-19 · Sale · Disposed 8,081,542 · Balance 16,061

F1: Includes 8,081,542 shares of common stock that were directly beneficially owned by Citigroup Insurance Holding Corporation ("CIHC"). Associated Madison Companies, Inc. ("AMAD") is the sole stockholder of CIHC. Citigroup Inc. ("Citigroup") is the sole stockholder of AMAD. AMAD and Citigroup were indirect beneficial owners of these securities.

F2: Includes 16,061 shares of common stock that are held by certain subsidiaries of Citigroup, other than CIHC and AMAD, which shares were acquired in the ordinary course of business of such subsidiaries. Citigroup is the indirect beneficial owner of these securities.

Filing footnotes · ownership attribution and instrument terms

F1: Includes 8,081,542 shares of common stock that were directly beneficially owned by Citigroup Insurance Holding Corporation ("CIHC"). Associated Madison Companies, Inc. ("AMAD") is the sole stockholder of CIHC. Citigroup Inc. ("Citigroup") is the sole stockholder of AMAD. AMAD and Citigroup were indirect beneficial owners of these securities.

F2: Includes 16,061 shares of common stock that are held by certain subsidiaries of Citigroup, other than CIHC and AMAD, which shares were acquired in the ordinary course of business of such subsidiaries. Citigroup is the indirect beneficial owner of these securities.

SALOMON BROTHERS INFLATION MANAGEMENT FUND INC

Report date May 25, 2004 · Filed May 25, 2004

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect0 Reported balance Holding disclosure · report date 2004-05-25 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 0

SELIGMAN SELECT MUNICIPAL FUND INC

Report date November 30, 2008 · Filed December 10, 2008

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary307 Reported balance Holding disclosure · report date 2008-11-30 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 307

F1: The Auction Preferred Shares ("Shares") reported in Table I represent 307 Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

Filing footnotes · ownership attribution and instrument terms

F1: The Auction Preferred Shares ("Shares") reported in Table I represent 307 Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

TAILWIND FINANCIAL INC.

Report date June 26, 2008 · Filed July 07, 2008

Jointly reported with Citigroup Global Markets Holdings Inc., Citigroup Financial Products Inc., Citigroup Global Markets Inc.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common Stock, par value $.001 per shareSEC Table I · non-derivativeIndirectBy Subsidiary1,250,000 Reported balance Holding disclosure · report date 2008-06-26 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 1,250,000

F1: The shares of Common Stock ("Common") reported in Table I represents 1,250,000 Common beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

WarrantSEC Table II · derivative / convertible security · Conversion / exercise price $6.00 · Expires 2010-10-18IndirectBy SubsidiaryNot disclosed Reported balance Holding disclosure · report date 2008-06-26 · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · Balance Not disclosed

F2: The Warrant shares ("Warrants") reported in Table II represent 1,250,000 warrants beneficially owned by CGMI. CFP is the sole stockholder of CGMI. CGMHI is the sole stockholder of CFP. Citigroup is the sole stockholder of CGMHI.

Filing footnotes · ownership attribution and instrument terms

F1: The shares of Common Stock ("Common") reported in Table I represents 1,250,000 Common beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMHI") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMHI.

F2: The Warrant shares ("Warrants") reported in Table II represent 1,250,000 warrants beneficially owned by CGMI. CFP is the sole stockholder of CGMI. CGMHI is the sole stockholder of CFP. Citigroup is the sole stockholder of CGMHI.

TRAVELERS PROPERTY CASUALTY CORP

Report date October 21, 2003 · Filed October 22, 2003

Jointly reported with ASSOCIATED MADISON COMPANIES INC, AMAD HOLDINGS INC, CITIGROUP INVESTMENT HOLDINGS INC

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class B Common Stock, par value $0.01 per shareSEC Table I · non-derivativeIndirectBy Subsidiary49,309,168 Reported balance After 2003-10-21 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 2 · 2003-10-21 · Sale · Disposed 6,000 · Balance 49,309,168

F1: Upon giving effect to each of the transactions reported herein, represents (i) 38,141,335 shares of Class A Common Stock and 37,500,168 shares of Class B Common Stock directly beneficially owned by Citigroup Investment Holdings Inc. ("CIHI"), and (ii) 11,809,000 shares of Class A Common Stock and 11,809,000 shares of Class B Common Stock directly beneficially owned by AMAD Holdings Inc. ("AMI"). AMI is a wholly owned subsidiary of Associated Madison Companies, Inc. ("Associated Madison"), which is a wholly owned subsidiary of Citigroup Inc. ("Citigroup"). CIHI is a wholly owned subsidiary of Citigroup. Each of Citigroup and Associated Madison disclaims beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein.

Class A Common Stock, par value $0.01 per shareSEC Table I · non-derivativeIndirectBy Subsidiary49,950,335 Reported balance Holding disclosure · report date 2003-10-21 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 49,950,335

F1: Upon giving effect to each of the transactions reported herein, represents (i) 38,141,335 shares of Class A Common Stock and 37,500,168 shares of Class B Common Stock directly beneficially owned by Citigroup Investment Holdings Inc. ("CIHI"), and (ii) 11,809,000 shares of Class A Common Stock and 11,809,000 shares of Class B Common Stock directly beneficially owned by AMAD Holdings Inc. ("AMI"). AMI is a wholly owned subsidiary of Associated Madison Companies, Inc. ("Associated Madison"), which is a wholly owned subsidiary of Citigroup Inc. ("Citigroup"). CIHI is a wholly owned subsidiary of Citigroup. Each of Citigroup and Associated Madison disclaims beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: Upon giving effect to each of the transactions reported herein, represents (i) 38,141,335 shares of Class A Common Stock and 37,500,168 shares of Class B Common Stock directly beneficially owned by Citigroup Investment Holdings Inc. ("CIHI"), and (ii) 11,809,000 shares of Class A Common Stock and 11,809,000 shares of Class B Common Stock directly beneficially owned by AMAD Holdings Inc. ("AMI"). AMI is a wholly owned subsidiary of Associated Madison Companies, Inc. ("Associated Madison"), which is a wholly owned subsidiary of Citigroup Inc. ("Citigroup"). CIHI is a wholly owned subsidiary of Citigroup. Each of Citigroup and Associated Madison disclaims beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein.

WESTERN ASSET EMERGING MARKETS DEBT FUND INC.

Report date December 01, 2003 · Filed December 03, 2003

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
common stockSEC Table I · non-derivativeDirect0 Reported balance Holding disclosure · report date 2003-12-01 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 0

WESTERN ASSET GLOBAL HIGH INCOME FUND INC.

Report date July 28, 2003 · Filed July 28, 2003

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
common stockSEC Table I · non-derivativeDirect0 Reported balance Holding disclosure · report date 2003-07-28 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 0

WESTERN ASSET VARIABLE RATE STRATEGIC FUND INC.

Report date October 26, 2004 · Filed October 27, 2004

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect0 Reported balance Holding disclosure · report date 2004-10-26 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 0

Past disclosures · reporting ended (118)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

ABERDEEN MUNICIPAL INCOME FUND

Report date July 20, 2021 · Filed July 22, 2021

Section 16 reporting ended · disclosed 2021-07-22. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Variable Rate Municipal Term Preferred Shares, Series 2019/3SEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2021-07-20 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2021-07-20 · Other · Disposed 4,550 · Balance 0

F1: All Variable Rate Municipal Term Preferred Shares, Series 2019/3 ("Series 2019/3 VMTP Shares") of the Fund have been called for redemption by the issuer on July 20, 2021.

F2: These Series 2019/3 VMTP Shares are beneficially owned by Citibank, N.A. ("Citibank"). Citicorp LLC ("Citicorp") is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

Filing footnotes · ownership attribution and instrument terms

F1: All Variable Rate Municipal Term Preferred Shares, Series 2019/3 ("Series 2019/3 VMTP Shares") of the Fund have been called for redemption by the issuer on July 20, 2021.

F2: These Series 2019/3 VMTP Shares are beneficially owned by Citibank, N.A. ("Citibank"). Citicorp LLC ("Citicorp") is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND

Report date November 12, 2014 · Filed November 13, 2014

Section 16 reporting ended · disclosed 2014-11-13. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2014-11-12 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2014-11-12 · Sale · Disposed 856 · Balance 0

F1: The Auction Rate Preferred Shares ("Shares") reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Filing footnotes · ownership attribution and instrument terms

F1: The Auction Rate Preferred Shares ("Shares") reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

ALLIANCE NEW YORK MUNICIPAL INCOME FUND

Report date November 07, 2014 · Filed November 10, 2014

Section 16 reporting ended · disclosed 2014-11-10. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2014-11-07 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2014-11-07 · Sale · Disposed 848 · Balance 0

F1: The Auction Rate Preferred Shares ("Shares") reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Filing footnotes · ownership attribution and instrument terms

F1: The Auction Rate Preferred Shares ("Shares") reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

ALLIANCEBERNSTEIN NATIONAL MUNICIPAL INCOME FUND

Report date September 02, 2015 · Filed September 03, 2015

Section 16 reporting ended · disclosed 2015-09-03. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2015-09-02 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2015-09-02 · Other · Disposed 2,992 · Balance 0

F1: The Auction Rate Preferred Shares ("Shares") reported in Table I were purchased by the issuer in connection with its cash tender offer to purchase up to 100% of its outstanding auction rate preferred shares which expired on August 24, 2015.

F2: These Shares are beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Filing footnotes · ownership attribution and instrument terms

F1: The Auction Rate Preferred Shares ("Shares") reported in Table I were purchased by the issuer in connection with its cash tender offer to purchase up to 100% of its outstanding auction rate preferred shares which expired on August 24, 2015.

F2: These Shares are beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Advent Claymore Convertible Securities & Income Fund II

Report date December 24, 2012 · Filed December 26, 2012

Section 16 reporting ended · disclosed 2012-12-26. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2012-12-24 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2012-12-24 · Other · Disposed 1,039 · Balance 0

F1: These Auction Rate Preferred Shares (the "Shares") were purchased by the issuer in connection with its cash tender offer to purchase up to 100% of its outstanding auction rate preferred shares which expired on December 12, 2012.

F2: These Shares are beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Filing footnotes · ownership attribution and instrument terms

F1: These Auction Rate Preferred Shares (the "Shares") were purchased by the issuer in connection with its cash tender offer to purchase up to 100% of its outstanding auction rate preferred shares which expired on December 12, 2012.

F2: These Shares are beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

BLACKROCK CALIFORNIA MUNICIPAL INCOME TRUST

Report date April 18, 2012 · Filed April 18, 2012

Section 16 reporting ended · disclosed 2012-04-18. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2012-04-18 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2012-04-18 · Other · Disposed 416 · Balance 0

F1: These Auction Preferred Shares (the "Shares") were called for redemption by the issuer.

F2: The Shares reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Filing footnotes · ownership attribution and instrument terms

F1: These Auction Preferred Shares (the "Shares") were called for redemption by the issuer.

F2: The Shares reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

BLACKROCK CREDIT ALLOCATION INCOME TRUST

Report date January 05, 2011 · Filed January 20, 2011

Section 16 reporting ended · disclosed 2011-01-20. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary0 Last balance in matching sequence After 2011-01-10 transaction · row 4 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
4 source rows

Row 1 · 2011-01-05 · Sale · Disposed 177 · Balance 779

F1: The Auction Preferred Shares ("Shares") reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Row 2 · 2011-01-06 · Sale · Disposed 301 · Balance 478

F1: The Auction Preferred Shares ("Shares") reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Row 3 · 2011-01-07 · Sale · Disposed 201 · Balance 277

F1: The Auction Preferred Shares ("Shares") reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Row 4 · 2011-01-10 · Sale · Disposed 277 · Balance 0

F1: The Auction Preferred Shares ("Shares") reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Filing footnotes · ownership attribution and instrument terms

F1: The Auction Preferred Shares ("Shares") reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

BLACKROCK MARYLAND MUNICIPAL BOND TRUST

Report date October 18, 2017 · Filed October 20, 2017

Section 16 reporting ended · disclosed 2017-10-20. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Variable Rate Demand Preferred SharesSEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2017-10-18 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2017-10-18 · Sale · Disposed 36 · Balance 0

F1: The Variable Rate Demand Preferred Shares ("Shares") reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc.("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Filing footnotes · ownership attribution and instrument terms

F1: The Variable Rate Demand Preferred Shares ("Shares") reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc.("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

BLACKROCK MASSACHUSETTS TAX-EXEMPT TRUST

Report date June 19, 2019 · Filed June 21, 2019

Section 16 reporting ended · disclosed 2019-06-21. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Series W-7 Variable Rate Demand Preferred SharesSEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2019-06-19 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2019-06-19 · Sale · Disposed 185 · Balance 0

F1: These shares are beneficially owned by Citibank, N.A. ("Citibank"). Citicorp LLC ("Citicorp") is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

Filing footnotes · ownership attribution and instrument terms

F1: These shares are beneficially owned by Citibank, N.A. ("Citibank"). Citicorp LLC ("Citicorp") is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

BLACKROCK MUNICIPAL BOND INVESTMENT TRUST

Report date October 06, 2011 · Filed October 11, 2011

Section 16 reporting ended · disclosed 2011-10-11. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2011-10-06 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2011-10-06 · Other · Disposed 299 · Balance 0

F1: These Auction Preferred Shares ("Shares") were called for redemption by the issuer.

F2: The Shares reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Filing footnotes · ownership attribution and instrument terms

F1: These Auction Preferred Shares ("Shares") were called for redemption by the issuer.

F2: The Shares reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

BLACKROCK MUNICIPAL BOND TRUST

Report date January 13, 2012 · Filed January 17, 2012

Section 16 reporting ended · disclosed 2012-01-17. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2012-01-13 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2012-01-13 · Other · Disposed 358 · Balance 0

F1: These Auction Prefereed Shares ("Shares") were called for redemption by the issuer.

F2: The Shares reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Filing footnotes · ownership attribution and instrument terms

F1: These Auction Prefereed Shares ("Shares") were called for redemption by the issuer.

F2: The Shares reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

BLACKROCK MUNICIPAL INCOME INVESTMENT QUALITY TRUST

Report date January 10, 2012 · Filed January 11, 2012

Section 16 reporting ended · disclosed 2012-01-11. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2012-01-10 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2012-01-10 · Other · Disposed 921 · Balance 0

F1: These Auction Preferred Shares ("Shares") were called for redemption by the issuer.

F2: The Shares reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Filing footnotes · ownership attribution and instrument terms

F1: These Auction Preferred Shares ("Shares") were called for redemption by the issuer.

F2: The Shares reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

BLACKROCK MUNICIPAL INCOME INVESTMENT TRUST

Report date October 12, 2011 · Filed October 12, 2011

Section 16 reporting ended · disclosed 2011-10-12. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2011-10-12 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2011-10-12 · Other · Disposed 306 · Balance 0

F1: These Auction Preferred Shares ("Shares") were called for redemption by the issuer.

F2: The Shares reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Filing footnotes · ownership attribution and instrument terms

F1: These Auction Preferred Shares ("Shares") were called for redemption by the issuer.

F2: The Shares reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

BLACKROCK MUNICIPAL INCOME QUALITY TRUST

Report date January 13, 2012 · Filed January 17, 2012

Section 16 reporting ended · disclosed 2012-01-17. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2012-01-13 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2012-01-13 · Other · Disposed 812 · Balance 0

F1: These Auction Preferred Shares ("Shares") were called for redemption by the issuer.

F2: The Shares reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Filing footnotes · ownership attribution and instrument terms

F1: These Auction Preferred Shares ("Shares") were called for redemption by the issuer.

F2: The Shares reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

BLACKROCK MUNICIPAL INCOME TRUST

Report date January 12, 2012 · Filed January 17, 2012

Section 16 reporting ended · disclosed 2012-01-17. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary0 Last balance in matching sequence After 2012-01-13 transaction · row 2 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rows

Row 1 · 2012-01-12 · Other · Disposed 423 · Balance 523

F1: These Auction Preferred Shares ("Shares") were called for redemption by the issuer.

F2: The Shares reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Row 2 · 2012-01-13 · Other · Disposed 523 · Balance 0

F1: These Auction Preferred Shares ("Shares") were called for redemption by the issuer.

F2: The Shares reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Filing footnotes · ownership attribution and instrument terms

F1: These Auction Preferred Shares ("Shares") were called for redemption by the issuer.

F2: The Shares reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

BLACKROCK MUNIENHANCED FUND, INC.

Report date June 19, 2019 · Filed June 21, 2019

Section 16 reporting ended · disclosed 2019-06-21. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Series W-7 Variable Rate Demand Preferred SharesSEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2019-06-19 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2019-06-19 · Sale · Disposed 1,425 · Balance 0

F1: These shares are beneficially owned by Citibank, N.A. ("Citibank"). Citicorp LLC ("Citicorp") is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

Filing footnotes · ownership attribution and instrument terms

F1: These shares are beneficially owned by Citibank, N.A. ("Citibank"). Citicorp LLC ("Citicorp") is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

BLACKROCK MUNIYIELD ARIZONA FUND, INC.

Report date June 19, 2019 · Filed June 21, 2019

Section 16 reporting ended · disclosed 2019-06-21. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Series W-7 Variable Rate Demand Preferred SharesSEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2019-06-19 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2019-06-19 · Sale · Disposed 373 · Balance 0

F1: These shares are beneficially owned by Citibank, N.A. ("Citibank"). Citicorp LLC ("Citicorp") is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

Filing footnotes · ownership attribution and instrument terms

F1: These shares are beneficially owned by Citibank, N.A. ("Citibank"). Citicorp LLC ("Citicorp") is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

BLACKROCK MUNIYIELD CALIFORNIA FUND, INC.

Report date June 19, 2019 · Filed June 21, 2019

Section 16 reporting ended · disclosed 2019-06-21. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Series W-7 Variable Rate Demand Preferred SharesSEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2019-06-19 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2019-06-19 · Sale · Disposed 1,059 · Balance 0

F1: These shares are beneficially owned by Citibank, N.A. ("Citibank"). Citicorp LLC ("Citicorp") is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

Filing footnotes · ownership attribution and instrument terms

F1: These shares are beneficially owned by Citibank, N.A. ("Citibank"). Citicorp LLC ("Citicorp") is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

BLACKROCK MUNIYIELD CALIFORNIA QUALITY FUND, INC.

Report date June 19, 2019 · Filed June 21, 2019

Section 16 reporting ended · disclosed 2019-06-21. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Series W-7 Variable Rate Demand Preferred SharesSEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2019-06-19 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2019-06-19 · Sale · Disposed 1,665 · Balance 0

F1: These shares are beneficially owned by Citibank, N.A. ("Citibank"). Citicorp LLC ("Citicorp") is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

Filing footnotes · ownership attribution and instrument terms

F1: These shares are beneficially owned by Citibank, N.A. ("Citibank"). Citicorp LLC ("Citicorp") is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

BLACKROCK MUNIYIELD INVESTMENT FUND

Report date June 19, 2019 · Filed June 21, 2019

Section 16 reporting ended · disclosed 2019-06-21. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Series W-7 Variable Rate Demand Preferred SharesSEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2019-06-19 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2019-06-19 · Sale · Disposed 594 · Balance 0

F1: These shares are beneficially owned by Citibank, N.A. ("Citibank"). Citicorp LLC ("Citicorp") is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

Filing footnotes · ownership attribution and instrument terms

F1: These shares are beneficially owned by Citibank, N.A. ("Citibank"). Citicorp LLC ("Citicorp") is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

BLACKROCK MUNIYIELD MICHIGAN QUALITY FUND II, INC.

Report date September 14, 2015 · Filed September 15, 2015

Section 16 reporting ended · disclosed 2015-09-15. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Variable Rate Demand Preferred SharesSEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2015-09-14 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2015-09-14 · Other · Disposed 873 · Balance 0

F1: Effective as of September 14, 2015, BlackRock MuniYield Michigan Quality Fund II Inc. (the "Target Fund") was reorganized into BlackRock MuniYield Michigan Quality Fund, Inc. (the "Acquiring Fund'). In the Reorganization, preferred shareholders of the Target Fund received on a one-for-one basis the Acquiring Fund preferred shares in an amount equal to the aggregate preferred share liquidation preference (including any accumulated and unpaid dividends) held by the Target Fund preferred shareholders immediately prior to the Reorganization. In the Reorganization, Citibank N.A. received 873 Variable Rate Demand Preferred Shares of the Acquiring Fund in exchange for its 873 Variable Rate Demand Preferred Shares of the Target Fund.

