|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
|
| ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Gerspach John C C/O CORPORATE LAW DEP'T, CITIGROUP INC. 153 EAST 53RD STREET, 19TH FLOOR NEW YORK, NY 10022 |
Chief Financial Officer |
John C. Gerspach by Joseph B. Wollard, Attorney-in-Fact | 05/18/2018 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | On May 14, 2018 the Reporting Person made a gift of 12,966 shares of the Issuer's common stock from the 2016 GRAT 1 to trusts for the benefit of his children. The Reporting Person's wife is the trustee of each of the trusts. |
(2) | On May 14, 2018 the Reporting Person transferred 11,967 shares of the Issuer's common stock to his direct ownership as a required annuity distribution from the 2016-1 GRAT. As a consequence of the gift of 12,966 shares of the Issuer's common stock reported in Footnote 1 and the distribution of 11,967 shares of the Issuer's common stock reported in Footnote 2, the 2016-1 GRAT no longer owns any shares of the Issuer's common stock. |
(3) | This price represents the average sale prices for multiple transactions reported on this line. The prices of the transactions reported on this line ranged from USD $72.30 to USD $72.32. Upon request by the SEC staff, the Issuer or a security holder of the Issuer, the Reporting Person will undertake to provide full information regarding the number of shares and prices at which the transactions were effected. |
(4) | On May 14, 2018 the Reporting Person transferred 15,114 shares of the Issuer's common stock to his direct ownership as a required annuity distribution from the 2017-1 GRAT. |
(5) | On May 16, 2018 the Reporting Person transferred 35,000 shares of the Issuer's common stock to the 2018-1 GRAT, of which he is the trustee. |