Home/Filings/5/0001181431-05-002105

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CITIGROUP INVESTMENTS INC 5

Accession 0001181431-05-002105

CIK 0001130385other

View on SEC.gov Company Profile

Filed

Jan 6, 7:00 PM ET

Accepted

Jan 7, 4:58 PM ET

Size

44.6 KB

Accession

0001181431-05-002105

Insider Transaction Report

Form 5

Period: 2004-12-31

FOSTER WHEELER LTDFWHLF.OB

CITIGROUP INC

10% Owner

Transactions

Sale
Series B Convertible Preferred Shares, $1.00 par value
2004-09-28$572.00/sh−75$42,900→ 3,191 total(indirect: By Subsidiary)
Other
Series B Convertible Preferred Shares, $0.01 par value
2004-11-29+73,140→ 3,191 total(indirect: By Subsidiary)
From: 2004-11-29→ Common Shares, $0.01 par value (4,754,100 underlying)
Sale
Common Shares, $1.00 par value
2004-09-27$0.48/sh−19,865$9,535→ 4,917,919 total(indirect: By Subsidiary)
Sale
Common Shares, $1.00 par value
2004-09-28$0.48/sh−211,000$101,280→ 4,917,919 total(indirect: By Subsidiary)
Sale
Series B Convertible Preferred Shares, $1.00 par value
2004-10-06$585.00/sh−100$58,500→ 3,191 total(indirect: By Subsidiary)
Sale
Series B Convertible Preferred Shares, $1.00 par value
2004-10-08$591.50/sh−250$147,875→ 3,191 total(indirect: By Subsidiary)
Sale
Common Shares, $1.00 par value
2004-09-27$0.50/sh−100,000$50,000→ 4,917,919 total(indirect: By Subsidiary)
Sale
Common Shares, $1.00 par value
2004-09-30$0.47/sh−150,000$70,755→ 4,917,919 total(indirect: By Subsidiary)
Sale
Common Shares, $1.00 par value
2004-10-06$0.47/sh−225,000$105,750→ 4,917,919 total(indirect: By Subsidiary)
Sale
Common Shares, $1.00 par value
2004-09-29$0.47/sh−75,000$35,250→ 4,917,919 total(indirect: By Subsidiary)
Conversion
Common Shares, $0.01 par value
2004-12-01+4,546,685→ 4,917,919 total(indirect: By Subsidiary)
Sale
Common Shares, $1.00 par value
2004-09-27$0.48/sh−30,135$14,465→ 4,917,919 total(indirect: By Subsidiary)
Sale
Common Shares, $1.00 par value
2004-10-08$0.47/sh−50,000$23,750→ 4,917,919 total(indirect: By Subsidiary)
Sale
Series B Convertible Preferred Shares, $1.00 par value
2004-09-28$572.00/sh−243$138,996→ 3,191 total(indirect: By Subsidiary)
Sale
Series B Convertible Preferred Shares, $1.00 par value
2004-09-29$577.06/sh−257$148,304→ 3,191 total(indirect: By Subsidiary)
Sale
Series B Convertible Preferred Shares, $1.00 par value
2004-10-07$585.00/sh−500$292,500→ 3,191 total(indirect: By Subsidiary)
Conversion
Series B Convertible Preferred Shares, $0.01 par value
2004-12-01−69,949→ 3,191 total(indirect: By Subsidiary)
From: 2004-11-29→ Common Shares, $0.01 par value (4,546,685 underlying)