F2: These shares are beneficially owned by Citibank, N.A. (Citibank). Citicorp is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

Filing footnotes · ownership attribution and instrument terms

F1: Effective as of September 14, 2015, BlackRock MuniYield Michigan Quality Fund II Inc. (the "Target Fund") was reorganized into BlackRock MuniYield Michigan Quality Fund, Inc. (the "Acquiring Fund'). In the Reorganization, preferred shareholders of the Target Fund received on a one-for-one basis the Acquiring Fund preferred shares in an amount equal to the aggregate preferred share liquidation preference (including any accumulated and unpaid dividends) held by the Target Fund preferred shareholders immediately prior to the Reorganization. In the Reorganization, Citibank N.A. received 873 Variable Rate Demand Preferred Shares of the Acquiring Fund in exchange for its 873 Variable Rate Demand Preferred Shares of the Target Fund.

F2: These shares are beneficially owned by Citibank, N.A. (Citibank). Citicorp is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

BLACKROCK MUNIYIELD MICHIGAN QUALITY FUND, INC.

Report date January 24, 2019 · Filed January 25, 2019

Section 16 reporting ended · disclosed 2019-01-25. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Variable Rate Demand Preferred SharesSEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2019-01-24 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2019-01-24 · Sale · Disposed 2,319 · Balance 0

F1: These Shares are beneficially owned by Citibank, N.A. ("Citibank"). Citicorp LLC ("Citicorp") is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

Filing footnotes · ownership attribution and instrument terms

F1: These Shares are beneficially owned by Citibank, N.A. ("Citibank"). Citicorp LLC ("Citicorp") is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

BLACKROCK MUNIYIELD NEW JERSEY FUND, INC.

Report date June 19, 2019 · Filed June 21, 2019

Section 16 reporting ended · disclosed 2019-06-21. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Series W-7 Variable Rate Demand Preferred SharesSEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2019-06-19 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2019-06-19 · Sale · Disposed 1,800 · Balance 0

F1: These shares are beneficially owned by Citibank, N.A. ("Citibank"). Citicorp LLC ("Citicorp") is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

Filing footnotes · ownership attribution and instrument terms

F1: These shares are beneficially owned by Citibank, N.A. ("Citibank"). Citicorp LLC ("Citicorp") is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

BLACKROCK MUNIYIELD NEW YORK QUALITY FUND, INC.

Report date January 24, 2019 · Filed January 25, 2019

Section 16 reporting ended · disclosed 2019-01-25. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Variable Rate Demand Preferred SharesSEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2019-01-24 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2019-01-24 · Sale · Disposed 2,477 · Balance 0

F1: These Shares are beneficially owned by Citibank, N.A. ("Citibank"). Citicorp LLC ("Citicorp") is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

Filing footnotes · ownership attribution and instrument terms

F1: These Shares are beneficially owned by Citibank, N.A. ("Citibank"). Citicorp LLC ("Citicorp") is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

BLACKROCK MUNIYIELD PENNSYLVANIA QUALITY FUND

Report date June 19, 2019 · Filed June 21, 2019

Section 16 reporting ended · disclosed 2019-06-21. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Series W-7 Variable Rate Demand Preferred SharesSEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2019-06-19 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2019-06-19 · Sale · Disposed 826 · Balance 0

F1: These shares are beneficially owned by Citibank, N.A. ("Citibank"). Citicorp LLC ("Citicorp") is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

Filing footnotes · ownership attribution and instrument terms

F1: These shares are beneficially owned by Citibank, N.A. ("Citibank"). Citicorp LLC ("Citicorp") is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

BLACKROCK MUNIYIELD QUALITY FUND III, INC.

Report date March 26, 2020 · Filed March 30, 2020

Section 16 reporting ended · disclosed 2020-03-30. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Variable Rate Demand Preferred SharesSEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2020-03-26 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2020-03-26 · Sale · Disposed 520 · Balance 0

F1: The Variable Rate Demand Preferred Shares ("Shares") reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Filing footnotes · ownership attribution and instrument terms

F1: The Variable Rate Demand Preferred Shares ("Shares") reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

BLACKROCK NEW JERSEY MUNICIPAL BOND TRUST

Report date June 11, 2018 · Filed June 13, 2018

Section 16 reporting ended · disclosed 2018-06-13. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Variable Rate Demand Preferred SharesSEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2018-06-11 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2018-06-11 · Other · Disposed 187 · Balance 0

F1: Effective as of June 11, 2018, BlackRock New Jersey Municipal Income Trust ("BNJ") and BlackRock New Jersey Municipal Bond Trust ("BLJ") were reorganized into BlackRock MuniYield New Jersey Fund, Inc. ("MYJ"), with MYJ continuing as the surviving fund after the reorganizations. Holders of the VRDP Shares of BNJ and BLJ will receive on a one-for-one basis MYJ VRDP Shares in an amount equal to the aggregate VRDP Share liquidation preference (including any accumulated and unpaid dividends) held by such holders of VRDP Shares immediately prior to the reorganizations.

F2: The Variable Rate Demand Preferred Shares ("Shares") reported in Table I represent Shares beneficially owned by Citibank, N.A. ("Citibank"). Citicorp LLC ("Citicorp") is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

Filing footnotes · ownership attribution and instrument terms

F1: Effective as of June 11, 2018, BlackRock New Jersey Municipal Income Trust ("BNJ") and BlackRock New Jersey Municipal Bond Trust ("BLJ") were reorganized into BlackRock MuniYield New Jersey Fund, Inc. ("MYJ"), with MYJ continuing as the surviving fund after the reorganizations. Holders of the VRDP Shares of BNJ and BLJ will receive on a one-for-one basis MYJ VRDP Shares in an amount equal to the aggregate VRDP Share liquidation preference (including any accumulated and unpaid dividends) held by such holders of VRDP Shares immediately prior to the reorganizations.

F2: The Variable Rate Demand Preferred Shares ("Shares") reported in Table I represent Shares beneficially owned by Citibank, N.A. ("Citibank"). Citicorp LLC ("Citicorp") is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

BLACKROCK NEW JERSEY MUNICIPAL INCOME TRUST

Report date June 11, 2018 · Filed June 13, 2018

Section 16 reporting ended · disclosed 2018-06-13. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Series W-7 Variable Rate Demand Preferred SharesSEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2018-06-11 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2018-06-11 · Other · Disposed 591 · Balance 0

F1: Effective as of June 11, 2018, BlackRock New Jersey Municipal Income Trust ("BNJ") and BlackRock New Jersey Municipal Bond Trust ("BLJ") were reorganized into BlackRock MuniYield New Jersey Fund, Inc. ("MYJ"), with MYJ continuing as the surviving fund after the reorganizations. Holders of the VRDP Shares of BNJ and BLJ will receive on a one-for-one basis MYJ VRDP Shares in an amount equal to the aggregate VRDP Share liquidation preference (including any accumulated and unpaid dividends) held by such holders of VRDP Shares immediately prior to the reorganizations.

F2: The Series W-7 Variable Rate Demand Preferred Shares ("Shares") reported in Table I represent Shares beneficially owned by Citibank, N.A. ("Citibank"). Citicorp LLC ("Citicorp") is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

Filing footnotes · ownership attribution and instrument terms

F1: Effective as of June 11, 2018, BlackRock New Jersey Municipal Income Trust ("BNJ") and BlackRock New Jersey Municipal Bond Trust ("BLJ") were reorganized into BlackRock MuniYield New Jersey Fund, Inc. ("MYJ"), with MYJ continuing as the surviving fund after the reorganizations. Holders of the VRDP Shares of BNJ and BLJ will receive on a one-for-one basis MYJ VRDP Shares in an amount equal to the aggregate VRDP Share liquidation preference (including any accumulated and unpaid dividends) held by such holders of VRDP Shares immediately prior to the reorganizations.

F2: The Series W-7 Variable Rate Demand Preferred Shares ("Shares") reported in Table I represent Shares beneficially owned by Citibank, N.A. ("Citibank"). Citicorp LLC ("Citicorp") is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

BLACKROCK NEW YORK MUNICIPAL BOND TRUST

Report date October 12, 2011 · Filed October 12, 2011

Section 16 reporting ended · disclosed 2011-10-12. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2011-10-12 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2011-10-12 · Other · Disposed 244 · Balance 0

F1: These Auction Preferred Shares ("Shares") were called for redemption by the issuer.

F2: The Shares reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Filing footnotes · ownership attribution and instrument terms

F1: These Auction Preferred Shares ("Shares") were called for redemption by the issuer.

F2: The Shares reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

BLACKROCK NEW YORK MUNICIPAL INCOME QUALITY TRUST

Report date October 07, 2011 · Filed October 11, 2011

Section 16 reporting ended · disclosed 2011-10-11. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2011-10-07 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2011-10-07 · Other · Disposed 318 · Balance 0

F1: These Auction Preferred Shares ("Shares") were called for redemption by the issuer.

F2: The Shares reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Filing footnotes · ownership attribution and instrument terms

F1: These Auction Preferred Shares ("Shares") were called for redemption by the issuer.

F2: The Shares reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

BLACKROCK PENNSYLVANIA STRATEGIC MUNICIPAL TRUST

Report date June 14, 2012 · Filed March 20, 2013 · Amendment

Section 16 reporting ended · disclosed 2012-07-09. Current position is not established by this disclosure.

Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Variable Rate Demand Preferred SharesSEC Table I · non-derivativeIndirectBy Subsidiary116 Reported balance After 2012-06-14 transaction · row 1 Amendment: may correct only part of an earlier disclosure.
1 source row

Row 1 · 2012-06-14 · Purchase · Acquired 116 · Balance 116

F1: These shares are beneficially owned by Citibank, N.A. ("Citibank"). Citicorp is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2012-07-05 transaction · row 2 Amendment: may correct only part of an earlier disclosure.
1 source row

Row 2 · 2012-07-05 · Other · Disposed 197 · Balance 0

F2: These Auction Rate Preferred Shares ("ARS Shares") were called for redemption by the issuer.

F3: The ARS Shares reported in Table I represent ARS Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Filing footnotes · ownership attribution and instrument terms

F1: These shares are beneficially owned by Citibank, N.A. ("Citibank"). Citicorp is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

F2: These Auction Rate Preferred Shares ("ARS Shares") were called for redemption by the issuer.

F3: The ARS Shares reported in Table I represent ARS Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

BLACKROCK STRATEGIC MUNICIPAL TRUST

Report date January 12, 2012 · Filed January 13, 2012

Section 16 reporting ended · disclosed 2012-01-13. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2012-01-12 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2012-01-12 · Other · Disposed 294 · Balance 0

F1: These Auction Preferred Shares ("Shares") were called for redemption by the issuer.

F2: The Shares reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Filing footnotes · ownership attribution and instrument terms

F1: These Auction Preferred Shares ("Shares") were called for redemption by the issuer.

F2: The Shares reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

BLACKROCK VIRGINIA MUNICIPAL BOND TRUST

Report date October 21, 2016 · Filed October 25, 2016

Section 16 reporting ended · disclosed 2016-10-25. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Variable Rate Demand Preferred SharesSEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2016-10-21 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2016-10-21 · Sale · Disposed 56 · Balance 0

F1: The Variable Rate Demand Preferred Shares ("Shares") reported in Table represent Shares beneficially owned by Citigroup Global Markets Inc.("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Filing footnotes · ownership attribution and instrument terms

F1: The Variable Rate Demand Preferred Shares ("Shares") reported in Table represent Shares beneficially owned by Citigroup Global Markets Inc.("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Section 16 reporting ended · disclosed 2004-08-23. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class A Common Stock, $0.01 par valueSEC Table I · non-derivativeIndirectBy Citicorp Venture Capital Ltd.0 Reported balance After 2004-08-04 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2004-08-04 · Other · Disposed 9,153,995 · Balance 0

F1: See General Remarks.

F2: CVC is a wholly owned subsidiary of Citibank, N.A., which is a wholly owned subsidiary of Citicorp, which is a wholly owned subsidiary of Citigroup Holdings Company, which is a wholly owned subsidiary of Citigroup Inc. Each of Citigroup Inc., Citigroup Holdings Company, Citicorp and Citibank, N.A. disclaims beneficial ownership of the securities reported herein except to the extent of their pecuniary interests therein.

8% Convertible Subordinated Notes Due 2001SEC Table II · derivative / convertible securityIndirectBy Citicorp Mezzanine III, L.P.Not disclosed Reported balance After 2004-08-04 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2004-08-04 · Other · Disposed Not disclosed · Balance Not disclosed

F3: In connection with the Merger, the 8% Convertible Subordinated Notes Due 2001 directly beneficially owned by Citicorp Mezzanine III, L.P. (the "8% Notes"), which were formerly convertible into Common Stock, became convertible into 4,367,469 ADSs. The ADSs had a market value of $6.36 per ADS as of August 5, 2004. The 8% Notes may be converted into ADSs at any time and mature on June 15, 2011.

F4: Citicorp Capital Investors, Limited ("CCI") is the general partner of Citicorp Mezzanine III, L.P. CCI is a wholly owned subsidiary of Citicorp, which is a wholly owned subsidiary of Citigroup Holdings Company, which is a wholly owned subsidiary of Citigroup Inc. Each of Citigroup Inc., Citigroup Holdings Company, Citicorp and Citicorp Capital Investors, Limited disclaims beneficial ownership of the securities reported herein except to the extent of their pecuniary interests therein.

Filing footnotes · ownership attribution and instrument terms

F1: See General Remarks.

F2: CVC is a wholly owned subsidiary of Citibank, N.A., which is a wholly owned subsidiary of Citicorp, which is a wholly owned subsidiary of Citigroup Holdings Company, which is a wholly owned subsidiary of Citigroup Inc. Each of Citigroup Inc., Citigroup Holdings Company, Citicorp and Citibank, N.A. disclaims beneficial ownership of the securities reported herein except to the extent of their pecuniary interests therein.

F3: In connection with the Merger, the 8% Convertible Subordinated Notes Due 2001 directly beneficially owned by Citicorp Mezzanine III, L.P. (the "8% Notes"), which were formerly convertible into Common Stock, became convertible into 4,367,469 ADSs. The ADSs had a market value of $6.36 per ADS as of August 5, 2004. The 8% Notes may be converted into ADSs at any time and mature on June 15, 2011.

F4: Citicorp Capital Investors, Limited ("CCI") is the general partner of Citicorp Mezzanine III, L.P. CCI is a wholly owned subsidiary of Citicorp, which is a wholly owned subsidiary of Citigroup Holdings Company, which is a wholly owned subsidiary of Citigroup Inc. Each of Citigroup Inc., Citigroup Holdings Company, Citicorp and Citicorp Capital Investors, Limited disclaims beneficial ownership of the securities reported herein except to the extent of their pecuniary interests therein.

CONSUMER PORTFOLIO SERVICES, INC.

Report date July 10, 2018 · Filed July 12, 2018

Section 16 reporting ended · disclosed 2018-07-12. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectBy Subsidiary1,999,995 Last balance in matching sequence After 2018-07-10 transaction · row 2 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rows

Row 1 · 2018-07-10 · Other · Acquired 2,000,000 · Balance 2,000,000

F1: The exercise price of the warrant securities ("Warrants") is $0.00001 per share of common stock.

F2: These Shares are beneficially owned by Citigroup Financial Products Inc. ("CFP"). Citigroup Global Markets Holdings Inc. ("CGM Holdings") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGM Holdings.

Row 2 · 2018-07-10 · Sale · Disposed 5 · Balance 1,999,995

F3: On July 10, 2018, the reporting person exercised a warrant to purchase 2,000,000 shares of the Issuer's common stock for $0.00001 a share. The reporting person paid the exercise price on a cashless basis, resulting in the Issuer's withholding of 5 of the warrant shares to pay the exercise price and issuing to the reporting person the remaining 1,999,995 shares.

F2: These Shares are beneficially owned by Citigroup Financial Products Inc. ("CFP"). Citigroup Global Markets Holdings Inc. ("CGM Holdings") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGM Holdings.

WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 · Expires 2018-07-10IndirectBy Subsidiary0 Reported balance After 2018-07-10 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · 2018-07-10 · Other · Disposed 2,000,000 · Balance 0

F1: The exercise price of the warrant securities ("Warrants") is $0.00001 per share of common stock.

F2: These Shares are beneficially owned by Citigroup Financial Products Inc. ("CFP"). Citigroup Global Markets Holdings Inc. ("CGM Holdings") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGM Holdings.

Filing footnotes · ownership attribution and instrument terms

F1: The exercise price of the warrant securities ("Warrants") is $0.00001 per share of common stock.

F2: These Shares are beneficially owned by Citigroup Financial Products Inc. ("CFP"). Citigroup Global Markets Holdings Inc. ("CGM Holdings") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGM Holdings.

F3: On July 10, 2018, the reporting person exercised a warrant to purchase 2,000,000 shares of the Issuer's common stock for $0.00001 a share. The reporting person paid the exercise price on a cashless basis, resulting in the Issuer's withholding of 5 of the warrant shares to pay the exercise price and issuing to the reporting person the remaining 1,999,995 shares.

Section 16 reporting ended · disclosed 2004-06-07. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectBy Subsidiary751,279 Reported balance After 2004-04-01 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 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 securityIndirectBy Subsidiary84,000 Reported balance After 2004-04-01 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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.

DWS MUNICIPAL INCOME TRUST

Report date November 10, 2020 · Filed November 12, 2020

Section 16 reporting ended · disclosed 2020-11-12. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Floating Rate Municipal Term Preferred Shares, Series 2018SEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2020-11-10 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2020-11-10 · Other · Disposed 39,750 · Balance 0

F1: All Floating Rate Municipal Term Preferred Shares, Series 2018 ("Shares") of the Fund have been called for redemption by the issuer on November 10, 2020.

F2: These Shares are beneficially owned by Citibank, N.A. ("Citibank"). Citicorp LLC ("Citicorp") is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

Filing footnotes · ownership attribution and instrument terms

F1: All Floating Rate Municipal Term Preferred Shares, Series 2018 ("Shares") of the Fund have been called for redemption by the issuer on November 10, 2020.

F2: These Shares are beneficially owned by Citibank, N.A. ("Citibank"). Citicorp LLC ("Citicorp") is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

DWS STRATEGIC MUNICIPAL INCOME TRUST

Report date November 10, 2020 · Filed November 12, 2020

Section 16 reporting ended · disclosed 2020-11-12. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Floating Rate Municipal Term Preferred Shares, Series 2018SEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2020-11-10 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2020-11-10 · Other · Disposed 2,800 · Balance 0

F1: All Floating Rate Municipal Term Preferred Shares, Series 2018 ("Shares") of the Fund have been called for redemption by the issuer on November 10, 2020.

F2: These Shares are beneficially owned by Citibank, N.A. ("Citibank"). Citicorp LLC ("Citicorp") is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

Filing footnotes · ownership attribution and instrument terms

F1: All Floating Rate Municipal Term Preferred Shares, Series 2018 ("Shares") of the Fund have been called for redemption by the issuer on November 10, 2020.

F2: These Shares are beneficially owned by Citibank, N.A. ("Citibank"). Citicorp LLC ("Citicorp") is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

EATON VANCE MICHIGAN MUNICIPAL INCOME TRUST

Report date September 24, 2014 · Filed September 26, 2014

Section 16 reporting ended · disclosed 2014-09-26. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2014-09-24 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2014-09-24 · Sale · Disposed 107 · Balance 0

F1: The Auction Rate Preferred Shares ("Shares") reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Filing footnotes · ownership attribution and instrument terms

F1: The Auction Rate Preferred Shares ("Shares") reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

EBS BUILDING LLC

Report date December 31, 2004 · Filed March 08, 2005 · Amendment

Jointly reported with CITIGROUP HOLDINGS CO, CITICORP, CITICORP NORTH AMERICA INC, Citibank, N.A.

Section 16 reporting ended · disclosed 2005-02-14. Current position is not established by this disclosure.

Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class A Membership UnitsSEC Table I · non-derivativeIndirectBy Subsidiary1,597,450 Reported balance Holding disclosure · report date 2004-12-31 · row 1 Amendment: may correct only part of an earlier disclosure.
1 source row

Row 1 · Balance 1,597,450

F1: The Class A Membership Units ("Class A") reported herein represent (i) 841,524 Class A directly beneficially owned by Citibank, N.A. and (ii) 755,926 Class A directly beneficially owned by Citicorp North America, Inc. ("CNA").

