C 10-K Annual Report Dec. 31, 2019 | Alphaminr
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C 10-K Fiscal year ended Dec. 31, 2019

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CITIGROUP INC
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TABLE OF CONTENTS
Part IPart IIPart IIIPart IV

Exhibits

3.01+ Restated Certificate of Incorporation of Citigroup, as amended, as in effect on the date hereof. 4.01 Form of Senior Indenture between Citigroup and The Bank of New York Mellon, as trustee, incorporated by reference to Exhibit 4.8 to the Companys Registration Statement on Form S-3 filed on November 13, 2013 (File No. 333-192302). 4.02 First Supplemental Indenture, dated as of February 1, 2016, between Citigroup and The Bank of New York Mellon, as trustee, incorporated by reference to Exhibit 4.01 to the Companys Current Report on Form 8-K filed on February 1, 2016 (File No. 001-9924). 4.03 Second Supplemental Indenture, dated as of December29, 2016, between Citigroup and The Bank of New York Mellon, as trustee, incorporated by reference to Exhibit4.01 to the Companys Current Report on Form8-K filed on December29, 2016 (File No. 001-9924). 4.04 Third Supplemental Indenture dated as of June 26, 2017 among Citigroup Global Markets Holdings Inc., the Company and The Bank of New York Mellon, as trustee, to Indenture dated as of November 13, 2013, incorporated by reference to Exhibit 4.01 to the Companys Quarterly Report on Form 10-Q filed on August 1, 2017 (File No. 001-09924). 4.05 Subordinated Debt Indenture, dated as of April12, 2001, between the Company and The Bank of New York Mellon, as successor to JPMorgan Chase Bank (formerly Bank One Trust Company, N.A.), as trustee, incorporated by reference to Exhibit 4.1 to the Companys Registration Statement on Form S-3 filed on February 4, 2013 (No. 333-186425). 4.07 Second Supplemental Indenture, dated as of May 18, 2016, between Citigroup and The Bank of New York Mellon, as successor to J.P. Morgan Trust Company, N.A. (formerly Bank One Trust Company, N.A.), as trustee, incorporated by reference to Exhibit 4.2 to the Companys Current Report on Form8-K filed on May20, 2016 (No. 001-9924). 4.08 Third Supplemental Indenture, dated as of March1, 2017, between Citigroup and The Bank of New York Mellon, as successor to J.P. Morgan Trust Company, N.A. (formerly Bank One Trust Company, N.A.), as trustee, incorporated by reference to Exhibit 4.11 to the Companys Registration Statement on Form S-3 filed on March 1, 2017 (No. 333-216372). 4.14 Fifth Supplemental Indenture, dated as of December 9, 2008, between the Company and The Bank of New York Mellon, as trustee, incorporated by reference to Exhibit 4.04 to the Companys Current Report on Form 8-K filed on December 11, 2008 (No. 001-09924). 4.15 Sixth Supplemental Indenture, dated as of December 20, 2012, between the Company and The Bank of New York Mellon, as trustee, providing for the issuance of debt securities, incorporated by reference to Exhibit 4.5 to the Companys Current Report on Form 8-K filed on December 21, 2012 (No. 001-09924). 4.16 Seventh Supplemental Indenture, dated as of May 18, 2016, between Citigroup Inc. and The Bank of New York Mellon, as trustee, incorporated by reference to Exhibit 4.1 to the Companys Current Report on Form8-K filed on May 20, 2016 (No. 001-9924). 4.18 Second Supplemental Indenture, dated as of December 20, 2012, among Citigroup Funding Inc., the Company and The Bank of New York Mellon, as successor trustee to JPMorgan Chase Bank, N.A., incorporated by reference to Exhibit 4.2 to the Companys Current Report on Form 8-K filed on December 21, 2012 (No. 001-09924). 4.20 Form of Indenture, between the Company and The Bank of New York Mellon, as successor trustee to JPMorgan Chase Bank, incorporated by reference to Exhibit 4.01 to the Companys Post-Effective Amendment No. 2 to the Registration Statement on Form S-3 filed on May 4, 2007 (File No. 333-135163). 4.21 Form of Indenture, between the Company and The Bank of New York Mellon, as successor trustee to JPMorgan Chase Bank (formerly known as The Chase Manhattan Bank), incorporated by reference to Exhibit 4.11 to the Travelers Group Inc. Registration Statement on Form S-3 filed on September 20, 1996 (File No. 333-12439). 4.22 Senior Debt Indenture, dated as of March 8, 2016, between Citigroup Global Markets Holdings Inc., the Company and The Bank of New York Mellon, as trustee, incorporated by reference to Exhibit 4.1 to the Companys Current Report on Form 8-K filed on March 9, 2016 (File No. 1-9924). 4.24 Amended and Restated Declaration of Trust for Citigroup Capital XIII, incorporated by reference to Exhibit 4.02 to the Companys Current Report on Form 8-K filed on September 30, 2010 (File No. 1-9924). 4.25 Form of Amended and Restated Declaration of Trust for Citigroup Capital XVIII, incorporated by reference to Exhibit4.07 to the Registrants Post-Effective Amendment No.2 to the Registration Statement on Form S-3 (No.333-135163). 4.27 Specimen Physical Common Stock Certificate of Citigroup, incorporated by reference to Exhibit 4.1 to the Companys Current Report on Form 8-K filed on May 9, 2011 (File No. 001-09924). 4.28+ Description of Citigroups Securities Registered Pursuant to Section 12 of the Securities Exchange Act of 1934. 