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As Of Filer Filing For·On·As Docs:Size Issuer Agent 9/09/16 Citigroup Inc SC 13G/A 2:130K Franklin Ltd Duration Income Tr Summit Fin’l Printing Citigroup Financial Products Inc. Citigroup Global Markets Holdings Inc. Citigroup Global Markets Inc. |
Document/Exhibit Description Pages Size 1: SC 13G/A Citigroup Inc SC 13G A No 4 8-31-2016 (Franklin HTML 61K Templeton Ltd Duration Income Trust) 2: EX-99.1 Exhibit 1 HTML 8K
FRANKLIN LTD DURATION INCOME TRUST
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(Name of Issuer)
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Auction Rate Preferred |
(Title of Class of Securities)
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(See Item 2(e))
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(CUSIP Number)
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August 31, 2016 |
(Date of Event Which Requires Filing of this Statement)
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CUSIP NO. 35472T-20-0
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Page 2 of 9 Pages
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1
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NAMES OF REPORTING PERSONS
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Citigroup Global Markets Inc.
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
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(a)☐
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(b)☐
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3
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SEC USE ONLY
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4
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CITIZENSHIP OR PLACE OF ORGANIZATION
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New York
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NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
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5
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SOLE VOTING POWER
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0
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6
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SHARED VOTING POWER
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0
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7
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SOLE DISPOSITIVE POWER
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0
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8
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SHARED DISPOSITIVE POWER
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0
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9
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
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0
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10
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CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
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☐
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11
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
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0.0%
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12
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TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
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BD
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CUSIP NO. 35472T-20-0
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Page 3 of 9 Pages
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1
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NAMES OF REPORTING PERSONS
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Citigroup Financial Products Inc.
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||||
2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
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||||
(a)☐
|
|||||
(b)☐
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|||
3
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SEC USE ONLY
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4
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CITIZENSHIP OR PLACE OF ORGANIZATION
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Delaware
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NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
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5
|
SOLE VOTING POWER
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|
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0
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|||
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||||
6
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SHARED VOTING POWER
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0
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|||
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||||
7
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SOLE DISPOSITIVE POWER
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0
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|||
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||||
8
|
SHARED DISPOSITIVE POWER
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0
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|||
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||||
9
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
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0
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|||
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|
||||
10
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
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||
☐
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|||
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||||
11
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
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0.0%
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12
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TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
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CO
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CUSIP NO. 35472T-20-0
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Page 4 of 9 Pages
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1
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NAMES OF REPORTING PERSONS
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Citigroup Global Markets Holdings Inc.
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|||
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||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
||||
(a)☐
|
|||||
(b)☐
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|||
3
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SEC USE ONLY
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|||
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||||
4
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CITIZENSHIP OR PLACE OF ORGANIZATION
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New York
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|||
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||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
5
|
SOLE VOTING POWER
|
|
|
|
0
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|||
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||||
6
|
SHARED VOTING POWER
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0
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|||
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||||
7
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SOLE DISPOSITIVE POWER
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0
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|||
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||||
8
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SHARED DISPOSITIVE POWER
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0
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9
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
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0
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|||
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||||
10
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
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||
☐
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|||
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||||
11
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
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0.0%
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||||
12
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TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
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HC
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CUSIP NO. 35472T-20-0
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Page 5 of 9 Pages
|
1
|
NAMES OF REPORTING PERSONS
|
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|
||
Citigroup Inc.
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|||
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|
||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
||||
(a)☐
|
|||||
(b)☐
|
|
|
|||
3
|
SEC USE ONLY
|
|
|
||
|
|
|
|||
|
|
||||
4
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CITIZENSHIP OR PLACE OF ORGANIZATION
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|
|
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Delaware
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|
|
|||
|
|
||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
5
|
SOLE VOTING POWER
|
|
|
|
0
|
|
|
|||
|
|
||||
6
|
SHARED VOTING POWER
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|
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0
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|
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|||
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|
||||
7
|
SOLE DISPOSITIVE POWER
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|
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0
|
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|||
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||||
8
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SHARED DISPOSITIVE POWER
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0
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|||
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||||
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
0
|
|
|
|||
|
|
||||
10
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
|
|
|
||
☐
|
|
|
|||
|
|
||||
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
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0.0%
|
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|
|||
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|
||||
12
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TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
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HC
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(d) | ☐ Investment company registered under Section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8); |
(h) | ☐ Savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); |
(i) | ☐ Church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); |
(k) | ☐ Group, in accordance with Section 240.13d-1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with Section 240.13d-1(b)(1)(ii)(J), please specify the type of institution: ____________________________ . |
Item 7. | Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company. |
CITIGROUP GLOBAL MARKETS INC.
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By:
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/s/ Ronny Ostrow
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Name: Ronny Ostrow
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Title: Assistant Secretary
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CITIGROUP FINANCIAL PRODUCTS INC. | ||
By:
|
/s/ Ronny Ostrow
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Name: Ronny Ostrow
|
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Title: Assistant Secretary
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CITIGROUP GLOBAL MARKETS HOLDINGS INC. | ||
By:
|
/s/ Ronny Ostrow
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Name: Ronny Ostrow
|
||
Title: Assistant Secretary
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CITIGROUP INC.
|
||
By:
|
/s/ Ronny Ostrow
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Name: Ronny Ostrow
|
||
Title: Assistant Secretary
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This ‘SC 13G/A’ Filing | Date | Other Filings | ||
---|---|---|---|---|
Filed on: | 9/9/16 | 424B2, SC 13G | ||
8/31/16 | 424B2 | |||
List all Filings |