F2: Citicorp is the sole stockholder of each of CNA and Citibank, N.A. Citigroup Holdings Company ("Citigroup Holdings") is the sole stockholder of Citicorp. Citigroup Inc. ("Citigroup") is the sole stockholder of Citigroup Holdings. Citicorp, Citigroup 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 Class A Membership Units ("Class A") reported herein represent (i) 841,524 Class A directly beneficially owned by Citibank, N.A. and (ii) 755,926 Class A directly beneficially owned by Citicorp North America, Inc. ("CNA").

F2: Citicorp is the sole stockholder of each of CNA and Citibank, N.A. Citigroup Holdings Company ("Citigroup Holdings") is the sole stockholder of Citicorp. Citigroup Inc. ("Citigroup") is the sole stockholder of Citigroup Holdings. Citicorp, Citigroup Holdings and Citigroup disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interests therein.

Section 16 reporting ended · disclosed 2004-02-13. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectBy Subsidiary2,904,876 Reported balance After 2004-02-11 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2004-02-11 · Sale · Disposed 75,000 · Balance 2,904,876

F1: The Travelers Insurance Company ("Travelers") directly beneficially owns the securities reported herein. Travelers 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"). Each of Citigroup Insurance, Associated Madison and Citigroup disclaims beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein.

Warrants to Purchase Common StockSEC Table II · derivative / convertible securityIndirectBy Subsidiary1,200,000 Reported balance Holding disclosure · report date 2004-02-11 · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · Balance 1,200,000

F2: The warrants to purchase common stock have an exercise price of $0.53 per share, are exercisable immediately, and have an expiration date of June 30, 2007.

F1: The Travelers Insurance Company ("Travelers") directly beneficially owns the securities reported herein. Travelers 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"). Each of Citigroup Insurance, Associated Madison and Citigroup disclaims beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein.

Warrants to Purchase Common StockSEC Table II · derivative / convertible securityIndirectBy Subsidiary451,842 Reported balance Holding disclosure · report date 2004-02-11 · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · Balance 451,842

F3: Pursuant to the terms of the Note Purchase Agreement, dated August 20, 2001, and the Memorandum of Understanding, dated June 17, 2002, each executed between Travelers and eMagin Corporation, Travelers acquired a total of 451,842 warrants to purchase common stock with issuance dates between August and November 2001 that are exercisable for a 3 year period at a weighted average conversion price of $1.55 per share.

F1: The Travelers Insurance Company ("Travelers") directly beneficially owns the securities reported herein. Travelers 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"). Each of Citigroup Insurance, Associated Madison and Citigroup disclaims beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: The Travelers Insurance Company ("Travelers") directly beneficially owns the securities reported herein. Travelers 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"). Each of Citigroup Insurance, Associated Madison and Citigroup disclaims beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein.

F2: The warrants to purchase common stock have an exercise price of $0.53 per share, are exercisable immediately, and have an expiration date of June 30, 2007.

F3: Pursuant to the terms of the Note Purchase Agreement, dated August 20, 2001, and the Memorandum of Understanding, dated June 17, 2002, each executed between Travelers and eMagin Corporation, Travelers acquired a total of 451,842 warrants to purchase common stock with issuance dates between August and November 2001 that are exercisable for a 3 year period at a weighted average conversion price of $1.55 per share.

ERGO SCIENCE CORP /DE/

Report date August 04, 2003 · Filed August 20, 2003 · Amendment

Jointly reported with CITIGROUP HOLDINGS CO, CITICORP, Citicorp Banking Corp, COURT SQUARE CAPITAL LTD

Section 16 reporting ended · disclosed 2003-08-20. Current position is not established by this disclosure.

Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectBy Subsidiary304,233 Reported balance After 2003-08-04 transaction · row 1 Amendment: may correct only part of an earlier disclosure.
1 source row

Row 1 · 2003-08-04 · Disposition to issuer · Disposed 1,335,722 · Balance 304,233

F1: Court Square is the record owner of the securities reported herein. Court Square is a wholly-owned subsidiary of Citicorp Banking Corporation, which is a wholly owned subsidiary of Citicorp, which is a wholly owned subsidiary of Citigroup Holdings Company, which is a wholly owned subsidiary of Citigroup Inc. Each of Citigroup Inc., Citigroup Holdings Company, Citicorp and Citicorp Banking Corporation disclaim beneficial ownership of the shares reported herein except to the extent of their pecuniary interests therein.

Filing footnotes · ownership attribution and instrument terms

F1: Court Square is the record owner of the securities reported herein. Court Square is a wholly-owned subsidiary of Citicorp Banking Corporation, which is a wholly owned subsidiary of Citicorp, which is a wholly owned subsidiary of Citigroup Holdings Company, which is a wholly owned subsidiary of Citigroup Inc. Each of Citigroup Inc., Citigroup Holdings Company, Citicorp and Citicorp Banking Corporation disclaim beneficial ownership of the shares reported herein except to the extent of their pecuniary interests therein.

Eaton Vance California Municipal Income Trust

Report date September 24, 2014 · Filed September 26, 2014

Section 16 reporting ended · disclosed 2014-09-26. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2014-09-24 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2014-09-24 · Sale · Disposed 204 · Balance 0

F1: The Auction Rate Preferred Shares ("Shares") reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Filing footnotes · ownership attribution and instrument terms

F1: The Auction Rate Preferred Shares ("Shares") reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Eaton Vance Floating-Rate Income Plus Fund

Report date September 30, 2016 · Filed October 05, 2016

Section 16 reporting ended · disclosed 2016-10-05. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Variable Rate Term Preferred SharesSEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2016-09-30 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2016-09-30 · Sale · Disposed 360 · Balance 0

F1: These shares are beneficially owned by CHARTA, LLC (CHARTA), a partially supported multi-seller asset-backed commercial paper conduit sponsored by Citibank, N.A. (Citibank). Citicorp is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

Filing footnotes · ownership attribution and instrument terms

F1: These shares are beneficially owned by CHARTA, LLC (CHARTA), a partially supported multi-seller asset-backed commercial paper conduit sponsored by Citibank, N.A. (Citibank). Citicorp is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

Eaton Vance Floating-Rate Income Trust

Report date September 30, 2016 · Filed October 05, 2016

Section 16 reporting ended · disclosed 2016-10-05. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Variable Rate Term Preferred SharesSEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2016-09-30 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2016-09-30 · Sale · Disposed 800 · Balance 0

F1: These shares are beneficially owned by CHARTA, LLC (CHARTA), a partially supported multi-seller asset-backed commercial paper conduit sponsored by Citibank, N.A. (Citibank). Citicorp is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

Filing footnotes · ownership attribution and instrument terms

F1: These shares are beneficially owned by CHARTA, LLC (CHARTA), a partially supported multi-seller asset-backed commercial paper conduit sponsored by Citibank, N.A. (Citibank). Citicorp is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

FEDERATED PREMIER INTERMEDIATE MUNICIPAL INCOME FUND

Report date November 17, 2017 · Filed December 05, 2017

Section 16 reporting ended · disclosed 2017-12-05. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Variable Rate Municipal Term Preferred Shares, Series 2014SEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2017-11-17 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2017-11-17 · Other · Disposed 1,847 · Balance 0

F1: Effective as of November 17, 2017, Federated Premier Intermediate Municipal Income Fund, (the "Target Fund") was reorganized into Federated Premier Municipal Income Fund, (the "Acquiring Fund"). Pursuant to the Plan of Reorganization and Termination (the "Plan"), the Acquiring Fund, a Delaware statutory trust and closed-end investment company, will acquire all, of the Target Fund's assets in exchange for shares of the Acquiring Fund to be distributed pro rata by the Fund to its shareholders, in a complete liquidation and dissolution of the Target Fund (the "Reorganization"). In the Reorganization, Citibank N.A. received 1,847 Variable Rate Term Preferred Shares of the Acquiring Fund in exchange for its 1,847 Variable Rate Term Preferred Shares of the Target Fund.

F2: These shares are beneficially owned by Citibank, N.A. ("Citibank"). Citicorp is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

Filing footnotes · ownership attribution and instrument terms

F1: Effective as of November 17, 2017, Federated Premier Intermediate Municipal Income Fund, (the "Target Fund") was reorganized into Federated Premier Municipal Income Fund, (the "Acquiring Fund"). Pursuant to the Plan of Reorganization and Termination (the "Plan"), the Acquiring Fund, a Delaware statutory trust and closed-end investment company, will acquire all, of the Target Fund's assets in exchange for shares of the Acquiring Fund to be distributed pro rata by the Fund to its shareholders, in a complete liquidation and dissolution of the Target Fund (the "Reorganization"). In the Reorganization, Citibank N.A. received 1,847 Variable Rate Term Preferred Shares of the Acquiring Fund in exchange for its 1,847 Variable Rate Term Preferred Shares of the Target Fund.

F2: These shares are beneficially owned by Citibank, N.A. ("Citibank"). Citicorp is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

Section 16 reporting ended · disclosed 2005-09-29. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common Stock, par value $0.01SEC Table I · non-derivativeIndirectBy Subsidiary511,100 Reported balance After 2005-09-28 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2005-09-28 · Sale · Disposed 500,000 · Balance 511,100

F1: The securities reported herein are directly beneficially owned by Citigroup Global Markets Inc. ("CGMI"). CGMI is a wholly owned subsidiary of Citigroup Financial Products Inc. ("CFP"). CFP is a wholly owned subsidiary of Citigroup Global Markets Holdings Inc. ("CGMH"). CGMH is a wholly owned subsidiary of Citigroup Inc. ("Citigroup"). Citigroup, CGMH and CFP 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 securities reported herein are directly beneficially owned by Citigroup Global Markets Inc. ("CGMI"). CGMI is a wholly owned subsidiary of Citigroup Financial Products Inc. ("CFP"). CFP is a wholly owned subsidiary of Citigroup Global Markets Holdings Inc. ("CGMH"). CGMH is a wholly owned subsidiary of Citigroup Inc. ("Citigroup"). Citigroup, CGMH and CFP disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interests therein.

Section 16 reporting ended · disclosed 2005-07-07. 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.

Section 16 reporting ended · disclosed 2005-02-09. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common Shares, $0.01 par valueSEC Table I · non-derivativeIndirectBy Subsidiary4,157,155 Reported balance After 2005-02-07 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 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 securityIndirectBy Subsidiary4 Reported balance Holding disclosure · report date 2005-02-07 · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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 2009-09-24IndirectBy Subsidiary400 Reported balance Holding disclosure · report date 2005-02-07 · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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 2007-09-24IndirectBy Subsidiary29 Reported balance Holding disclosure · report date 2005-02-07 · row 4 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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.

FRANKLIN LTD DURATION INCOME TRUST

Report date August 10, 2016 · Filed August 11, 2016

Section 16 reporting ended · disclosed 2016-08-11. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2016-08-10 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2016-08-10 · Sale · Disposed 1,777 · Balance 0

F1: The Auction Rate Preferred Shares ("Shares") reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc.("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc.("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Filing footnotes · ownership attribution and instrument terms

F1: The Auction Rate Preferred Shares ("Shares") reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc.("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc.("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Federated Hermes Premier Municipal Income Fund

Report date October 18, 2019 · Filed October 21, 2019

Section 16 reporting ended · disclosed 2019-10-21. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Variable Rate Municipal Term Preferred Shares, Series 2014SEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2019-10-18 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2019-10-18 · Other · Disposed 3,268 · Balance 0

F1: All Variable Rate Municipal Term Preferred Shares, Series 2014 ("Shares") of the Fund were called for redemption on October 18, 2019.

F2: These Shares are beneficially owned by Citibank, N.A. ("Citibank"). Citicorp LLC ("Citicorp") is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

Filing footnotes · ownership attribution and instrument terms

F1: All Variable Rate Municipal Term Preferred Shares, Series 2014 ("Shares") of the Fund were called for redemption on October 18, 2019.

F2: These Shares are beneficially owned by Citibank, N.A. ("Citibank"). Citicorp LLC ("Citicorp") is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

GABELLI DIVIDEND & INCOME TRUST

Report date September 21, 2016 · Filed September 23, 2016

Section 16 reporting ended · disclosed 2016-09-23. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2016-09-21 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2016-09-21 · Sale · Disposed 3,544 · Balance 0

F1: The Auction Rate Preferred Shares ("Shares") reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc.("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc.("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Filing footnotes · ownership attribution and instrument terms

F1: The Auction Rate Preferred Shares ("Shares") reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc.("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc.("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

GABELLI EQUITY TRUST INC

Report date November 13, 2015 · Filed November 19, 2015

Section 16 reporting ended · disclosed 2015-11-19. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2015-11-13 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2015-11-13 · Sale · Disposed 3,702 · Balance 0

F1: The Auction Rate Preferred Shares ("Shares") reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc.("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc.("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Filing footnotes · ownership attribution and instrument terms

F1: The Auction Rate Preferred Shares ("Shares") reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc.("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc.("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

GABELLI MULTIMEDIA TRUST INC.

Report date November 12, 2015 · Filed November 13, 2015

Section 16 reporting ended · disclosed 2015-11-13. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2015-11-12 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2015-11-12 · Sale · Disposed 568 · Balance 0

F1: The Auction Rate Preferred Shares ("Shares") reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc.("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc.("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Filing footnotes · ownership attribution and instrument terms

F1: The Auction Rate Preferred Shares ("Shares") reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc.("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc.("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

INTERSIL CORP/DE

Report date October 24, 2005 · Filed November 21, 2005

Section 16 reporting ended · disclosed 2005-11-21. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class A Common Stock, par value $0.01SEC Table I · non-derivativeIndirectBy Subsidiary305,188 Reported balance After 2005-10-24 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2005-10-24 · Sale · Disposed 41,300 · Balance 305,188

F1: The securities reported herein are directly beneficially owned by an affiliate of the Citigroup Venture Capital business unit ("CVC") of Citigroup Inc. ("Citigroup").

F2: An employee of CVC serves on the Issuer's Board of Directors. Citigroup disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

Class A Common Stock, par value $0.01SEC Table I · non-derivativeIndirectBy Subsidiary267,564 Reported balance After 2005-10-25 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 2 · 2005-10-25 · Sale · Disposed 37,624 · Balance 267,564

F1: The securities reported herein are directly beneficially owned by an affiliate of the Citigroup Venture Capital business unit ("CVC") of Citigroup Inc. ("Citigroup").

F2: An employee of CVC serves on the Issuer's Board of Directors. Citigroup disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

Class A Common Stock, par value $0.01SEC Table I · non-derivativeIndirectBy Subsidiary257,564 Reported balance After 2005-10-26 transaction · row 3 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 3 · 2005-10-26 · Sale · Disposed 10,000 · Balance 257,564

F1: The securities reported herein are directly beneficially owned by an affiliate of the Citigroup Venture Capital business unit ("CVC") of Citigroup Inc. ("Citigroup").

F2: An employee of CVC serves on the Issuer's Board of Directors. Citigroup disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

Class A Common Stock, par value $0.01SEC Table I · non-derivativeIndirectBy Subsidiary179,272 Reported balance After 2005-10-31 transaction · row 4 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 4 · 2005-10-31 · Sale · Disposed 78,292 · Balance 179,272

F1: The securities reported herein are directly beneficially owned by an affiliate of the Citigroup Venture Capital business unit ("CVC") of Citigroup Inc. ("Citigroup").

F2: An employee of CVC serves on the Issuer's Board of Directors. Citigroup disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

Class A Common Stock, par value $0.01SEC Table I · non-derivativeIndirectBy Subsidiary149,403 Reported balance After 2005-11-01 transaction · row 5 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 5 · 2005-11-01 · Sale · Disposed 29,869 · Balance 149,403

F1: The securities reported herein are directly beneficially owned by an affiliate of the Citigroup Venture Capital business unit ("CVC") of Citigroup Inc. ("Citigroup").

F2: An employee of CVC serves on the Issuer's Board of Directors. Citigroup disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

Class A Common Stock, par value $0.01SEC Table I · non-derivativeIndirectBy Subsidiary77,000 Reported balance After 2005-11-02 transaction · row 6 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 6 · 2005-11-02 · Sale · Disposed 72,403 · Balance 77,000

F1: The securities reported herein are directly beneficially owned by an affiliate of the Citigroup Venture Capital business unit ("CVC") of Citigroup Inc. ("Citigroup").

F2: An employee of CVC serves on the Issuer's Board of Directors. Citigroup disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

Class A Common Stock, par value $0.01SEC Table I · non-derivativeIndirectBy Subsidiary35,000 Reported balance After 2005-11-03 transaction · row 7 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 7 · 2005-11-03 · Sale · Disposed 42,000 · Balance 35,000

F1: The securities reported herein are directly beneficially owned by an affiliate of the Citigroup Venture Capital business unit ("CVC") of Citigroup Inc. ("Citigroup").

F2: An employee of CVC serves on the Issuer's Board of Directors. Citigroup disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

Class A Common Stock, par value $0.01SEC Table I · non-derivativeIndirectBy Subsidiary20,000 Reported balance After 2005-11-04 transaction · row 8 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 8 · 2005-11-04 · Sale · Disposed 15,000 · Balance 20,000

F1: The securities reported herein are directly beneficially owned by an affiliate of the Citigroup Venture Capital business unit ("CVC") of Citigroup Inc. ("Citigroup").

F2: An employee of CVC serves on the Issuer's Board of Directors. Citigroup disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

Class A Common Stock, par value $0.01SEC Table I · non-derivativeIndirectBy Subsidiary17,000 Reported balance After 2005-11-07 transaction · row 9 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 9 · 2005-11-07 · Sale · Disposed 3,000 · Balance 17,000

F1: The securities reported herein are directly beneficially owned by an affiliate of the Citigroup Venture Capital business unit ("CVC") of Citigroup Inc. ("Citigroup").

F2: An employee of CVC serves on the Issuer's Board of Directors. Citigroup disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

Class A Common Stock, par value $0.01SEC Table I · non-derivativeIndirectBy Subsidiary6,000 Reported balance After 2005-11-08 transaction · row 10 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 10 · 2005-11-08 · Sale · Disposed 11,000 · Balance 6,000

F1: The securities reported herein are directly beneficially owned by an affiliate of the Citigroup Venture Capital business unit ("CVC") of Citigroup Inc. ("Citigroup").

F2: An employee of CVC serves on the Issuer's Board of Directors. Citigroup disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

Class A Common Stock, par value $0.01SEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2005-11-09 transaction · row 11 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 11 · 2005-11-09 · Sale · Disposed 6,000 · Balance 0

F2: An employee of CVC serves on the Issuer's Board of Directors. Citigroup disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: The securities reported herein are directly beneficially owned by an affiliate of the Citigroup Venture Capital business unit ("CVC") of Citigroup Inc. ("Citigroup").

F2: An employee of CVC serves on the Issuer's Board of Directors. Citigroup disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

Invesco Advantage Municipal Income Trust II

Report date November 18, 2019 · Filed November 20, 2019

Section 16 reporting ended · disclosed 2019-11-20. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Series 2015/6-VKI Variable Rate Muni Term Preferred SharesSEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2019-11-18 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2019-11-18 · Sale · Disposed 2,160 · Balance 0

F1: These Shares are beneficially owned by Citibank, N.A. ("Citibank"). Citicorp LLC ("Citicorp") is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

Filing footnotes · ownership attribution and instrument terms

F1: These Shares are beneficially owned by Citibank, N.A. ("Citibank"). Citicorp LLC ("Citicorp") is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

Invesco California Value Municipal Income Trust

Report date November 18, 2019 · Filed November 20, 2019

Section 16 reporting ended · disclosed 2019-11-20. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Series 2015/6-VCV Variable Rate Muni Term Preferred SharesSEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2019-11-18 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2019-11-18 · Sale · Disposed 2,083 · Balance 0

F1: These Shares are beneficially owned by Citibank, N.A. ("Citibank"). Citicorp LLC ("Citicorp") is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

Filing footnotes · ownership attribution and instrument terms

F1: These Shares are beneficially owned by Citibank, N.A. ("Citibank"). Citicorp LLC ("Citicorp") is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

Invesco Dynamic Credit Opportunities Fund

Report date July 14, 2017 · Filed July 18, 2017

Section 16 reporting ended · disclosed 2017-07-18. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Variable Rate Term Preferred SharesSEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2017-07-14 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2017-07-14 · Other · Disposed 750 · Balance 0

F1: These Variable Rate Term Preferred Shares ("Shares") were called for redemption by the issuer.

F2: These shares are beneficially owned by CHARTA, LLC (CHARTA), a partially supported multi-seller asset-backed commercial paper conduit sponsored by Citibank, N.A. (Citibank). Citicorp is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

Filing footnotes · ownership attribution and instrument terms

F1: These Variable Rate Term Preferred Shares ("Shares") were called for redemption by the issuer.