10.01* Citi Discretionary Incentive and Retention Award Plan (as Amended and Restated Effective as of January 1, 2015), incorporated by reference to Exhibit 10.01 to the Companys Annual Report on Form 10-K for the fiscal year ended December 31, 2014 (File No. 001-09924) (the Companys 2014 10-K). 10.02.1* Citigroup 2009 Stock Incentive Plan (as amended and restated effective April 24, 2013), incorporated by reference to Exhibit 10.1 to the Companys Current Report on Form 8-K filed on April 26, 2013 (File No. 001-09924). 10.02.2* Citigroup 2014 Stock Incentive Plan (as amended and restated effective April 24, 2018), incorporated by reference to Exhibit 10.1 to the Companys Current Report on Form 8-K filed on April 30, 2018 (File No. 001-09924). 10.02.3* Citigroup 2019 Stock Incentive Plan, incorporated by reference to Exhibit 10.1 to the Companys Current Report on Form 8-K filed on April 17, 2019 (File No. 001-09924). 10.03* Citigroup Inc. Deferred Cash Award Plan (as Amended and Restated Effective as of January 1, 2015), incorporated by reference to Exhibit 10.03 to the Companys 2014 10-K. 10.04.1* Form of Citigroup Inc. CAP/DCAP Agreement, incorporated by reference to Exhibit 10.01 to the Companys Quarterly Report on Form 10-Q for the quarterly period ended September 30, 2015 (File No. 001-09924). 10.04.2* Form of Citigroup Inc. CAP/DCAP Agreement (for awards granted on February 14, 2019 and in future years), incorporated by reference to Exhibit 10.02 to the Companys Quarterly Report on Form 10-Q for the quarterly period ended March 31, 2019 (File No. 001-09924). 10.05* Form of Citigroup Inc. CAP Agreement, incorporated by reference to Exhibit 10.01 to the Companys Quarterly Report on Form 10-Q for the quarterly period ended September 30, 2019 (File No. 001-09924). 10.06* The Amended and Restated 2011 Citigroup Executive Performance Plan (as amended and restated as of January 1, 2016, and as further amended on February 16, 2017), incorporated by reference to Exhibit 10.2 to the Companys Current Report on Form 10-Q filed for the quarterly period ended March 31, 2017 (File No. 001-09924). 10.07.1* Form of Citigroup Inc. Performance Share Unit Award Agreement (awards dated February 16, 2017 and in future years), incorporated by reference to Exhibit 10.01 to the Companys Quarterly Report on Form 10-Q for the quarterly period ended March 31, 2017 (File No. 001-09924). 10.07.2* Form of Citigroup Inc. Performance Share Unit Award Agreement (awards dated February 14, 2019 and in future years), incorporated by reference to Exhibit 10.01 to the Companys Quarterly Report on Form 10-Q for the quarterly period ended March 31, 2019 (File No. 001-09924). 10.08* Citigroup Management Committee Termination Notice and Non-Solicitation Policy, effective October 2, 2006, incorporated by reference to Exhibit 10.1 to the Companys Current Report on Form 8-K filed on October 6, 2006 (File No. 001-09924). 10.09.4* Amendment to the Citicorp Deferred Compensation Plan, effective November 22, 2009, incorporated by reference to Exhibit 10.01.5 to the Companys Annual Report on Form 10-K for the fiscal year ended December 31, 2009 (File No. 001-09924) (the Companys 2009 10-K). 10.10.3* Resolution Amending the Citibank Supplemental ERISA Plan, incorporated by reference to Exhibit 10.04.1 to the Companys Annual Report on Form 10-K for the fiscal year ended December 31, 2005 (File No. 001-09924). 10.10.4* Amendment to the Citibank Supplemental ERISA Plan, effective January 1, 2009, incorporated by reference to Exhibit 10.01.4 to the Companys 2009 10-K. 10.10.5* Amendment to the Citibank Supplemental ERISA Plan, effective November 22, 2009, incorporated by reference to Exhibit 10.01.5 to the Companys 2009 10-K. 10.10.6* Amendment to the Citibank Supplemental ERISA Plan, effective December 31, 2012, incorporated by reference to Exhibit 10.01.6 to the Companys Annual Report on Form 10-K for the fiscal year ended December 31, 2012 (File No. 001-09924). 10.10.7* Amendment to the Citibank Supplemental ERISA Plan, effective December 31, 2018, incorporated by reference to Exhibit 10.09.7 to the Companys Annual Report on Form 10-K for the fiscal year ended December 31, 2018 (File No. 001-09924). 10.12* Letter Agreement, dated December 21, 2011, between Citigroup Inc. and Michael Corbat, incorporated by reference to Exhibit 10.1 to the Companys Current Report on Form 8-K filed on December 22, 2011 (File No. 001-09924). 10.13* Citigroup Inc. Non-Employee Directors Compensation Plan (effective as of January 1, 2008), incorporated by reference to Exhibit 10.01 to the Companys Quarterly Report on Form 10-Q for the quarterly period ended September 30, 2007 (File No. 001-09924). 10.14+* Citigroup Inc. Off-Cycle Award Agreement for Deferred Stock Award and Deferred Cash Award granted to Jane Fraser (dated November 25, 2019). 10.15+* Agreement between Stephen Bird and Citibank, N.A. (dated November 8, 2019). 21.01+ Subsidiaries of Citigroup. 23.01+ Consent of KPMG LLP, Independent Registered Public Accounting Firm. 24.01+ Powers of Attorney. 31.01+ Certification of principal executive officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. 31.02+ Certification of principal financial officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. 32.01+ Certification pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. 99.01+ List of Securities Registered Pursuant to Section 12(b) of the Securities Exchange Act of 1934, formatted in inline XBRL.