Current Report Filing (8-k)
01 November 2013 - 8:04AM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K
CURRENT REPORT
Pursuant
to Section 13 or 15(d)
of the Securities Exchange Act of 1934
Date of Report (Date of earliest event reported) October 30, 2013
Citigroup Inc.
(Exact
name of registrant as specified in its charter)
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Delaware |
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1-9924 |
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52-1568099 |
(State or other jurisdiction
of incorporation) |
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(Commission
File Number) |
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(IRS Employer
Identification No.) |
399 Park Avenue, New York, New York 10022
(Address of principal executive offices) (Zip Code)
(212) 559-1000
(Registrants telephone number, including area code)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the
following provisions:
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
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Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
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Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
CITIGROUP INC.
Current Report on Form 8-K
Item 5.03
Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year.
(a) On October 30, 2013, Citigroup Inc. filed a Certificate of
Designations with the Secretary of State of the State of Delaware, establishing the designations, preferences, powers and rights of the shares of a new series of Citigroup preferred stock, 6.875% Fixed Rate / Floating Rate Noncumulative Preferred
Stock, Series K. The Certificate of Designations amended Citigroups Restated Certificate of Incorporation, as amended, and was effective immediately on filing.
A copy of the Certificate of Designations is being filed as an exhibit to this Form 8-K and is incorporated herein by reference in its entirety.
Item 9.01 Financial Statements and Exhibits.
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Exhibit No. |
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Description |
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1.1 |
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Underwriting Agreement, dated October 24, 2013, among Citigroup Inc. and the underwriters named therein, relating to the offer and sale of Depositary Shares each representing a
1/1,000th interest in a share of 6.875% Fixed Rate / Floating Rate Noncumulative Preferred Stock, Series K, of Citigroup Inc. |
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3.1 |
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Certificate of Designations of 6.875% Fixed Rate / Floating Rate Noncumulative Preferred Stock, Series K, of Citigroup Inc. |
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4.1 |
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Deposit Agreement, dated October 31, 2013 among Citigroup Inc., Computershare Inc., a Delaware corporation, and its wholly-owned subsidiary Computershare Trust Company, N.A., a federally charted national association, jointly as
Depositary, and all holders from time to time of Receipts, Depositary Shares and the related 6.875% Fixed Rate / Floating Rate Noncumulative Preferred Stock, Series K. |
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5.1 |
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Opinion of Skadden, Arps, Slate, Meagher & Flom LLP |
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SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by
the undersigned hereunto duly authorized.
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Dated October 31, 2013 |
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CITIGROUP INC. |
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By: |
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/s/ Michael J. Tarpley |
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Michael J. Tarpley |
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Assistant Secretary |
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EXHIBIT INDEX
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Exhibit No. |
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Description |
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1.1 |
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Underwriting Agreement, dated October 24, 2013, among Citigroup Inc. and the underwriters named therein, relating to the offer and sale of Depositary Shares each representing a
1/1,000th interest in a share of 6.875% Noncumulative Preferred Stock, Series K, of Citigroup Inc. |
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3.1 |
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Certificate of Designations of 6.875% Noncumulative Preferred Stock, Series K, of Citigroup Inc. |
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4.1 |
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Deposit Agreement, dated October 31, 2013 among Citigroup Inc., Computershare Inc., a Delaware corporation, and its wholly-owned subsidiary Computershare Trust Company, N.A., a federally charted national association, jointly as
Depositary, and all holders from time to time of Receipts, Depositary Shares and the related 6.875% Fixed Rate/Floating Rate Noncumulative Preferred Stock, Series K. |
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5.1 |
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Opinion of Skadden, Arps, Slate, Meagher & Flom LLP |
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