F2: These shares are beneficially owned by CHARTA, LLC (CHARTA), a partially supported multi-seller asset-backed commercial paper conduit sponsored by Citibank, N.A. (Citibank). Citicorp is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

Invesco Senior Income Trust

Report date July 14, 2017 · Filed July 18, 2017

Section 16 reporting ended · disclosed 2017-07-18. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Variable Rate Term Preferred SharesSEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2017-07-14 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2017-07-14 · Other · Disposed 750 · Balance 0

F1: These Variable Rate Term Preferred Shares ("Shares") were called for redemption by the issuer.

F2: These shares are beneficially owned by CHARTA, LLC (CHARTA), a partially supported multi-seller asset-backed commercial paper conduit sponsored by Citibank, N.A. (Citibank). Citicorp is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

Filing footnotes · ownership attribution and instrument terms

F1: These Variable Rate Term Preferred Shares ("Shares") were called for redemption by the issuer.

F2: These shares are beneficially owned by CHARTA, LLC (CHARTA), a partially supported multi-seller asset-backed commercial paper conduit sponsored by Citibank, N.A. (Citibank). Citicorp is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

Invesco Trust for Investment Grade New York Municipals

Report date May 29, 2012 · Filed May 30, 2012

Section 16 reporting ended · disclosed 2012-05-30. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary218 Reported balance After 2012-05-29 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2012-05-29 · Other · Disposed 122 · Balance 218

F1: These Auction Preferred Shares ("Shares") were called for redemption by the issuer.

F2: The Shares reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Filing footnotes · ownership attribution and instrument terms

F1: These Auction Preferred Shares ("Shares") were called for redemption by the issuer.

F2: The Shares reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Invesco Van Kampen Trust for Investment Grade New Jersey Municipals

Report date May 31, 2012 · Filed June 04, 2012

Section 16 reporting ended · disclosed 2012-06-04. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2012-05-31 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2012-05-31 · Other · Disposed 489 · Balance 0

F1: These Auction Preferred Shares ("Shares") were called for redemption by the issuer.

F2: The Shares reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Filing footnotes · ownership attribution and instrument terms

F1: These Auction Preferred Shares ("Shares") were called for redemption by the issuer.

F2: The Shares reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Invesco Van Kampen Trust for Value Municipals

Report date June 05, 2012 · Filed June 06, 2012

Section 16 reporting ended · disclosed 2012-06-06. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary0 Last balance in matching sequence After 2012-06-06 transaction · row 2 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rows

Row 1 · 2012-06-05 · Other · Disposed 158 · Balance 89

F1: These Auction Preferred Shares ("Shares") were called for redemption by the issuer.

F2: The Shares reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Row 2 · 2012-06-06 · Other · Disposed 89 · Balance 0

F1: These Auction Preferred Shares ("Shares") were called for redemption by the issuer.

F2: The Shares reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Filing footnotes · ownership attribution and instrument terms

F1: These Auction Preferred Shares ("Shares") were called for redemption by the issuer.

F2: The Shares reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

KEMET CORP

Report date August 11, 2003 · Filed September 12, 2003 · Amendment

Jointly reported with CITIGROUP HOLDINGS CO, CITICORP, Citibank, N.A., CITICORP VENTURE CAPITAL LTD

Section 16 reporting ended · disclosed 2003-09-12. Current position is not established by this disclosure.

Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectBy Subsidiary5,285,820 Reported balance After 2003-08-11 transaction · row 1 Amendment: may correct only part of an earlier disclosure.
1 source row

Row 1 · 2003-08-11 · Sale · Disposed 35,000 · Balance 5,285,820

F1: The common stock reported herein is directly beneficially owned by Citicorp Venture Capital Ltd. ("CVC"). CVC is a wholly owned subsidiary of Citibank, N.A., which is a wholly owned subsidiary of Citicorp, which is a wholly owned subsidiary of Citigroup Holdings Company, which is a wholly owned subsidiary of Citigroup Inc. Each of Citigroup Inc., Citigroup Holdings Company, Citicorp and Citibank, N.A. disclaim beneficial ownership of the shares reported herein except to the extent of their pecuniary interests therein.

Filing footnotes · ownership attribution and instrument terms

F1: The common stock reported herein is directly beneficially owned by Citicorp Venture Capital Ltd. ("CVC"). CVC is a wholly owned subsidiary of Citibank, N.A., which is a wholly owned subsidiary of Citicorp, which is a wholly owned subsidiary of Citigroup Holdings Company, which is a wholly owned subsidiary of Citigroup Inc. Each of Citigroup Inc., Citigroup Holdings Company, Citicorp and Citibank, N.A. disclaim beneficial ownership of the shares reported herein except to the extent of their pecuniary interests therein.

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.

MFS CALIFORNIA MUNICIPAL FUND

Report date October 03, 2019 · Filed October 04, 2019

Section 16 reporting ended · disclosed 2019-10-04. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Series 2019/3 Variable Rate Municipal Term Preferred SharesSEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2019-10-03 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2019-10-03 · Other · Disposed 977 · Balance 0

F1: All Series 2019/3 Variable Rate Municipal Term Preferred Shares ("Shares") of the Fund were called for redemption on October 3, 2019.

F2: These Shares are beneficially owned by Citibank, N.A. ("Citibank"). Citicorp LLC ("Citicorp") is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

Filing footnotes · ownership attribution and instrument terms

F1: All Series 2019/3 Variable Rate Municipal Term Preferred Shares ("Shares") of the Fund were called for redemption on October 3, 2019.

F2: These Shares are beneficially owned by Citibank, N.A. ("Citibank"). Citicorp LLC ("Citicorp") is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

MFS HIGH INCOME MUNICIPAL TRUST

Report date July 20, 2021 · Filed July 22, 2021

Section 16 reporting ended · disclosed 2021-07-22. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Variable Rate Municipal Term Preferred Shares, Series 2019/3SEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2021-07-20 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2021-07-20 · Other · Disposed 3,900 · Balance 0

F1: All Variable Rate Municipal Term Preferred Shares, Series 2019/3 ("Series 2019/3 VMTP Shares") of the Fund have been called for redemption by the issuer on July 20, 2021.

F2: These Series 2019/3 VMTP Shares are beneficially owned by Citibank, N.A. ("Citibank"). Citicorp LLC ("Citicorp") is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

Filing footnotes · ownership attribution and instrument terms

F1: All Variable Rate Municipal Term Preferred Shares, Series 2019/3 ("Series 2019/3 VMTP Shares") of the Fund have been called for redemption by the issuer on July 20, 2021.

F2: These Series 2019/3 VMTP Shares are beneficially owned by Citibank, N.A. ("Citibank"). Citicorp LLC ("Citicorp") is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

MFS HIGH YIELD MUNICIPAL TRUST

Report date July 20, 2021 · Filed July 22, 2021

Section 16 reporting ended · disclosed 2021-07-22. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Variable Rate Municipal Term Preferred Shares, Series 2019/3SEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2021-07-20 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2021-07-20 · Other · Disposed 3,000 · Balance 0

F1: All Variable Rate Municipal Term Preferred Shares, Series 2019/3 ("Series 2019/3 VMTP Shares") of the Fund have been called for redemption by the issuer on July 20, 2021.

F2: These Series 2019/3 VMTP Shares are beneficially owned by Citibank, N.A. ("Citibank"). Citicorp LLC ("Citicorp") is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

Filing footnotes · ownership attribution and instrument terms

F1: All Variable Rate Municipal Term Preferred Shares, Series 2019/3 ("Series 2019/3 VMTP Shares") of the Fund have been called for redemption by the issuer on July 20, 2021.

F2: These Series 2019/3 VMTP Shares are beneficially owned by Citibank, N.A. ("Citibank"). Citicorp LLC ("Citicorp") is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

MFS INVESTMENT GRADE MUNICIPAL TRUST

Report date July 20, 2021 · Filed July 22, 2021

Section 16 reporting ended · disclosed 2021-07-22. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Variable Rate Municipal Term Preferred Shares, Series 2019/3SEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2021-07-20 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2021-07-20 · Other · Disposed 1,950 · Balance 0

F1: All Variable Rate Municipal Term Preferred Shares, Series 2019/3 ("Series 2019/3 VMTP Shares") of the Fund have been called for redemption by the issuer on July 20, 2021.

F2: These Series 2019/3 VMTP Shares are beneficially owned by Citibank, N.A. ("Citibank"). Citicorp LLC ("Citicorp") is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

Filing footnotes · ownership attribution and instrument terms

F1: All Variable Rate Municipal Term Preferred Shares, Series 2019/3 ("Series 2019/3 VMTP Shares") of the Fund have been called for redemption by the issuer on July 20, 2021.

F2: These Series 2019/3 VMTP Shares are beneficially owned by Citibank, N.A. ("Citibank"). Citicorp LLC ("Citicorp") is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

NESS TECHNOLOGIES INC

Report date October 11, 2011 · Filed October 12, 2011

Section 16 reporting ended · disclosed 2011-10-12. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common Stock, $0.01 par value per shareSEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2011-10-11 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2011-10-11 · Other · Disposed 3,657,667 · Balance 0

F1: By virtue of the merger of Jersey Acquisition Corporation ("Merger Sub") with and into Ness Technologies, Inc. ("Ness") on October 11, 2011, pursuant to an Agreement and Plan of Merger, dated as of June 10, 2011, by and among Ness, Jersey Holding Corporation and Merger Sub (the "Merger Agreement"), all shares of Common Stock directly or indirectly owned by Jersey Holding Corporation were cancelled, retired and ceased to exist, and no consideration was delivered in exchange therefor.

F2: The Common Stock, $0.01 par value per share ("Common Stock"), reported in Table I represents (i) 3,657,667 shares of Common Stock directly beneficially owned by Jersey Holding Corporation and (ii) 597 shares of Common Stock directly beneficially owned by Citibank, N.A. ("CNA").

F3: CVCIGP II JHC Sub S.a r.l. ("Lux Sub") is the sole stockholder of Jersey Holding Corporation. CVCIGP II JHC S.a r.l. ("Lux Parent") is the sole stockholder of Lux Sub. CVCIGP II JHC, L.P. ("Cayman L.P.") is the sole stockholder of Lux Parent. CVCIGP II GP Limited is the general partner of Cayman L.P. Citigroup Venture Capital International Investment G.P. Limited ("CVCII") is the general partner of CVCIGP II JHC GP Limited. Citigroup Venture Capital International Delaware Corporation ("CVCIDC") is the sole stockholder of CVCII. Citicorp International Finance Corporation ("CIFC") is the sole stockholder of CVCIDC. Citicorp Banking Corporation ("CBC") is the sole stockholder of CIFC. Citicorp is the sole stockholder of CNA. Citigroup Inc. is the sole stockholder of each of Citicorp and CBC.

F4: Prior to the Effective Time of the Merger, CVCIGP II Jersey Investment L.P. caused to be contributed to Jersey Holding Corporation 3,675,776 shares of Common Stock of Ness held by CVCIGP II Jersey Investment L.P.

Common Stock, $0.01 par value per shareSEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2011-10-11 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 2 · 2011-10-11 · Disposition to issuer · Disposed 597 · Balance 0

F5: Disposed of pursuant to the terms of the Merger Agreement in exchange for a cash payment of $7.75 per share upon the closing of the merger.

F2: The Common Stock, $0.01 par value per share ("Common Stock"), reported in Table I represents (i) 3,657,667 shares of Common Stock directly beneficially owned by Jersey Holding Corporation and (ii) 597 shares of Common Stock directly beneficially owned by Citibank, N.A. ("CNA").

F3: CVCIGP II JHC Sub S.a r.l. ("Lux Sub") is the sole stockholder of Jersey Holding Corporation. CVCIGP II JHC S.a r.l. ("Lux Parent") is the sole stockholder of Lux Sub. CVCIGP II JHC, L.P. ("Cayman L.P.") is the sole stockholder of Lux Parent. CVCIGP II GP Limited is the general partner of Cayman L.P. Citigroup Venture Capital International Investment G.P. Limited ("CVCII") is the general partner of CVCIGP II JHC GP Limited. Citigroup Venture Capital International Delaware Corporation ("CVCIDC") is the sole stockholder of CVCII. Citicorp International Finance Corporation ("CIFC") is the sole stockholder of CVCIDC. Citicorp Banking Corporation ("CBC") is the sole stockholder of CIFC. Citicorp is the sole stockholder of CNA. Citigroup Inc. is the sole stockholder of each of Citicorp and CBC.

Filing footnotes · ownership attribution and instrument terms

F1: By virtue of the merger of Jersey Acquisition Corporation ("Merger Sub") with and into Ness Technologies, Inc. ("Ness") on October 11, 2011, pursuant to an Agreement and Plan of Merger, dated as of June 10, 2011, by and among Ness, Jersey Holding Corporation and Merger Sub (the "Merger Agreement"), all shares of Common Stock directly or indirectly owned by Jersey Holding Corporation were cancelled, retired and ceased to exist, and no consideration was delivered in exchange therefor.

F2: The Common Stock, $0.01 par value per share ("Common Stock"), reported in Table I represents (i) 3,657,667 shares of Common Stock directly beneficially owned by Jersey Holding Corporation and (ii) 597 shares of Common Stock directly beneficially owned by Citibank, N.A. ("CNA").

F3: CVCIGP II JHC Sub S.a r.l. ("Lux Sub") is the sole stockholder of Jersey Holding Corporation. CVCIGP II JHC S.a r.l. ("Lux Parent") is the sole stockholder of Lux Sub. CVCIGP II JHC, L.P. ("Cayman L.P.") is the sole stockholder of Lux Parent. CVCIGP II GP Limited is the general partner of Cayman L.P. Citigroup Venture Capital International Investment G.P. Limited ("CVCII") is the general partner of CVCIGP II JHC GP Limited. Citigroup Venture Capital International Delaware Corporation ("CVCIDC") is the sole stockholder of CVCII. Citicorp International Finance Corporation ("CIFC") is the sole stockholder of CVCIDC. Citicorp Banking Corporation ("CBC") is the sole stockholder of CIFC. Citicorp is the sole stockholder of CNA. Citigroup Inc. is the sole stockholder of each of Citicorp and CBC.

F4: Prior to the Effective Time of the Merger, CVCIGP II Jersey Investment L.P. caused to be contributed to Jersey Holding Corporation 3,675,776 shares of Common Stock of Ness held by CVCIGP II Jersey Investment L.P.

F5: Disposed of pursuant to the terms of the Merger Agreement in exchange for a cash payment of $7.75 per share upon the closing of the merger.

NUVEEN ARIZONA DIVIDEND ADVANTAGE MUNICIPAL FUND 3

Report date March 25, 2011 · Filed March 28, 2011

Section 16 reporting ended · disclosed 2011-03-28. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2011-03-25 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2011-03-25 · Other · Disposed 350 · Balance 0

F1: These Auction Preferred Shares ("Shares") were called for redemption by the issuer.

F2: The Shares reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Filing footnotes · ownership attribution and instrument terms

F1: These Auction Preferred Shares ("Shares") were called for redemption by the issuer.

F2: The Shares reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

NUVEEN ARIZONA QUALITY MUNICIPAL INCOME FUND

Report date January 06, 2014 · Filed January 08, 2014

Section 16 reporting ended · disclosed 2014-01-08. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Variable Rate MuniFund Term Preferred SharesSEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2014-01-06 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2014-01-06 · Other · Disposed 280 · Balance 0

F1: These Variable Rate MuniFund Term Preferred Shares ("Shares") were called for redemption by the issuer.

F2: The Shares reported in Table I represent Shares beneficially owned by Citibank, N.A. ("Citibank"). Citicorp is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

Filing footnotes · ownership attribution and instrument terms

F1: These Variable Rate MuniFund Term Preferred Shares ("Shares") were called for redemption by the issuer.

F2: The Shares reported in Table I represent Shares beneficially owned by Citibank, N.A. ("Citibank"). Citicorp is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

NUVEEN CALIFORNIA AMT-FREE QUALITY MUNICIPAL INCOME FUND

Report date October 07, 2016 · Filed February 01, 2017

Section 16 reporting ended · disclosed 2017-02-01. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Variable Rate Demand Preferred SharesSEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2016-10-07 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2016-10-07 · Sale · Disposed 160 · Balance 0

F1: The Variable Rate Demand Preferred Shares ("Shares") reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Filing footnotes · ownership attribution and instrument terms

F1: The Variable Rate Demand Preferred Shares ("Shares") reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

NUVEEN CALIFORNIA DIVIDEND ADVANTAGE MUNICIPAL FUND 2

Report date December 16, 2015 · Filed December 18, 2015

Section 16 reporting ended · disclosed 2015-12-18. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Variable Rate Demand Preferred SharesSEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2015-12-16 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2015-12-16 · Sale · Disposed 145 · Balance 0

F1: These Variable Rate Demand Preferred Shares are beneficially owned by Citibank, N.A. (Citibank). Citicorp is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

Filing footnotes · ownership attribution and instrument terms

F1: These Variable Rate Demand Preferred Shares are beneficially owned by Citibank, N.A. (Citibank). Citicorp is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

NUVEEN CALIFORNIA DIVIDEND ADVANTAGE MUNICIPAL FUND 3

Report date June 29, 2011 · Filed July 11, 2011

Section 16 reporting ended · disclosed 2011-07-11. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary0 Last balance in matching sequence After 2011-06-30 transaction · row 2 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rows

Row 1 · 2011-06-29 · Other · Disposed 95 · Balance 113

F1: These Auction Preferred Shares ("Shares") were called for redemption by the issuer.

F2: The Shares reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Row 2 · 2011-06-30 · Other · Disposed 113 · Balance 0

F1: These Auction Preferred Shares ("Shares") were called for redemption by the issuer.

F2: The Shares reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Filing footnotes · ownership attribution and instrument terms

F1: These Auction Preferred Shares ("Shares") were called for redemption by the issuer.

F2: The Shares reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

NUVEEN CONNECTICUT QUALITY MUNICIPAL INCOME FUND

Report date January 05, 2011 · Filed January 20, 2011

Section 16 reporting ended · disclosed 2011-01-20. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2011-01-05 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2011-01-05 · Sale · Disposed 248 · Balance 0

F1: The Auction Preferred Shares ("Shares") reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Filing footnotes · ownership attribution and instrument terms

F1: The Auction Preferred Shares ("Shares") reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

NUVEEN DIVIDEND ADVANTAGE MUNICIPAL FUND 2

Report date August 04, 2014 · Filed August 07, 2014

Section 16 reporting ended · disclosed 2014-08-07. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Variable Rate Demand PreferredSEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2014-08-04 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2014-08-04 · Sale · Disposed 29,300,000 · Balance 0

F1: The Variable Rate Demand Preferred Shares ("Shares") reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Filing footnotes · ownership attribution and instrument terms

F1: The Variable Rate Demand Preferred Shares ("Shares") reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

NUVEEN FLOATING RATE INCOME FUND

Report date December 20, 2016 · Filed December 22, 2016

Section 16 reporting ended · disclosed 2016-12-22. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Variable Rate Term Preferred SharesSEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2016-12-20 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2016-12-20 · Other · Disposed 758 · Balance 0

F1: These Variable Rate Term Preferred Shares ("Shares") were called for redemption by the issuer.

F2: These shares are beneficially owned by CRC FUNDING, LLC ("CRC"), a partially supported multi-seller asset-backed commercial paper conduit sponsored by Citibank, N.A. (Citibank). Citicorp is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

Filing footnotes · ownership attribution and instrument terms

F1: These Variable Rate Term Preferred Shares ("Shares") were called for redemption by the issuer.

F2: These shares are beneficially owned by CRC FUNDING, LLC ("CRC"), a partially supported multi-seller asset-backed commercial paper conduit sponsored by Citibank, N.A. (Citibank). Citicorp is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

NUVEEN INSURED CALIFORNIA DIVIDEND ADVANTAGE MUNICIPAL FUND

Report date July 21, 2011 · Filed July 25, 2011

Section 16 reporting ended · disclosed 2011-07-25. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary0 Last balance in matching sequence After 2011-07-25 transaction · row 2 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rows

Row 1 · 2011-07-21 · Other · Disposed 305 · Balance 255

F1: These Auction Preferred Shares ("Shares") were called for redemption by the issuer.

F2: The Shares reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Row 2 · 2011-07-25 · Other · Disposed 255 · Balance 0

F1: These Auction Preferred Shares ("Shares") were called for redemption by the issuer.

F2: The Shares reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Filing footnotes · ownership attribution and instrument terms

F1: These Auction Preferred Shares ("Shares") were called for redemption by the issuer.

F2: The Shares reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

NUVEEN INSURED QUALITY MUNICIPAL FUND INC

Report date March 17, 2011 · Filed March 21, 2011

Section 16 reporting ended · disclosed 2011-03-21. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary690 Last balance in matching sequence After 2011-03-21 transaction · row 3 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rows

Row 1 · 2011-03-17 · Other · Disposed 156 · Balance 1,284

F1: These Auction Preferred Shares ("Shares") were called for redemption by the issuer.

F2: The Shares reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Row 2 · 2011-03-18 · Other · Disposed 522 · Balance 762

F1: These Auction Preferred Shares ("Shares") were called for redemption by the issuer.

F2: The Shares reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Row 3 · 2011-03-21 · Other · Disposed 72 · Balance 690

F1: These Auction Preferred Shares ("Shares") were called for redemption by the issuer.

F2: The Shares reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Filing footnotes · ownership attribution and instrument terms

F1: These Auction Preferred Shares ("Shares") were called for redemption by the issuer.

F2: The Shares reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

NUVEEN MARYLAND DIVIDEND ADVANTAGE MUNICIPAL FUND 3

Report date February 14, 2011 · Filed February 15, 2011

Section 16 reporting ended · disclosed 2011-02-15. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2011-02-14 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2011-02-14 · Other · Disposed 251 · Balance 0

F1: These Auction Preferred Shares ("Shares") were called for redemption by the issuer.

F2: The Shares reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Filing footnotes · ownership attribution and instrument terms

F1: These Auction Preferred Shares ("Shares") were called for redemption by the issuer.

F2: The Shares reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

NUVEEN MARYLAND QUALITY MUNICIPAL INCOME FUND

Report date April 05, 2011 · Filed April 06, 2011

Section 16 reporting ended · disclosed 2011-04-06. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary0 Last balance in matching sequence After 2011-04-06 transaction · row 2 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rows

Row 1 · 2011-04-05 · Other · Disposed 196 · Balance 283

F1: These Auction Preferred Shares ("Shares") were called for redemption by the issuer.

F2: The Shares reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Row 2 · 2011-04-06 · Other · Disposed 283 · Balance 0

F1: These Auction Preferred Shares ("Shares") were called for redemption by the issuer.

F2: The Shares reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Filing footnotes · ownership attribution and instrument terms

F1: These Auction Preferred Shares ("Shares") were called for redemption by the issuer.

F2: The Shares reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

NUVEEN MICHIGAN PREMIUM INCOME MUNICIPAL FUND INC

Report date July 28, 2011 · Filed August 22, 2012

Section 16 reporting ended · disclosed 2011-08-24. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Variable Rate MuniFund Term Preferred SharesSEC Table I · non-derivativeIndirectBy Subsidiary539 Reported balance After 2011-07-28 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2011-07-28 · Purchase · Acquired 539 · Balance 539

F1: These shares are beneficially owned by Citibank, N.A. ("Citibank"). Citicorp is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

Filing footnotes · ownership attribution and instrument terms

F1: These shares are beneficially owned by Citibank, N.A. ("Citibank"). Citicorp is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

NUVEEN MICHIGAN QUALITY MUNICIPAL INCOME FUND

Report date January 06, 2014 · Filed January 08, 2014

Section 16 reporting ended · disclosed 2014-01-08. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Variable Rate MuniFund Term Preferred SharesSEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2014-01-06 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2014-01-06 · Other · Disposed 539 · Balance 0

F1: These Variable Rate MuniFund Term Preferred Shares ("Shares") were called for redemption by the issuer.

F2: The Shares reported in Table I represent Shares beneficially owned by Citibank, N.A. ("Citibank"). Citicorp is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

Filing footnotes · ownership attribution and instrument terms

F1: These Variable Rate MuniFund Term Preferred Shares ("Shares") were called for redemption by the issuer.

F2: The Shares reported in Table I represent Shares beneficially owned by Citibank, N.A. ("Citibank"). Citicorp is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

NUVEEN MUNICIPAL HIGH INCOME OPPORTUNITY FUND

Report date June 17, 2011 · Filed June 21, 2011

Section 16 reporting ended · disclosed 2011-06-21. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary0 Last balance in matching sequence After 2011-06-21 transaction · row 3 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rows

Row 1 · 2011-06-17 · Other · Disposed 333 · Balance 388

F1: These Auction Preferred Shares ("Shares") were called for redemption by the issuer.

F2: The Shares reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Row 2 · 2011-06-20 · Other · Disposed 193 · Balance 195

F1: These Auction Preferred Shares ("Shares") were called for redemption by the issuer.

F2: The Shares reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Row 3 · 2011-06-21 · Other · Disposed 195 · Balance 0

F1: These Auction Preferred Shares ("Shares") were called for redemption by the issuer.

F2: The Shares reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Filing footnotes · ownership attribution and instrument terms

F1: These Auction Preferred Shares ("Shares") were called for redemption by the issuer.

F2: The Shares reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

NUVEEN MUNICIPAL OPPORTUNITY FUND INC

Report date February 24, 2016 · Filed February 25, 2016

Section 16 reporting ended · disclosed 2016-02-25. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Variable Rate Demand Preferred SharesSEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2016-02-24 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2016-02-24 · Sale · Disposed 850 · Balance 0

F1: The Variable Rate Demand Preferred Shares ("Shares") reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Filing footnotes · ownership attribution and instrument terms

F1: The Variable Rate Demand Preferred Shares ("Shares") reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

NUVEEN NEW JERSEY QUALITY MUNICIPAL INCOME FUND

Report date April 18, 2011 · Filed April 21, 2011

Section 16 reporting ended · disclosed 2011-04-21. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2011-04-18 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2011-04-18 · Other · Disposed 179 · Balance 0

F1: These Auction Preferred Shares ("Shares") were called for redemption by the issuer.

F2: The Shares reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Filing footnotes · ownership attribution and instrument terms

F1: These Auction Preferred Shares ("Shares") were called for redemption by the issuer.

F2: The Shares reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

NUVEEN NEW YORK AMT-FREE QUALITY MUNICIPAL INCOME FUND

Report date March 19, 2020 · Filed March 30, 2020

Section 16 reporting ended · disclosed 2020-03-30. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Variable Rate Demand Preferred SharesSEC Table I · non-derivativeIndirectBy Subsidiary0 Last balance in matching sequence After 2020-03-27 transaction · row 3 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rows

Row 1 · 2020-03-19 · Purchase · Acquired 417 · Balance 1,721

F1: The Variable Rate Demand Preferred Shares ("Shares") reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Row 2 · 2020-03-26 · Sale · Disposed 1,000 · Balance 721

F1: The Variable Rate Demand Preferred Shares ("Shares") reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Row 3 · 2020-03-27 · Sale · Disposed 721 · Balance 0

F1: The Variable Rate Demand Preferred Shares ("Shares") reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Filing footnotes · ownership attribution and instrument terms

F1: The Variable Rate Demand Preferred Shares ("Shares") reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

NUVEEN NEW YORK PREMIUM INCOME MUNICIPAL FUND INC

Report date September 30, 2011 · Filed October 03, 2011

Section 16 reporting ended · disclosed 2011-10-03. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary0 Last balance in matching sequence After 2011-10-03 transaction · row 2 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rows

Row 1 · 2011-09-30 · Other · Disposed 75 · Balance 202

F1: These Auction Preferred Shares ("Shares") were called for redemption by the issuer.

F2: The Shares reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Row 2 · 2011-10-03 · Other · Disposed 202 · Balance 0

F1: These Auction Preferred Shares ("Shares") were called for redemption by the issuer.

F2: The Shares reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Filing footnotes · ownership attribution and instrument terms

F1: These Auction Preferred Shares ("Shares") were called for redemption by the issuer.

F2: The Shares reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

NUVEEN NEW YORK QUALITY INCOME MUNICIPAL FUND INC

Report date January 06, 2011 · Filed January 20, 2011 · Amendment

Section 16 reporting ended · disclosed 2011-01-20. Current position is not established by this disclosure.

Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary263 Last balance in matching sequence After 2011-01-11 transaction · row 3 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rows

Row 1 · 2011-01-06 · Sale · Disposed 144 · Balance 533

F1: This transaction was omitted from the Reporting Person's Form 4 filed January 14, 2011.

F2: The Auction Preferred Shares ("Shares") reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Row 2 · 2011-01-07 · Sale · Disposed 115 · Balance 418

F1: This transaction was omitted from the Reporting Person's Form 4 filed January 14, 2011.

F2: The Auction Preferred Shares ("Shares") reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Row 3 · 2011-01-11 · Sale · Disposed 155 · Balance 263

F1: This transaction was omitted from the Reporting Person's Form 4 filed January 14, 2011.

F2: The Auction Preferred Shares ("Shares") reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Filing footnotes · ownership attribution and instrument terms

F1: This transaction was omitted from the Reporting Person's Form 4 filed January 14, 2011.

F2: The Auction Preferred Shares ("Shares") reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

NUVEEN NEW YORK QUALITY MUNICIPAL INCOME FUND

Report date January 06, 2011 · Filed January 20, 2011

Section 16 reporting ended · disclosed 2011-01-20. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2011-01-06 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2011-01-06 · Sale · Disposed 130 · Balance 0

F1: The Auction Preferred Shares ("Shares") reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Filing footnotes · ownership attribution and instrument terms

F1: The Auction Preferred Shares ("Shares") reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

NUVEEN OHIO DIVIDEND ADVANTAGE MUNICIPAL FUND

Report date April 12, 2011 · Filed April 13, 2011

Section 16 reporting ended · disclosed 2011-04-13. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2011-04-12 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2011-04-12 · Other · Disposed 82 · Balance 0

F1: These Auction Preferred Shares ("Shares") were called for redemption by the issuer.

F2: The Shares reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Filing footnotes · ownership attribution and instrument terms

F1: These Auction Preferred Shares ("Shares") were called for redemption by the issuer.

F2: The Shares reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

NUVEEN OHIO DIVIDEND ADVANTAGE MUNICIPAL FUND 2

Report date April 28, 2011 · Filed April 28, 2011

Section 16 reporting ended · disclosed 2011-04-28. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2011-04-28 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2011-04-28 · Other · Disposed 93 · Balance 0

F1: These Auction Preferred Shares ("Shares") were called for redemption by the issuer.

F2: The Shares reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Filing footnotes · ownership attribution and instrument terms

F1: These Auction Preferred Shares ("Shares") were called for redemption by the issuer.

F2: The Shares reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

NUVEEN OHIO DIVIDEND ADVANTAGE MUNICIPAL FUND 3

Report date May 16, 2011 · Filed May 17, 2011

Section 16 reporting ended · disclosed 2011-05-17. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2011-05-16 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2011-05-16 · Other · Disposed 69 · Balance 0

F1: These Auction Preferred Shares ("Shares") were called for redemption by the issuer.

F2: The Shares reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Filing footnotes · ownership attribution and instrument terms

F1: These Auction Preferred Shares ("Shares") were called for redemption by the issuer.

F2: The Shares reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

NUVEEN PREMIER INSURED MUNICIPAL INCOME FUND INC

Report date January 11, 2011 · Filed January 13, 2011

Section 16 reporting ended · disclosed 2011-01-13. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary0 Last balance in matching sequence After 2011-01-12 transaction · row 2 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rows

Row 1 · 2011-01-11 · Sale · Disposed 133 · Balance 447

F1: The Auction Preferred Shares ("Shares") reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMH.

Row 2 · 2011-01-12 · Sale · Disposed 447 · Balance 0

F1: The Auction Preferred Shares ("Shares") reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMH.

Filing footnotes · ownership attribution and instrument terms

F1: The Auction Preferred Shares ("Shares") reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGMH.

NUVEEN PREMIUM INCOME MUNICIPAL FUND 2 INC

Report date May 26, 2011 · Filed May 31, 2011

Section 16 reporting ended · disclosed 2011-05-31. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary175 Last balance in matching sequence After 2011-05-31 transaction · row 4 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
4 source rows

Row 1 · 2011-05-26 · Other · Disposed 500 · Balance 1,650

F1: These Auction Preferred Shares ("Shares") were called for redemption by the issuer.

F2: The Shares reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Row 2 · 2011-05-26 · Other · Disposed 967 · Balance 683

F1: These Auction Preferred Shares ("Shares") were called for redemption by the issuer.

F2: The Shares reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Row 3 · 2011-05-27 · Other · Disposed 334 · Balance 349

F1: These Auction Preferred Shares ("Shares") were called for redemption by the issuer.

F2: The Shares reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Row 4 · 2011-05-31 · Other · Disposed 174 · Balance 175

F1: These Auction Preferred Shares ("Shares") were called for redemption by the issuer.

F2: The Shares reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Filing footnotes · ownership attribution and instrument terms

F1: These Auction Preferred Shares ("Shares") were called for redemption by the issuer.

F2: The Shares reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

NUVEEN SENIOR INCOME FUND

Report date November 22, 2016 · Filed November 23, 2016

Section 16 reporting ended · disclosed 2016-11-23. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Variable Rate Term Preferred SharesSEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2016-11-22 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2016-11-22 · Other · Disposed 450 · Balance 0

F1: These Variable Rate Term Preferred Shares ("Shares") were called for redemption by the issuer.

F2: These shares are beneficially owned by CRC FUNDING, LLC ("CRC"), a partially supported multi-seller asset-backed commercial paper conduit sponsored by Citibank, N.A. (Citibank). Citicorp is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

Filing footnotes · ownership attribution and instrument terms

F1: These Variable Rate Term Preferred Shares ("Shares") were called for redemption by the issuer.

F2: These shares are beneficially owned by CRC FUNDING, LLC ("CRC"), a partially supported multi-seller asset-backed commercial paper conduit sponsored by Citibank, N.A. (Citibank). Citicorp is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

NYLI MacKay DefinedTerm Muni Opportunities Fund

Report date December 15, 2020 · Filed December 17, 2020

Section 16 reporting ended · disclosed 2020-12-17. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Fixed Rate Municipal Term Preferred Shares, Series BSEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2020-12-15 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2020-12-15 · Other · Disposed 350 · Balance 0

F1: All Fixed Rate Municipal Term Preferred Shares, Series B ("Series B FMTP Shares") of the Fund have been called for redemption by the issuer on December 15, 2020.

F2: These Series B FMTP Shares are beneficially owned by Citibank, N.A. ("Citibank"). Citicorp LLC ("Citicorp") is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

Filing footnotes · ownership attribution and instrument terms

F1: All Fixed Rate Municipal Term Preferred Shares, Series B ("Series B FMTP Shares") of the Fund have been called for redemption by the issuer on December 15, 2020.

F2: These Series B FMTP Shares are beneficially owned by Citibank, N.A. ("Citibank"). Citicorp LLC ("Citicorp") is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

Nuveen AMT-Free Municipal Credit Income Fund

Report date April 03, 2020 · Filed April 07, 2020

Section 16 reporting ended · disclosed 2020-04-07. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Variable Rate Demand Preferred SharesSEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2020-04-03 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2020-04-03 · Sale · Disposed 1,935 · Balance 0

F1: The Variable Rate Demand Preferred Shares ("Shares") reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Filing footnotes · ownership attribution and instrument terms

F1: The Variable Rate Demand Preferred Shares ("Shares") reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Nuveen California Quality Municipal Income Fund

Report date June 17, 2020 · Filed June 19, 2020

Section 16 reporting ended · disclosed 2020-06-19. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Variable Rate Demand Preferred Shares (Series 5)SEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2020-06-17 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2020-06-17 · Sale · Disposed 1,589 · Balance 0

F1: These Shares are beneficially owned by Citibank, N.A. ("Citibank"). Citicorp LLC ("Citicorp") is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

Filing footnotes · ownership attribution and instrument terms

F1: These Shares are beneficially owned by Citibank, N.A. ("Citibank"). Citicorp LLC ("Citicorp") is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

Nuveen Floating Rate Income Opportunity Fund

Report date December 28, 2016 · Filed December 29, 2016

Section 16 reporting ended · disclosed 2016-12-29. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Variable Rate Term Preferred SharesSEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2016-12-28 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2016-12-28 · Other · Disposed 430 · Balance 0

F1: These Variable Rate Term Preferred Shares ("Shares") were called for redemption by the issuer.

F2: These shares are beneficially owned by CRC FUNDING, LLC ("CRC"), a partially supported multi-seller asset-backed commercial paper conduit sponsored by Citibank, N.A. (Citibank). Citicorp is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

Filing footnotes · ownership attribution and instrument terms

F1: These Variable Rate Term Preferred Shares ("Shares") were called for redemption by the issuer.

F2: These shares are beneficially owned by CRC FUNDING, LLC ("CRC"), a partially supported multi-seller asset-backed commercial paper conduit sponsored by Citibank, N.A. (Citibank). Citicorp is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

Nuveen Municipal Credit Income Fund

Report date June 24, 2020 · Filed June 26, 2020

Section 16 reporting ended · disclosed 2020-06-26. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Series C MuniFund Preferred SharesSEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2020-06-24 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2020-06-24 · Sale · Disposed 3,360 · Balance 0

F1: These Shares are beneficially owned by Citibank, N.A. ("Citibank"). Citicorp LLC ("Citicorp") is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

Filing footnotes · ownership attribution and instrument terms

F1: These Shares are beneficially owned by Citibank, N.A. ("Citibank"). Citicorp LLC ("Citicorp") is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

Nuveen Quality Municipal Income Fund

Report date January 06, 2014 · Filed January 08, 2014

Section 16 reporting ended · disclosed 2014-01-08. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Variable Rate MuniFund Term Preferred SharesSEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2014-01-06 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2014-01-06 · Other · Disposed 1,204 · Balance 0

F1: These Variable Rate MuniFund Term Preferred Shares ("Shares") were called for redemption by the issuer.

F2: The Shares reported in Table I represent Shares beneficially owned by Citibank, N.A. ("Citibank"). Citicorp is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

Filing footnotes · ownership attribution and instrument terms

F1: These Variable Rate MuniFund Term Preferred Shares ("Shares") were called for redemption by the issuer.

F2: The Shares reported in Table I represent Shares beneficially owned by Citibank, N.A. ("Citibank"). Citicorp is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

Section 16 reporting ended · disclosed 2004-06-14. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Series C-IV Preferred StockSEC Table II · derivative / convertible securityIndirectBy Subsidiary0 Reported balance After 2004-06-04 transaction · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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 securityIndirectBy Subsidiary0 Reported balance After 2004-06-04 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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 securityIndirectBy Subsidiary766,090 Reported balance Holding disclosure · report date 2004-12-31 · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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 securityIndirectBy Subsidiary5,357,143 Reported balance Holding disclosure · report date 2004-12-31 · row 4 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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 securityIndirectBy Subsidiary400,000 Reported balance Holding disclosure · report date 2004-12-31 · row 5 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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").

PACHOLDER HIGH YIELD FUND INC

Report date February 11, 2015 · Filed February 12, 2015

Section 16 reporting ended · disclosed 2015-02-12. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2015-02-11 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2015-02-11 · Sale · Disposed 939 · Balance 0

F1: The Auction Rate Preferred Shares ("Shares") reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc.("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc.("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Filing footnotes · ownership attribution and instrument terms

F1: The Auction Rate Preferred Shares ("Shares") reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc.("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc.("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

PIMCO CORPORATE & INCOME STRATEGY FUND

Report date November 25, 2015 · Filed November 25, 2015

Section 16 reporting ended · disclosed 2015-11-25. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2015-11-25 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2015-11-25 · Other · Disposed 4,252 · Balance 0

F1: The Auction Rate Preferred Shares ("Shares") reported in Table I were purchased by the issuer in connection with its cash tender offer to purchase up to 100% of its outstanding auction rate preferred shares which expired on November 20, 2015.

F2: These Shares are beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Filing footnotes · ownership attribution and instrument terms

F1: The Auction Rate Preferred Shares ("Shares") reported in Table I were purchased by the issuer in connection with its cash tender offer to purchase up to 100% of its outstanding auction rate preferred shares which expired on November 20, 2015.

F2: These Shares are beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

PIMCO HIGH INCOME FUND

Report date November 25, 2015 · Filed November 25, 2015

Section 16 reporting ended · disclosed 2015-11-25. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2015-11-25 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2015-11-25 · Other · Disposed 7,015 · Balance 0

F1: The Auction Rate Preferred Shares ("Shares") reported in Table I were purchased by the issuer in connection with its cash tender offer to purchase up to 100% of its outstanding auction rate preferred shares which expired on November 20, 2015.

F2: These Shares are beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Filing footnotes · ownership attribution and instrument terms

F1: The Auction Rate Preferred Shares ("Shares") reported in Table I were purchased by the issuer in connection with its cash tender offer to purchase up to 100% of its outstanding auction rate preferred shares which expired on November 20, 2015.

F2: These Shares are beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Patriot Coal CORP

Report date January 05, 2011 · Filed January 10, 2011

Section 16 reporting ended · disclosed 2011-01-10. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common Stock, par value of $0.01 per shareSEC Table I · non-derivativeIndirectBy Subsidiary110,850 Last balance in matching sequence After 2011-01-07 transaction · row 7 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
7 source rows

Row 1 · 2011-01-05 · Purchase · Acquired 400 · Balance 663,075

F1: These transactions were executed by Citigroup Global Markets Inc. ("CGMI").

F2: These shares of Common Stock are held by CGMI, Citigroup Global Markets Limited ("CGML"), Citibank, N.A. ("CNA") and Citigroup Alternative Investments LLC ("CAI"), each of which is an indirect wholly-owned subsidiary of the reporting person. Citigroup Global Markets Europe Limited ("CGMEL") is the sole stockholder of CGML. Citigroup Global Markets International LLC ("CGMIL") is the sole stockholder of CGMEL. Citigroup Financial Products Inc. ("CFP") is the sole stockholder of each of CGMI and CGMIL. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citicorp ("CHI") is the sole stockholder of CNA. Citigroup Investments Inc. ("CII") is the sole stockholder of CAI. Citigroup Inc. is the sole stockholder of each of CGMH, CHI and CII.

Row 2 · 2011-01-06 · Sale · Disposed 100,000 · Balance 563,075

F3: These transactions were executed by CAI.

F2: These shares of Common Stock are held by CGMI, Citigroup Global Markets Limited ("CGML"), Citibank, N.A. ("CNA") and Citigroup Alternative Investments LLC ("CAI"), each of which is an indirect wholly-owned subsidiary of the reporting person. Citigroup Global Markets Europe Limited ("CGMEL") is the sole stockholder of CGML. Citigroup Global Markets International LLC ("CGMIL") is the sole stockholder of CGMEL. Citigroup Financial Products Inc. ("CFP") is the sole stockholder of each of CGMI and CGMIL. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citicorp ("CHI") is the sole stockholder of CNA. Citigroup Investments Inc. ("CII") is the sole stockholder of CAI. Citigroup Inc. is the sole stockholder of each of CGMH, CHI and CII.

Row 3 · 2011-01-06 · Sale · Disposed 100,000 · Balance 463,075

F3: These transactions were executed by CAI.

F2: These shares of Common Stock are held by CGMI, Citigroup Global Markets Limited ("CGML"), Citibank, N.A. ("CNA") and Citigroup Alternative Investments LLC ("CAI"), each of which is an indirect wholly-owned subsidiary of the reporting person. Citigroup Global Markets Europe Limited ("CGMEL") is the sole stockholder of CGML. Citigroup Global Markets International LLC ("CGMIL") is the sole stockholder of CGMEL. Citigroup Financial Products Inc. ("CFP") is the sole stockholder of each of CGMI and CGMIL. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citicorp ("CHI") is the sole stockholder of CNA. Citigroup Investments Inc. ("CII") is the sole stockholder of CAI. Citigroup Inc. is the sole stockholder of each of CGMH, CHI and CII.

Row 4 · 2011-01-06 · Sale · Disposed 100,000 · Balance 363,075

F3: These transactions were executed by CAI.

F2: These shares of Common Stock are held by CGMI, Citigroup Global Markets Limited ("CGML"), Citibank, N.A. ("CNA") and Citigroup Alternative Investments LLC ("CAI"), each of which is an indirect wholly-owned subsidiary of the reporting person. Citigroup Global Markets Europe Limited ("CGMEL") is the sole stockholder of CGML. Citigroup Global Markets International LLC ("CGMIL") is the sole stockholder of CGMEL. Citigroup Financial Products Inc. ("CFP") is the sole stockholder of each of CGMI and CGMIL. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citicorp ("CHI") is the sole stockholder of CNA. Citigroup Investments Inc. ("CII") is the sole stockholder of CAI. Citigroup Inc. is the sole stockholder of each of CGMH, CHI and CII.

Row 5 · 2011-01-06 · Sale · Disposed 52,225 · Balance 310,850

F3: These transactions were executed by CAI.

F2: These shares of Common Stock are held by CGMI, Citigroup Global Markets Limited ("CGML"), Citibank, N.A. ("CNA") and Citigroup Alternative Investments LLC ("CAI"), each of which is an indirect wholly-owned subsidiary of the reporting person. Citigroup Global Markets Europe Limited ("CGMEL") is the sole stockholder of CGML. Citigroup Global Markets International LLC ("CGMIL") is the sole stockholder of CGMEL. Citigroup Financial Products Inc. ("CFP") is the sole stockholder of each of CGMI and CGMIL. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citicorp ("CHI") is the sole stockholder of CNA. Citigroup Investments Inc. ("CII") is the sole stockholder of CAI. Citigroup Inc. is the sole stockholder of each of CGMH, CHI and CII.

Row 6 · 2011-01-07 · Sale · Disposed 100,000 · Balance 210,850

F3: These transactions were executed by CAI.

F2: These shares of Common Stock are held by CGMI, Citigroup Global Markets Limited ("CGML"), Citibank, N.A. ("CNA") and Citigroup Alternative Investments LLC ("CAI"), each of which is an indirect wholly-owned subsidiary of the reporting person. Citigroup Global Markets Europe Limited ("CGMEL") is the sole stockholder of CGML. Citigroup Global Markets International LLC ("CGMIL") is the sole stockholder of CGMEL. Citigroup Financial Products Inc. ("CFP") is the sole stockholder of each of CGMI and CGMIL. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citicorp ("CHI") is the sole stockholder of CNA. Citigroup Investments Inc. ("CII") is the sole stockholder of CAI. Citigroup Inc. is the sole stockholder of each of CGMH, CHI and CII.

Row 7 · 2011-01-07 · Sale · Disposed 100,000 · Balance 110,850

F3: These transactions were executed by CAI.

F2: These shares of Common Stock are held by CGMI, Citigroup Global Markets Limited ("CGML"), Citibank, N.A. ("CNA") and Citigroup Alternative Investments LLC ("CAI"), each of which is an indirect wholly-owned subsidiary of the reporting person. Citigroup Global Markets Europe Limited ("CGMEL") is the sole stockholder of CGML. Citigroup Global Markets International LLC ("CGMIL") is the sole stockholder of CGMEL. Citigroup Financial Products Inc. ("CFP") is the sole stockholder of each of CGMI and CGMIL. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citicorp ("CHI") is the sole stockholder of CNA. Citigroup Investments Inc. ("CII") is the sole stockholder of CAI. Citigroup Inc. is the sole stockholder of each of CGMH, CHI and CII.

Filing footnotes · ownership attribution and instrument terms

F1: These transactions were executed by Citigroup Global Markets Inc. ("CGMI").

F2: These shares of Common Stock are held by CGMI, Citigroup Global Markets Limited ("CGML"), Citibank, N.A. ("CNA") and Citigroup Alternative Investments LLC ("CAI"), each of which is an indirect wholly-owned subsidiary of the reporting person. Citigroup Global Markets Europe Limited ("CGMEL") is the sole stockholder of CGML. Citigroup Global Markets International LLC ("CGMIL") is the sole stockholder of CGMEL. Citigroup Financial Products Inc. ("CFP") is the sole stockholder of each of CGMI and CGMIL. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citicorp ("CHI") is the sole stockholder of CNA. Citigroup Investments Inc. ("CII") is the sole stockholder of CAI. Citigroup Inc. is the sole stockholder of each of CGMH, CHI and CII.

F3: These transactions were executed by CAI.

STRATOS INTERNATIONAL INC

Report date September 20, 2005 · Filed October 11, 2005 · Amendment

Jointly reported with Citicorp LLC, Citibank, N.A., CITICORP VENTURE CAPITAL LTD

Section 16 reporting ended · disclosed 2005-09-28. Current position is not established by this disclosure.

Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common Stock, par value $0.01SEC Table I · non-derivativeIndirectBy Subsidiary1,533,867 Reported balance After 2005-09-20 transaction · row 1 Amendment: may correct only part of an earlier disclosure.
1 source row

Row 1 · 2005-09-20 · Sale · Disposed 12,779 · Balance 1,533,867

F1: The securities reported herein are directly beneficially owned by Citicorp Venture Capital Ltd. ("CVC"). CVC is a wholly owned subsidiary of Citibank, N.A. Citibank, N.A. is a wholly owned subsidiary of Citicorp Holdings Inc. ("CHI"). CHI is a wholly owned subsidiary of Citigroup Inc. ("Citigroup"). Citigroup, CHI and Citibank, N.A. 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 securities reported herein are directly beneficially owned by Citicorp Venture Capital Ltd. ("CVC"). CVC is a wholly owned subsidiary of Citibank, N.A. Citibank, N.A. is a wholly owned subsidiary of Citicorp Holdings Inc. ("CHI"). CHI is a wholly owned subsidiary of Citigroup Inc. ("Citigroup"). Citigroup, CHI and Citibank, N.A. disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interests therein.

STUDENT LOAN CORP

Report date December 31, 2010 · Filed January 04, 2011

Section 16 reporting ended · disclosed 2011-01-04. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectBy Subsidiary3,901 Reported balance After 2010-12-31 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2010-12-31 · Disposition to issuer · Disposed 16,000,000 · Balance 3,901

F1: The reported transaction was effected by Citibank, N.A. ("CNA") pursuant to a merger of the issuer.

F2: These shares of Common Stock are held by CNA and Citigroup Global Markets Inc. ("CGMI"), each of which is an indirect wholly-owned subsidiary of the reporting person. Citicorp ("CHI") is the sole stockholder of CNA. Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of each of CHI and CGMH.

Filing footnotes · ownership attribution and instrument terms

F1: The reported transaction was effected by Citibank, N.A. ("CNA") pursuant to a merger of the issuer.

F2: These shares of Common Stock are held by CNA and Citigroup Global Markets Inc. ("CGMI"), each of which is an indirect wholly-owned subsidiary of the reporting person. Citicorp ("CHI") is the sole stockholder of CNA. Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of each of CHI and CGMH.

Saba Capital Income & Opportunities Fund

Report date December 22, 2011 · Filed December 23, 2011

Section 16 reporting ended · disclosed 2011-12-23. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary0 Last balance in matching sequence After 2011-12-23 transaction · row 2 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rows

Row 1 · 2011-12-22 · Other · Disposed 46 · Balance 44

F1: These Auction Preferred Shares ("Shares") were called for redemption by the issuer.

F2: The Shares reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Row 2 · 2011-12-23 · Other · Disposed 44 · Balance 0

F1: These Auction Preferred Shares ("Shares") were called for redemption by the issuer.

F2: The Shares reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Filing footnotes · ownership attribution and instrument terms

F1: These Auction Preferred Shares ("Shares") were called for redemption by the issuer.

F2: The Shares reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Sylvamo Corp

Report date September 12, 2022 · Filed September 13, 2022

Section 16 reporting ended · disclosed 2022-09-13. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common Stock, par value $1.00 per shareSEC Table I · non-derivativeIndirectBy Subsidiary15,318 Reported balance After 2022-09-12 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2022-09-12 · Sale · Disposed 4,614,358 · Balance 15,318

F1: These shares are beneficially owned by Citicorp North America, Inc. ("CNAI"). Citicorp Banking Corporation ("CBC") is the sole stockholder of CNAI. Citigroup Inc. is the sole stockholder of CBC.

Filing footnotes · ownership attribution and instrument terms

F1: These shares are beneficially owned by Citicorp North America, Inc. ("CNAI"). Citicorp Banking Corporation ("CBC") is the sole stockholder of CNAI. Citigroup Inc. is the sole stockholder of CBC.

TITAN INTERNATIONAL INC

Report date April 21, 2004 · Filed April 23, 2004

Jointly reported with CITIGROUP HOLDINGS CO, CITICORP, Citicorp Banking Corp, COURT SQUARE CAPITAL LTD

Section 16 reporting ended · disclosed 2004-04-23. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2004-04-21 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2004-04-21 · Disposition to issuer · Disposed 4,894,464 · Balance 0

F1: The disposition of 4,894,464 shares reported herein represents shares of Common Stock that were, prior to the disposition, directly beneficially owned by Court Square Capital Limited ("Court Square").

F2: Court Square may receive an additional $5 million in consideration pending the outcome of certain litigation between the Issuer and a third party.

F3: Court Square is a wholly-owned subsidiary of Citicorp Banking Corporation, which is a wholly owned subsidiary of Citicorp, which is a wholly owned subsidiary of Citigroup Holdings Company, which is a wholly owned subsidiary of Citigroup Inc. Each of Citigroup Inc., Citigroup Holdings Company, Citicorp and Citicorp Banking Corporation disclaim beneficial ownership of the shares reported herein except to the extent of their pecuniary interests therein.

Filing footnotes · ownership attribution and instrument terms

F1: The disposition of 4,894,464 shares reported herein represents shares of Common Stock that were, prior to the disposition, directly beneficially owned by Court Square Capital Limited ("Court Square").

F2: Court Square may receive an additional $5 million in consideration pending the outcome of certain litigation between the Issuer and a third party.

F3: Court Square is a wholly-owned subsidiary of Citicorp Banking Corporation, which is a wholly owned subsidiary of Citicorp, which is a wholly owned subsidiary of Citigroup Holdings Company, which is a wholly owned subsidiary of Citigroup Inc. Each of Citigroup Inc., Citigroup Holdings Company, Citicorp and Citicorp Banking Corporation disclaim beneficial ownership of the shares reported herein except to the extent of their pecuniary interests therein.

Section 16 reporting ended · disclosed 2005-03-28. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common Stock, $0.01 par valueSEC Table I · non-derivativeIndirectBy Subsidiary2,748,168 Reported balance After 2005-03-24 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2005-03-24 · Sale · Disposed 75,000 · Balance 2,748,168

F1: Citigroup Global Markets Limited ("CGML") is the record owner of the reported securities. Citigroup Global Markets Europe Limited ("CGMEL") is the sole stockholder of CGML. Citigroup Global Markets International LLC ("CGMIL") and Citigroup Financial Products Inc. ("CFP") own a controlling interest in CGMEL. CFP is the sole member of CGMIL. Citigroup Global Markets Holdings Inc. ("CGM Holdings") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGM Holdings. Citigroup, CGM Holdings, CFP, CGMIL and CGMEL 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: Citigroup Global Markets Limited ("CGML") is the record owner of the reported securities. Citigroup Global Markets Europe Limited ("CGMEL") is the sole stockholder of CGML. Citigroup Global Markets International LLC ("CGMIL") and Citigroup Financial Products Inc. ("CFP") own a controlling interest in CGMEL. CFP is the sole member of CGMIL. Citigroup Global Markets Holdings Inc. ("CGM Holdings") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGM Holdings. Citigroup, CGM Holdings, CFP, CGMIL and CGMEL disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interests therein.

WESTERN ASSET CORPORATE LOAN FUND INC.

Report date June 26, 2015 · Filed June 30, 2015

Section 16 reporting ended · disclosed 2015-06-30. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Auction Rate PreferredSEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2015-06-26 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2015-06-26 · Other · Disposed 1,300 · Balance 0

F1: The Auction Rate Preferred Shares ("Shares") reported in Table I were purchased by the issuer in connection with its cash tender offer to purchase up to 100% of its outstanding auction rate preferred shares which expired on June 23, 2015.

F2: These Shares are beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Filing footnotes · ownership attribution and instrument terms

F1: The Auction Rate Preferred Shares ("Shares") reported in Table I were purchased by the issuer in connection with its cash tender offer to purchase up to 100% of its outstanding auction rate preferred shares which expired on June 23, 2015.

F2: These Shares are beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

WESTERN ASSET INTERMEDIATE MUNI FUND INC.

Report date April 03, 2020 · Filed April 07, 2020

Section 16 reporting ended · disclosed 2020-04-07. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Variable Rate Demand Preferred SharesSEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2020-04-03 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2020-04-03 · Sale · Disposed 200 · Balance 0

F1: The Variable Rate Demand Preferred Shares ("Shares") reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Filing footnotes · ownership attribution and instrument terms

F1: The Variable Rate Demand Preferred Shares ("Shares") reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

WESTERN ASSET MANAGED MUNICIPALS FUND INC.

Report date April 12, 2018 · Filed April 16, 2018

Section 16 reporting ended · disclosed 2018-04-16. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Variable Rate Demand Preferred SharesSEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2018-04-12 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2018-04-12 · Sale · Disposed 1,000 · Balance 0

F1: The Variable Rate Demand Preferred Shares ("Shares") reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc.("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Filing footnotes · ownership attribution and instrument terms

F1: The Variable Rate Demand Preferred Shares ("Shares") reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc.("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

WESTERN ASSET MUNICIPAL PARTNERS FUND INC.

Report date July 05, 2017 · Filed July 07, 2017

Section 16 reporting ended · disclosed 2017-07-07. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Variable Rate Demand Preferred SharesSEC Table I · non-derivativeIndirectBy Subsidiary0 Reported balance After 2017-07-05 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2017-07-05 · Sale · Disposed 1,004 · Balance 0

F1: The Variable Rate Demand Preferred Shares ("Shares") reported in Table represent Shares beneficially owned by Citigroup Global Markets Inc.("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Filing footnotes · ownership attribution and instrument terms

F1: The Variable Rate Demand Preferred Shares ("Shares") reported in Table represent Shares beneficially owned by Citigroup Global Markets Inc.("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

WOLFSPEED, INC.

Report date October 30, 2025 · Filed November 04, 2025

Section 16 reporting ended · disclosed 2025-11-04. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common Stock, $0.00125 par valueSEC Table I · non-derivativeIndirectSee footnote2,585,507 Last balance in matching sequence After 2025-10-31 transaction · row 4 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
4 source rows

Row 1 · 2025-10-30 · Purchase · Acquired 116,002 · Balance 2,701,627

F1: The price reported in Column 4 is a weighted average price. These shares of Wolfspeed, Inc. common stock, $0.00125 par value (the "Shares") were purchased in multiple transactions at prices ranging from $25.97 to $26.17, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Shares purchased at each separate price within the range set forth herein.

F2: This Form 4 is being filed by Citigroup Inc. ("Citigroup" or the "Reporting Person"), which is the sole stockholder of Citigroup Global Markets Inc. ("CGMI") and Citibank, N.A. ("CBNA"), with respect to the securities held by CGMI and CBNA. The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any.

Row 2 · 2025-10-31 · Purchase · Acquired 24,773 · Balance 2,726,400

F4: The price reported in Column 4 is a weighted average price. These Shares were purchased in multiple transactions at prices ranging from $26.01 to $27.01, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Shares purchased at each separate price within the range set forth herein.

F2: This Form 4 is being filed by Citigroup Inc. ("Citigroup" or the "Reporting Person"), which is the sole stockholder of Citigroup Global Markets Inc. ("CGMI") and Citibank, N.A. ("CBNA"), with respect to the securities held by CGMI and CBNA. The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any.

Row 3 · 2025-10-31 · Purchase · Acquired 53,530 · Balance 2,779,930

F3: The price reported in Column 4 is a weighted average price. These Shares were purchased in multiple transactions at prices ranging from $27.01 to $27.83, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Shares purchased at each separate price within the range set forth herein.

F2: This Form 4 is being filed by Citigroup Inc. ("Citigroup" or the "Reporting Person"), which is the sole stockholder of Citigroup Global Markets Inc. ("CGMI") and Citibank, N.A. ("CBNA"), with respect to the securities held by CGMI and CBNA. The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any.

Row 4 · 2025-10-31 · Sale · Disposed 194,423 · Balance 2,585,507

F5: The price reported in Column 4 is a weighted average price. These Shares were sold in multiple transactions at prices ranging from $25.84 to $26.81, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Shares sold at each separate price within the range set forth herein.

F2: This Form 4 is being filed by Citigroup Inc. ("Citigroup" or the "Reporting Person"), which is the sole stockholder of Citigroup Global Markets Inc. ("CGMI") and Citibank, N.A. ("CBNA"), with respect to the securities held by CGMI and CBNA. The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any.

Equity Swap (obligation to sell)SEC Table II · derivative / convertible security · Conversion / exercise price $26.12 · Expires 2026-06-24IndirectSee footnote1 Reported balance After 2025-10-30 transaction · row 5 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 5 · 2025-10-30 · Other · Acquired 1 · Balance 1

F6: CBNA entered into a cash-settled total return swap on October 30, 2025 pursuant to which it will pay any increase in, and receive any decrease in, the price of 883,924 shares of Common Stock, from an initial price per share of $26.12. The final valuation date (subject to early termination by the parties) is June 24, 2026.

F2: This Form 4 is being filed by Citigroup Inc. ("Citigroup" or the "Reporting Person"), which is the sole stockholder of Citigroup Global Markets Inc. ("CGMI") and Citibank, N.A. ("CBNA"), with respect to the securities held by CGMI and CBNA. The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any.

Equity Swap (obligation to sell)SEC Table II · derivative / convertible security · Conversion / exercise price $26.12 · Expires 2026-06-24IndirectSee footnote1 Reported balance After 2025-10-30 transaction · row 6 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 6 · 2025-10-30 · Other · Acquired 1 · Balance 1

F7: CBNA entered into a cash-settled total return swap on October 30, 2025 pursuant to which it will pay any increase in, and receive any decrease in, the price of 116,076 shares of Common Stock, from an initial price per share of $26.12. The final valuation date (subject to early termination by the parties) is June 24, 2026.

F2: This Form 4 is being filed by Citigroup Inc. ("Citigroup" or the "Reporting Person"), which is the sole stockholder of Citigroup Global Markets Inc. ("CGMI") and Citibank, N.A. ("CBNA"), with respect to the securities held by CGMI and CBNA. The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any.

Filing footnotes · ownership attribution and instrument terms

F1: The price reported in Column 4 is a weighted average price. These shares of Wolfspeed, Inc. common stock, $0.00125 par value (the "Shares") were purchased in multiple transactions at prices ranging from $25.97 to $26.17, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Shares purchased at each separate price within the range set forth herein.

F2: This Form 4 is being filed by Citigroup Inc. ("Citigroup" or the "Reporting Person"), which is the sole stockholder of Citigroup Global Markets Inc. ("CGMI") and Citibank, N.A. ("CBNA"), with respect to the securities held by CGMI and CBNA. The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any.

F3: The price reported in Column 4 is a weighted average price. These Shares were purchased in multiple transactions at prices ranging from $27.01 to $27.83, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Shares purchased at each separate price within the range set forth herein.

F4: The price reported in Column 4 is a weighted average price. These Shares were purchased in multiple transactions at prices ranging from $26.01 to $27.01, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Shares purchased at each separate price within the range set forth herein.

F5: The price reported in Column 4 is a weighted average price. These Shares were sold in multiple transactions at prices ranging from $25.84 to $26.81, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Shares sold at each separate price within the range set forth herein.

F6: CBNA entered into a cash-settled total return swap on October 30, 2025 pursuant to which it will pay any increase in, and receive any decrease in, the price of 883,924 shares of Common Stock, from an initial price per share of $26.12. The final valuation date (subject to early termination by the parties) is June 24, 2026.

F7: CBNA entered into a cash-settled total return swap on October 30, 2025 pursuant to which it will pay any increase in, and receive any decrease in, the price of 116,076 shares of Common Stock, from an initial price per share of $26.12. The final valuation date (subject to early termination by the parties) is June 24, 2026.

Transaction history

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Purchases/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 dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
October 31, 2025 Filed Nov 4, 2025 11:04 UTC WOLFSPEED, INC. WOLF · Entity 619 SaleCommon Stock, $0.00125 par value 194,423 $26.18 $5,089,994.14
Disclosure

SEC source: 0001193125-25-263392 · ownership.xml · nonDerivative · entry 4

CITIGROUP INC · CIK 0000831001 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 2,585,507

F5 · price: The price reported in Column 4 is a weighted average price. These Shares were sold in multiple transactions at prices ranging from $25.84 to $26.81, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Shares sold at each separate price within the range set forth herein.

F2 · ownership.nature: This Form 4 is being filed by Citigroup Inc. ("Citigroup" or the "Reporting Person"), which is the sole stockholder of Citigroup Global Markets Inc. ("CGMI") and Citibank, N.A. ("CBNA"), with respect to the securities held by CGMI and CBNA. The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any.

Read SEC document
October 31, 2025 Filed Nov 4, 2025 11:04 UTC WOLFSPEED, INC. WOLF · Entity 619 PurchaseCommon Stock, $0.00125 par value 53,530 $27.46 $1,469,933.80
Disclosure

SEC source: 0001193125-25-263392 · ownership.xml · nonDerivative · entry 3

CITIGROUP INC · CIK 0000831001 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 2,779,930

F3 · price: The price reported in Column 4 is a weighted average price. These Shares were purchased in multiple transactions at prices ranging from $27.01 to $27.83, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Shares purchased at each separate price within the range set forth herein.

F2 · ownership.nature: This Form 4 is being filed by Citigroup Inc. ("Citigroup" or the "Reporting Person"), which is the sole stockholder of Citigroup Global Markets Inc. ("CGMI") and Citibank, N.A. ("CBNA"), with respect to the securities held by CGMI and CBNA. The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any.

Read SEC document
October 31, 2025 Filed Nov 4, 2025 11:04 UTC WOLFSPEED, INC. WOLF · Entity 619 PurchaseCommon Stock, $0.00125 par value 24,773 $26.67 $660,695.91
Disclosure

SEC source: 0001193125-25-263392 · ownership.xml · nonDerivative · entry 2

CITIGROUP INC · CIK 0000831001 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 2,726,400

F4 · price: The price reported in Column 4 is a weighted average price. These Shares were purchased in multiple transactions at prices ranging from $26.01 to $27.01, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Shares purchased at each separate price within the range set forth herein.

F2 · ownership.nature: This Form 4 is being filed by Citigroup Inc. ("Citigroup" or the "Reporting Person"), which is the sole stockholder of Citigroup Global Markets Inc. ("CGMI") and Citibank, N.A. ("CBNA"), with respect to the securities held by CGMI and CBNA. The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any.

Read SEC document
October 30, 2025 Filed Nov 4, 2025 11:04 UTC WOLFSPEED, INC. WOLF · Entity 619 OtherEquity Swap (obligation to sell) · Derivative 1 $0.00 Strike: $26.12 $0.00
Disclosure

SEC source: 0001193125-25-263392 · ownership.xml · derivative · entry 6

CITIGROUP INC · CIK 0000831001 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 1

Underlying: Common Stock, $0.00125 par value · 116,076 shares

Expires 2026-06-24

F7 · kind: CBNA entered into a cash-settled total return swap on October 30, 2025 pursuant to which it will pay any increase in, and receive any decrease in, the price of 116,076 shares of Common Stock, from an initial price per share of $26.12. The final valuation date (subject to early termination by the parties) is June 24, 2026.

F7 · price: CBNA entered into a cash-settled total return swap on October 30, 2025 pursuant to which it will pay any increase in, and receive any decrease in, the price of 116,076 shares of Common Stock, from an initial price per share of $26.12. The final valuation date (subject to early termination by the parties) is June 24, 2026.

F2 · ownership.nature: This Form 4 is being filed by Citigroup Inc. ("Citigroup" or the "Reporting Person"), which is the sole stockholder of Citigroup Global Markets Inc. ("CGMI") and Citibank, N.A. ("CBNA"), with respect to the securities held by CGMI and CBNA. The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any.

Read SEC document
October 30, 2025 Filed Nov 4, 2025 11:04 UTC WOLFSPEED, INC. WOLF · Entity 619 OtherEquity Swap (obligation to sell) · Derivative 1 $0.00 Strike: $26.12 $0.00
Disclosure

SEC source: 0001193125-25-263392 · ownership.xml · derivative · entry 5

CITIGROUP INC · CIK 0000831001 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 1

Underlying: Common Stock, $0.00125 par value · 883,924 shares

Expires 2026-06-24

F6 · kind: CBNA entered into a cash-settled total return swap on October 30, 2025 pursuant to which it will pay any increase in, and receive any decrease in, the price of 883,924 shares of Common Stock, from an initial price per share of $26.12. The final valuation date (subject to early termination by the parties) is June 24, 2026.

F6 · price: CBNA entered into a cash-settled total return swap on October 30, 2025 pursuant to which it will pay any increase in, and receive any decrease in, the price of 883,924 shares of Common Stock, from an initial price per share of $26.12. The final valuation date (subject to early termination by the parties) is June 24, 2026.

F2 · ownership.nature: This Form 4 is being filed by Citigroup Inc. ("Citigroup" or the "Reporting Person"), which is the sole stockholder of Citigroup Global Markets Inc. ("CGMI") and Citibank, N.A. ("CBNA"), with respect to the securities held by CGMI and CBNA. The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any.

Read SEC document
October 30, 2025 Filed Nov 4, 2025 11:04 UTC WOLFSPEED, INC. WOLF · Entity 619 PurchaseCommon Stock, $0.00125 par value 116,002 $26.12 $3,029,972.24
Disclosure

SEC source: 0001193125-25-263392 · ownership.xml · nonDerivative · entry 1

CITIGROUP INC · CIK 0000831001 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 2,701,627

F1 · price: The price reported in Column 4 is a weighted average price. These shares of Wolfspeed, Inc. common stock, $0.00125 par value (the "Shares") were purchased in multiple transactions at prices ranging from $25.97 to $26.17, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Shares purchased at each separate price within the range set forth herein.

F2 · ownership.nature: This Form 4 is being filed by Citigroup Inc. ("Citigroup" or the "Reporting Person"), which is the sole stockholder of Citigroup Global Markets Inc. ("CGMI") and Citibank, N.A. ("CBNA"), with respect to the securities held by CGMI and CBNA. The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any.

Read SEC document
September 12, 2022 Filed Sep 13, 2022 13:50 UTC Sylvamo Corp SLVM · Entity 881 SaleCommon Stock, par value $1.00 per share 4,614,358 $36.25 $167,270,477.50
Disclosure

SEC source: 0001209191-22-049629 · doc4.xml · nonDerivative · entry 1

CITIGROUP INC · CIK 0000831001 · See General Remark.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Subsidiary

Disclosed balance after: 15,318

F1 · ownership.nature: These shares are beneficially owned by Citicorp North America, Inc. ("CNAI"). Citicorp Banking Corporation ("CBC") is the sole stockholder of CNAI. Citigroup Inc. is the sole stockholder of CBC.

Read SEC document
July 20, 2021 Filed Jul 22, 2021 17:09 UTC MFS HIGH INCOME MUNICIPAL TRUST CXE · Entity 12805 OtherVariable Rate Municipal Term Preferred Shares, Series 2019/3 3,900 $25,000.00 $97,500,000.00
Disclosure

SEC source: 0001209191-21-047680 · doc4.xml · nonDerivative · entry 1

CITIGROUP INC · CIK 0000831001 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Subsidiary

Disclosed balance after: 0

F1 · kind: All Variable Rate Municipal Term Preferred Shares, Series 2019/3 ("Series 2019/3 VMTP Shares") of the Fund have been called for redemption by the issuer on July 20, 2021.

F2 · ownership.nature: These Series 2019/3 VMTP Shares are beneficially owned by Citibank, N.A. ("Citibank"). Citicorp LLC ("Citicorp") is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

Read SEC document
July 20, 2021 Filed Jul 22, 2021 17:12 UTC MFS HIGH YIELD MUNICIPAL TRUST CMU · Entity 15600 OtherVariable Rate Municipal Term Preferred Shares, Series 2019/3 3,000 $25,000.00 $75,000,000.00
Disclosure

SEC source: 0001209191-21-047682 · doc4.xml · nonDerivative · entry 1

CITIGROUP INC · CIK 0000831001 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Subsidiary

Disclosed balance after: 0

F1 · kind: All Variable Rate Municipal Term Preferred Shares, Series 2019/3 ("Series 2019/3 VMTP Shares") of the Fund have been called for redemption by the issuer on July 20, 2021.

F2 · ownership.nature: These Series 2019/3 VMTP Shares are beneficially owned by Citibank, N.A. ("Citibank"). Citicorp LLC ("Citicorp") is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

Read SEC document
July 20, 2021 Filed Jul 22, 2021 17:16 UTC MFS INVESTMENT GRADE MUNICIPAL TRUST CXH · Entity 12806 OtherVariable Rate Municipal Term Preferred Shares, Series 2019/3 1,950 $25,000.00 $48,750,000.00
Disclosure

SEC source: 0001209191-21-047684 · doc4.xml · nonDerivative · entry 1

CITIGROUP INC · CIK 0000831001 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Subsidiary

Disclosed balance after: 0

F1 · kind: All Variable Rate Municipal Term Preferred Shares, Series 2019/3 ("Series 2019/3 VMTP Shares") of the Fund have been called for redemption by the issuer on July 20, 2021.

F2 · ownership.nature: These Series 2019/3 VMTP Shares are beneficially owned by Citibank, N.A. ("Citibank"). Citicorp LLC ("Citicorp") is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

Read SEC document
July 20, 2021 Filed Jul 22, 2021 17:20 UTC ABERDEEN MUNICIPAL INCOME FUND MFM · Entity 6238 OtherVariable Rate Municipal Term Preferred Shares, Series 2019/3 4,550 $25,000.00 $113,750,000.00
Disclosure

SEC source: 0001209191-21-047686 · doc4.xml · nonDerivative · entry 1

CITIGROUP INC · CIK 0000831001 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Subsidiary

Disclosed balance after: 0

F1 · kind: All Variable Rate Municipal Term Preferred Shares, Series 2019/3 ("Series 2019/3 VMTP Shares") of the Fund have been called for redemption by the issuer on July 20, 2021.

F2 · ownership.nature: These Series 2019/3 VMTP Shares are beneficially owned by Citibank, N.A. ("Citibank"). Citicorp LLC ("Citicorp") is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

Read SEC document
December 15, 2020 Filed Dec 17, 2020 15:16 UTC NYLI MacKay DefinedTerm Muni Opportunities Fund MMD · Entity 8991 OtherFixed Rate Municipal Term Preferred Shares, Series B 350 $100,000.00 $35,000,000.00
Disclosure

SEC source: 0001209191-20-063954 · doc4.xml · nonDerivative · entry 1

CITIGROUP INC · CIK 0000831001 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Subsidiary

Disclosed balance after: 0

F1 · kind: All Fixed Rate Municipal Term Preferred Shares, Series B ("Series B FMTP Shares") of the Fund have been called for redemption by the issuer on December 15, 2020.

F2 · ownership.nature: These Series B FMTP Shares are beneficially owned by Citibank, N.A. ("Citibank"). Citicorp LLC ("Citicorp") is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

Read SEC document
November 10, 2020 Filed Nov 12, 2020 15:15 UTC DWS MUNICIPAL INCOME TRUST KTF · Entity 5805 OtherFloating Rate Municipal Term Preferred Shares, Series 2018 39,750 $5,000.00 $198,750,000.00
Disclosure

SEC source: 0001209191-20-057849 · doc4.xml · nonDerivative · entry 1

CITIGROUP INC · CIK 0000831001 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Subsidiary

Disclosed balance after: 0

F1 · kind: All Floating Rate Municipal Term Preferred Shares, Series 2018 ("Shares") of the Fund have been called for redemption by the issuer on November 10, 2020.

F2 · ownership.nature: These Shares are beneficially owned by Citibank, N.A. ("Citibank"). Citicorp LLC ("Citicorp") is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

Read SEC document
November 10, 2020 Filed Nov 12, 2020 15:31 UTC DWS STRATEGIC MUNICIPAL INCOME TRUST KSM · Entity 15747 OtherFloating Rate Municipal Term Preferred Shares, Series 2018 2,800 $25,000.00 $70,000,000.00
Disclosure

SEC source: 0001209191-20-057852 · doc4.xml · nonDerivative · entry 1

CITIGROUP INC · CIK 0000831001 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Subsidiary

Disclosed balance after: 0

F1 · kind: All Floating Rate Municipal Term Preferred Shares, Series 2018 ("Shares") of the Fund have been called for redemption by the issuer on November 10, 2020.

F2 · ownership.nature: These Shares are beneficially owned by Citibank, N.A. ("Citibank"). Citicorp LLC ("Citicorp") is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

Read SEC document
June 25, 2020 Filed Jun 26, 2020 20:05 UTC DWS STRATEGIC MUNICIPAL INCOME TRUST KSM · Entity 15747 OtherFloating Rate Municipal Term Preferred Shares, Series 2018 2,800 $25,000.00 $70,000,000.00
Disclosure

SEC source: 0001209191-20-039066 · doc4.xml · nonDerivative · entry 1

CITIGROUP INC · CIK 0000831001 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Subsidiary

Disclosed balance after: 0

F1 · kind: All Floating Rate Municipal Term Preferred Shares, Series 2018 ("Shares") of the Fund have been called for redemption by the issuer on June 25, 2020.

F2 · ownership.nature: These Shares are beneficially owned by Citibank, N.A. ("Citibank"). Citicorp LLC ("Citicorp") is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

Read SEC document
June 25, 2020 Filed Jun 26, 2020 20:09 UTC DWS MUNICIPAL INCOME TRUST KTF · Entity 5805 OtherFloating Rate Municipal Term Preferred Shares, Series 2018 39,750 $5,000.00 $198,750,000.00
Disclosure

SEC source: 0001209191-20-039072 · doc4.xml · nonDerivative · entry 1

CITIGROUP INC · CIK 0000831001 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Subsidiary

Disclosed balance after: 0

F1 · kind: All Floating Rate Municipal Term Preferred Shares, Series 2018 ("Shares") of the Fund have been called for redemption by the issuer on June 25, 2020.

F2 · ownership.nature: These Shares are beneficially owned by Citibank, N.A. ("Citibank"). Citicorp LLC ("Citicorp") is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

Read SEC document
June 24, 2020 Filed Jun 26, 2020 20:02 UTC Nuveen Municipal Credit Income Fund NZF · Entity 1428 SaleSeries C MuniFund Preferred Shares 3,360 $100,000.00 $336,000,000.00
Disclosure

SEC source: 0001209191-20-039064 · doc4.xml · nonDerivative · entry 1

CITIGROUP INC · CIK 0000831001 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Subsidiary

Disclosed balance after: 0

F1 · ownership.nature: These Shares are beneficially owned by Citibank, N.A. ("Citibank"). Citicorp LLC ("Citicorp") is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

Read SEC document
June 17, 2020 Filed Jun 19, 2020 20:02 UTC Nuveen California Quality Municipal Income Fund NAC · Entity 1396 SaleVariable Rate Demand Preferred Shares (Series 5) 1,589 $100,000.00 $158,900,000.00
Disclosure

SEC source: 0001209191-20-037896 · doc4.xml · nonDerivative · entry 1

CITIGROUP INC · CIK 0000831001 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Subsidiary

Disclosed balance after: 0

F1 · ownership.nature: These Shares are beneficially owned by Citibank, N.A. ("Citibank"). Citicorp LLC ("Citicorp") is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

Read SEC document
June 15, 2020 Filed Jun 17, 2020 20:02 UTC NYLI MacKay DefinedTerm Muni Opportunities Fund MMD · Entity 8991 OtherFixed Rate Municipal Term Preferred Shares, Series A 350 $100,000.00 $35,000,000.00
Disclosure

SEC source: 0001209191-20-037222 · doc4.xml · nonDerivative · entry 1

CITIGROUP INC · CIK 0000831001 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Subsidiary

Disclosed balance after: 0

F1 · kind: All Fixed Rate Municipal Term Preferred Shares, Series A ("Shares") of the Fund have been called for redemption by the issuer on June 15, 2020.

F2 · ownership.nature: These Shares are beneficially owned by Citibank, N.A. ("Citibank"). Citicorp LLC ("Citicorp") is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

Read SEC document
April 03, 2020 Filed Apr 7, 2020 20:00 UTC Nuveen AMT-Free Municipal Credit Income Fund NVG · Entity 1400 SaleVariable Rate Demand Preferred Shares 1,935 $100,000.00 $193,500,000.00
Disclosure

SEC source: 0001209191-20-023752 · doc4.xml · nonDerivative · entry 1

CITIGROUP INC · CIK 0000831001 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Subsidiary

Disclosed balance after: 0

F1 · ownership.nature: The Variable Rate Demand Preferred Shares ("Shares") reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Read SEC document
April 03, 2020 Filed Apr 7, 2020 20:05 UTC WESTERN ASSET INTERMEDIATE MUNI FUND INC. SBI · Entity 6725 SaleVariable Rate Demand Preferred Shares 200 $25,000.00 $5,000,000.00
Disclosure

SEC source: 0001209191-20-023754 · doc4.xml · nonDerivative · entry 1

CITIGROUP INC · CIK 0000831001 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Subsidiary

Disclosed balance after: 0

F1 · ownership.nature: The Variable Rate Demand Preferred Shares ("Shares") reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Read SEC document
March 27, 2020 Filed Mar 30, 2020 20:26 UTC Nuveen AMT-Free Municipal Credit Income Fund NVG · Entity 1400 SaleVariable Rate Demand Preferred Shares 656 $100,000.00 $65,600,000.00
Disclosure

SEC source: 0001209191-20-021715 · doc4.xml · nonDerivative · entry 2

CITIGROUP INC · CIK 0000831001 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Subsidiary

Disclosed balance after: 1,935

F1 · ownership.nature: The Variable Rate Demand Preferred Shares ("Shares") reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Read SEC document
March 27, 2020 Filed Mar 30, 2020 20:45 UTC NUVEEN NEW YORK AMT-FREE QUALITY MUNICIPAL INCOME FUND NRK · Entity 1397 SaleVariable Rate Demand Preferred Shares 721 $100,000.00 $72,100,000.00
Disclosure

SEC source: 0001209191-20-021722 · doc4.xml · nonDerivative · entry 3

CITIGROUP INC · CIK 0000831001 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Subsidiary

Disclosed balance after: 0

F1 · ownership.nature: The Variable Rate Demand Preferred Shares ("Shares") reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Read SEC document
March 26, 2020 Filed Mar 30, 2020 20:13 UTC BLACKROCK MUNIYIELD QUALITY FUND III, INC. MYI · Entity 8834 SaleVariable Rate Demand Preferred Shares 520 $100,000.00 $52,000,000.00
Disclosure

SEC source: 0001209191-20-021706 · doc4.xml · nonDerivative · entry 1

CITIGROUP INC · CIK 0000831001 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Subsidiary

Disclosed balance after: 0

F1 · ownership.nature: The Variable Rate Demand Preferred Shares ("Shares") reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

Read SEC document
March 26, 2020 Filed Mar 30, 2020 20:26 UTC Nuveen AMT-Free Municipal Credit Income Fund NVG · Entity 1400 SaleVariable Rate Demand Preferred Shares 500 $100,000.00 $50,000,000.00
Disclosure

SEC source: 0001209191-20-021715 · doc4.xml · nonDerivative · entry 1

CITIGROUP INC · CIK 0000831001 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Subsidiary

Disclosed balance after: 2,591

F1 · ownership.nature: The Variable Rate Demand Preferred Shares ("Shares") reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

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March 26, 2020 Filed Mar 30, 2020 20:45 UTC NUVEEN NEW YORK AMT-FREE QUALITY MUNICIPAL INCOME FUND NRK · Entity 1397 SaleVariable Rate Demand Preferred Shares 1,000 $100,000.00 $100,000,000.00
Disclosure

SEC source: 0001209191-20-021722 · doc4.xml · nonDerivative · entry 2

CITIGROUP INC · CIK 0000831001 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Subsidiary

Disclosed balance after: 721

F1 · ownership.nature: The Variable Rate Demand Preferred Shares ("Shares") reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

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March 19, 2020 Filed Mar 30, 2020 20:45 UTC NUVEEN NEW YORK AMT-FREE QUALITY MUNICIPAL INCOME FUND NRK · Entity 1397 PurchaseVariable Rate Demand Preferred Shares 417 $100,000.00 $41,700,000.00
Disclosure

SEC source: 0001209191-20-021722 · doc4.xml · nonDerivative · entry 1

CITIGROUP INC · CIK 0000831001 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Subsidiary

Disclosed balance after: 1,721

F1 · ownership.nature: The Variable Rate Demand Preferred Shares ("Shares") reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

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November 18, 2019 Filed Nov 20, 2019 21:07 UTC Invesco California Value Municipal Income Trust VCV · Entity 5455 SaleSeries 2015/6-VCV Variable Rate Muni Term Preferred Shares 2,083 $100,000.00 $208,300,000.00
Disclosure

SEC source: 0001209191-19-057428 · doc4.xml · nonDerivative · entry 1

CITIGROUP INC · CIK 0000831001 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Subsidiary

Disclosed balance after: 0

F1 · ownership.nature: These Shares are beneficially owned by Citibank, N.A. ("Citibank"). Citicorp LLC ("Citicorp") is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

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November 18, 2019 Filed Nov 20, 2019 21:11 UTC Invesco Advantage Municipal Income Trust II VKI · Entity 5663 SaleSeries 2015/6-VKI Variable Rate Muni Term Preferred Shares 2,160 $100,000.00 $216,000,000.00
Disclosure

SEC source: 0001209191-19-057432 · doc4.xml · nonDerivative · entry 1

CITIGROUP INC · CIK 0000831001 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Subsidiary

Disclosed balance after: 0

F1 · ownership.nature: These Shares are beneficially owned by Citibank, N.A. ("Citibank"). Citicorp LLC ("Citicorp") is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

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October 18, 2019 Filed Oct 21, 2019 20:26 UTC Federated Hermes Premier Municipal Income Fund FMN · Entity 6866 OtherVariable Rate Municipal Term Preferred Shares, Series 2014 3,268 $25,000.00 $81,700,000.00
Disclosure

SEC source: 0001209191-19-053694 · doc4.xml · nonDerivative · entry 1

CITIGROUP INC · CIK 0000831001 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Subsidiary

Disclosed balance after: 0

F1 · kind: All Variable Rate Municipal Term Preferred Shares, Series 2014 ("Shares") of the Fund were called for redemption on October 18, 2019.

F2 · ownership.nature: These Shares are beneficially owned by Citibank, N.A. ("Citibank"). Citicorp LLC ("Citicorp") is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

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October 03, 2019 Filed Oct 4, 2019 20:01 UTC MFS CALIFORNIA MUNICIPAL FUND CCA · Entity 15907 OtherSeries 2019/3 Variable Rate Municipal Term Preferred Shares 977 $25,000.00 $24,425,000.00
Disclosure

SEC source: 0001209191-19-052536 · doc4.xml · nonDerivative · entry 1

CITIGROUP INC · CIK 0000831001 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Subsidiary

Disclosed balance after: 0

F1 · kind: All Series 2019/3 Variable Rate Municipal Term Preferred Shares ("Shares") of the Fund were called for redemption on October 3, 2019.

F2 · ownership.nature: These Shares are beneficially owned by Citibank, N.A. ("Citibank"). Citicorp LLC ("Citicorp") is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

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June 20, 2019 Filed Jun 24, 2019 16:07 UTC Nuveen AMT-Free Municipal Credit Income Fund NVG · Entity 1400 SaleSeries 1 Variable Rate Demand Preferred Shares 1,790 $100,000.00 $179,000,000.00
Disclosure

SEC source: 0001209191-19-038696 · doc4.xml · nonDerivative · entry 1

CITIGROUP INC · CIK 0000831001 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Subsidiary

Disclosed balance after: 0

F1 · ownership.nature: These shares are beneficially owned by Citibank, N.A. ("Citibank"). Citicorp LLC ("Citicorp") is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

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June 19, 2019 Filed Jun 21, 2019 16:18 UTC BLACKROCK MUNIYIELD PENNSYLVANIA QUALITY FUND MPA · Entity 6556 SaleSeries W-7 Variable Rate Demand Preferred Shares 826 $100,000.00 $82,600,000.00
Disclosure

SEC source: 0001209191-19-038392 · doc4.xml · nonDerivative · entry 1

CITIGROUP INC · CIK 0000831001 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Subsidiary

Disclosed balance after: 0

F1 · ownership.nature: These shares are beneficially owned by Citibank, N.A. ("Citibank"). Citicorp LLC ("Citicorp") is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

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June 19, 2019 Filed Jun 21, 2019 16:21 UTC BLACKROCK MASSACHUSETTS TAX-EXEMPT TRUST MHE · Entity 11760 SaleSeries W-7 Variable Rate Demand Preferred Shares 185 $100,000.00 $18,500,000.00
Disclosure

SEC source: 0001209191-19-038394 · doc4.xml · nonDerivative · entry 1

CITIGROUP INC · CIK 0000831001 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Subsidiary

Disclosed balance after: 0

F1 · ownership.nature: These shares are beneficially owned by Citibank, N.A. ("Citibank"). Citicorp LLC ("Citicorp") is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

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June 19, 2019 Filed Jun 21, 2019 16:23 UTC BLACKROCK MUNIENHANCED FUND, INC. MEN · Entity 11758 SaleSeries W-7 Variable Rate Demand Preferred Shares 1,425 $100,000.00 $142,500,000.00
Disclosure

SEC source: 0001209191-19-038395 · doc4.xml · nonDerivative · entry 1

CITIGROUP INC · CIK 0000831001 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Subsidiary

Disclosed balance after: 0

F1 · ownership.nature: These shares are beneficially owned by Citibank, N.A. ("Citibank"). Citicorp LLC ("Citicorp") is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

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June 19, 2019 Filed Jun 21, 2019 16:25 UTC BLACKROCK MUNIYIELD ARIZONA FUND, INC. MZA · Entity 11759 SaleSeries W-7 Variable Rate Demand Preferred Shares 373 $100,000.00 $37,300,000.00
Disclosure

SEC source: 0001209191-19-038396 · doc4.xml · nonDerivative · entry 1

CITIGROUP INC · CIK 0000831001 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Subsidiary

Disclosed balance after: 0

F1 · ownership.nature: These shares are beneficially owned by Citibank, N.A. ("Citibank"). Citicorp LLC ("Citicorp") is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

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June 19, 2019 Filed Jun 21, 2019 16:26 UTC BLACKROCK MUNIYIELD CALIFORNIA FUND, INC. MYC · Entity 11621 SaleSeries W-7 Variable Rate Demand Preferred Shares 1,059 $100,000.00 $105,900,000.00
Disclosure

SEC source: 0001209191-19-038397 · doc4.xml · nonDerivative · entry 1

CITIGROUP INC · CIK 0000831001 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Subsidiary

Disclosed balance after: 0

F1 · ownership.nature: These shares are beneficially owned by Citibank, N.A. ("Citibank"). Citicorp LLC ("Citicorp") is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

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June 19, 2019 Filed Jun 21, 2019 16:30 UTC BLACKROCK MUNIYIELD CALIFORNIA QUALITY FUND, INC. MCA · Entity 11620 SaleSeries W-7 Variable Rate Demand Preferred Shares 1,665 $100,000.00 $166,500,000.00
Disclosure

SEC source: 0001209191-19-038398 · doc4.xml · nonDerivative · entry 1

CITIGROUP INC · CIK 0000831001 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Subsidiary

Disclosed balance after: 0

F1 · ownership.nature: These shares are beneficially owned by Citibank, N.A. ("Citibank"). Citicorp LLC ("Citicorp") is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

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June 19, 2019 Filed Jun 21, 2019 16:31 UTC BLACKROCK MUNIYIELD INVESTMENT FUND MYF · Entity 13002 SaleSeries W-7 Variable Rate Demand Preferred Shares 594 $100,000.00 $59,400,000.00
Disclosure

SEC source: 0001209191-19-038399 · doc4.xml · nonDerivative · entry 1

CITIGROUP INC · CIK 0000831001 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Subsidiary

Disclosed balance after: 0

F1 · ownership.nature: These shares are beneficially owned by Citibank, N.A. ("Citibank"). Citicorp LLC ("Citicorp") is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

Read SEC document
June 19, 2019 Filed Jun 21, 2019 16:33 UTC BLACKROCK MUNIYIELD NEW JERSEY FUND, INC. MYJ · Entity 11622 SaleSeries W-7 Variable Rate Demand Preferred Shares 1,800 $100,000.00 $180,000,000.00
Disclosure

SEC source: 0001209191-19-038400 · doc4.xml · nonDerivative · entry 1

CITIGROUP INC · CIK 0000831001 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Subsidiary

Disclosed balance after: 0

F1 · ownership.nature: These shares are beneficially owned by Citibank, N.A. ("Citibank"). Citicorp LLC ("Citicorp") is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

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February 13, 2019 Filed Feb 14, 2019 21:20 UTC BLACKROCK MUNIYIELD QUALITY FUND III, INC. MYI · Entity 8834 SaleVariable Rate Demand Preferred Shares 710 $100,000.00 $71,000,000.00
Disclosure

SEC source: 0001209191-19-010140 · doc4.xml · nonDerivative · entry 1

CITIGROUP INC · CIK 0000831001 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Subsidiary

Disclosed balance after: 0

F1 · ownership.nature: The Variable Rate Demand Preferred Shares ("Shares") reported in Table I represent Shares beneficially owned by Citigroup Global Markets Inc. ("CGMI"). Citigroup Financial Products Inc. ("CFP") is the sole stockholder of CGMI. Citigroup Global Markets Holdings Inc. ("CGMH") is the sole stockholder of CFP. Citigroup Inc. is the sole stockholder of CGMH.

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January 24, 2019 Filed Jan 25, 2019 17:50 UTC BLACKROCK MUNIYIELD NEW YORK QUALITY FUND, INC. MYN · Entity 5728 SaleVariable Rate Demand Preferred Shares 2,477 $100,000.00 $247,700,000.00
Disclosure

SEC source: 0001209191-19-005280 · doc4.xml · nonDerivative · entry 1

CITIGROUP INC · CIK 0000831001 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Subsidiary

Disclosed balance after: 0

F1 · ownership.nature: These Shares are beneficially owned by Citibank, N.A. ("Citibank"). Citicorp LLC ("Citicorp") is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

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January 24, 2019 Filed Jan 25, 2019 17:55 UTC BLACKROCK MUNIYIELD MICHIGAN QUALITY FUND, INC. MIY · Entity 5744 SaleVariable Rate Demand Preferred Shares 2,319 $100,000.00 $231,900,000.00
Disclosure

SEC source: 0001209191-19-005282 · doc4.xml · nonDerivative · entry 1

CITIGROUP INC · CIK 0000831001 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Subsidiary

Disclosed balance after: 0

F1 · ownership.nature: These Shares are beneficially owned by Citibank, N.A. ("Citibank"). Citicorp LLC ("Citicorp") is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

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January 17, 2019 Filed Jan 18, 2019 17:35 UTC BLACKROCK MUNIYIELD QUALITY FUND III, INC. MYI · Entity 8834 SaleVariable Rate Demand Preferred Shares 3,564 $100,000.00 $356,400,000.00
Disclosure

SEC source: 0001209191-19-004475 · doc4.xml · nonDerivative · entry 1

CITIGROUP INC · CIK 0000831001 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Subsidiary

Disclosed balance after: 0

F1 · ownership.nature: These Shares are beneficially owned by Citibank, N.A. ("Citibank"). Citicorp LLC ("Citicorp") is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

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July 10, 2018 Filed Jul 12, 2018 20:07 UTC CONSUMER PORTFOLIO SERVICES, INC. CPSS · Entity 1404 OtherWarrants · Derivative 2,000,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-18-042445 · doc4.xml · derivative · entry 3

CITIGROUP INC · CIK 0000831001 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Subsidiary

Disclosed balance after: 0

Underlying: Common Stock · 2,000,000 shares

Expires 2018-07-10

F1 · derivative.exercise_price: The exercise price of the warrant securities ("Warrants") is $0.00001 per share of common stock.

F2 · ownership.nature: These Shares are beneficially owned by Citigroup Financial Products Inc. ("CFP"). Citigroup Global Markets Holdings Inc. ("CGM Holdings") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGM Holdings.

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July 10, 2018 Filed Jul 12, 2018 20:07 UTC CONSUMER PORTFOLIO SERVICES, INC. CPSS · Entity 1404 SaleCommon Stock 5 $4.00 $20.00
Disclosure

SEC source: 0001209191-18-042445 · doc4.xml · nonDerivative · entry 2

CITIGROUP INC · CIK 0000831001 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Subsidiary

Disclosed balance after: 1,999,995

F3 · kind: On July 10, 2018, the reporting person exercised a warrant to purchase 2,000,000 shares of the Issuer's common stock for $0.00001 a share. The reporting person paid the exercise price on a cashless basis, resulting in the Issuer's withholding of 5 of the warrant shares to pay the exercise price and issuing to the reporting person the remaining 1,999,995 shares.

F2 · ownership.nature: These Shares are beneficially owned by Citigroup Financial Products Inc. ("CFP"). Citigroup Global Markets Holdings Inc. ("CGM Holdings") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGM Holdings.

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July 10, 2018 Filed Jul 12, 2018 20:07 UTC CONSUMER PORTFOLIO SERVICES, INC. CPSS · Entity 1404 OtherCommon Stock 2,000,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-042445 · doc4.xml · nonDerivative · entry 1

CITIGROUP INC · CIK 0000831001 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Subsidiary

Disclosed balance after: 2,000,000

F1 · price: The exercise price of the warrant securities ("Warrants") is $0.00001 per share of common stock.

F2 · ownership.nature: These Shares are beneficially owned by Citigroup Financial Products Inc. ("CFP"). Citigroup Global Markets Holdings Inc. ("CGM Holdings") is the sole stockholder of CFP. Citigroup Inc. ("Citigroup") is the sole stockholder of CGM Holdings.

Read SEC document
June 20, 2018 Filed Jun 22, 2018 20:09 UTC Nuveen AMT-Free Municipal Credit Income Fund NVG · Entity 1400 SaleSeries 4 Variable Rate Demand Preferred Shares 1,800 $100,000.00 $180,000,000.00
Disclosure

SEC source: 0001209191-18-039160 · doc4.xml · nonDerivative · entry 1

CITIGROUP INC · CIK 0000831001 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Subsidiary

Disclosed balance after: 0

F1 · ownership.nature: These Shares are beneficially owned by Citibank, N.A. ("Citibank"). Citicorp LLC ("Citicorp") is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

Read SEC document
June 11, 2018 Filed Jun 13, 2018 20:03 UTC BLACKROCK NEW JERSEY MUNICIPAL INCOME TRUST BNJ · Entity 12916 OtherSeries W-7 Variable Rate Demand Preferred Shares 591 $100,000.00 $59,100,000.00
Disclosure

SEC source: 0001209191-18-037436 · doc4.xml · nonDerivative · entry 1

CITIGROUP INC · CIK 0000831001 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Subsidiary

Disclosed balance after: 0

F1 · kind: Effective as of June 11, 2018, BlackRock New Jersey Municipal Income Trust ("BNJ") and BlackRock New Jersey Municipal Bond Trust ("BLJ") were reorganized into BlackRock MuniYield New Jersey Fund, Inc. ("MYJ"), with MYJ continuing as the surviving fund after the reorganizations. Holders of the VRDP Shares of BNJ and BLJ will receive on a one-for-one basis MYJ VRDP Shares in an amount equal to the aggregate VRDP Share liquidation preference (including any accumulated and unpaid dividends) held by such holders of VRDP Shares immediately prior to the reorganizations.

F2 · ownership.nature: The Series W-7 Variable Rate Demand Preferred Shares ("Shares") reported in Table I represent Shares beneficially owned by Citibank, N.A. ("Citibank"). Citicorp LLC ("Citicorp") is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

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June 11, 2018 Filed Jun 13, 2018 20:06 UTC BLACKROCK NEW JERSEY MUNICIPAL BOND TRUST BLJ · Entity 12837 OtherVariable Rate Demand Preferred Shares 187 $100,000.00 $18,700,000.00
Disclosure

SEC source: 0001209191-18-037445 · doc4.xml · nonDerivative · entry 1

CITIGROUP INC · CIK 0000831001 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Subsidiary

Disclosed balance after: 0

F1 · kind: Effective as of June 11, 2018, BlackRock New Jersey Municipal Income Trust ("BNJ") and BlackRock New Jersey Municipal Bond Trust ("BLJ") were reorganized into BlackRock MuniYield New Jersey Fund, Inc. ("MYJ"), with MYJ continuing as the surviving fund after the reorganizations. Holders of the VRDP Shares of BNJ and BLJ will receive on a one-for-one basis MYJ VRDP Shares in an amount equal to the aggregate VRDP Share liquidation preference (including any accumulated and unpaid dividends) held by such holders of VRDP Shares immediately prior to the reorganizations.

F2 · ownership.nature: The Variable Rate Demand Preferred Shares ("Shares") reported in Table I represent Shares beneficially owned by Citibank, N.A. ("Citibank"). Citicorp LLC ("Citicorp") is the sole stockholder of Citibank. Citigroup Inc. is the sole stockholder of Citicorp.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.