CITIGROUP GLOBAL MARKETS INC

10% Owner

Transactions

Sale
Common Shares, $1.00 par value
2004-09-27$0.48/sh−19,865$9,535→ 4,917,919 total(indirect: By Subsidiary)
Sale
Common Shares, $1.00 par value
2004-09-28$0.48/sh−211,000$101,280→ 4,917,919 total(indirect: By Subsidiary)
Sale
Common Shares, $1.00 par value
2004-09-30$0.47/sh−150,000$70,755→ 4,917,919 total(indirect: By Subsidiary)
Sale
Series B Convertible Preferred Shares, $1.00 par value
2004-10-08$591.50/sh−250$147,875→ 3,191 total(indirect: By Subsidiary)
Other
Series B Convertible Preferred Shares, $0.01 par value
2004-11-29+73,140→ 3,191 total(indirect: By Subsidiary)
From: 2004-11-29→ Common Shares, $0.01 par value (4,754,100 underlying)
Sale
Common Shares, $1.00 par value
2004-09-27$0.50/sh−100,000$50,000→ 4,917,919 total(indirect: By Subsidiary)
Sale
Common Shares, $1.00 par value
2004-10-06$0.47/sh−225,000$105,750→ 4,917,919 total(indirect: By Subsidiary)
Conversion
Common Shares, $0.01 par value
2004-12-01+4,546,685→ 4,917,919 total(indirect: By Subsidiary)
Sale
Series B Convertible Preferred Shares, $1.00 par value
2004-09-28$572.00/sh−243$138,996→ 3,191 total(indirect: By Subsidiary)
Sale
Series B Convertible Preferred Shares, $1.00 par value
2004-09-28$572.00/sh−75$42,900→ 3,191 total(indirect: By Subsidiary)
Sale
Series B Convertible Preferred Shares, $1.00 par value
2004-09-29$577.06/sh−257$148,304→ 3,191 total(indirect: By Subsidiary)
Sale
Common Shares, $1.00 par value
2004-09-27$0.48/sh−30,135$14,465→ 4,917,919 total(indirect: By Subsidiary)
Sale
Common Shares, $1.00 par value
2004-09-29$0.47/sh−75,000$35,250→ 4,917,919 total(indirect: By Subsidiary)
Sale
Common Shares, $1.00 par value
2004-10-08$0.47/sh−50,000$23,750→ 4,917,919 total(indirect: By Subsidiary)
Sale
Series B Convertible Preferred Shares, $1.00 par value
2004-10-06$585.00/sh−100$58,500→ 3,191 total(indirect: By Subsidiary)
Conversion
Series B Convertible Preferred Shares, $0.01 par value
2004-12-01−69,949→ 3,191 total(indirect: By Subsidiary)
From: 2004-11-29→ Common Shares, $0.01 par value (4,546,685 underlying)
Sale
Series B Convertible Preferred Shares, $1.00 par value
2004-10-07$585.00/sh−500$292,500→ 3,191 total(indirect: By Subsidiary)

CITIGROUP GLOBAL MARKETS HOLDINGS INC

10% Owner

Transactions

Sale
Common Shares, $1.00 par value
2004-09-27$0.48/sh−30,135$14,465→ 4,917,919 total(indirect: By Subsidiary)
Sale
Common Shares, $1.00 par value
2004-09-27$0.48/sh−19,865$9,535→ 4,917,919 total(indirect: By Subsidiary)
Sale
Common Shares, $1.00 par value
2004-09-29$0.47/sh−75,000$35,250→ 4,917,919 total(indirect: By Subsidiary)
Sale
Common Shares, $1.00 par value
2004-09-30$0.47/sh−150,000$70,755→ 4,917,919 total(indirect: By Subsidiary)
Sale
Common Shares, $1.00 par value
2004-10-08$0.47/sh−50,000$23,750→ 4,917,919 total(indirect: By Subsidiary)
Sale
Series B Convertible Preferred Shares, $1.00 par value
2004-09-28$572.00/sh−75$42,900→ 3,191 total(indirect: By Subsidiary)
Sale
Series B Convertible Preferred Shares, $1.00 par value
2004-10-06$585.00/sh−100$58,500→ 3,191 total(indirect: By Subsidiary)
Other
Series B Convertible Preferred Shares, $0.01 par value
2004-11-29+73,140→ 3,191 total(indirect: By Subsidiary)
From: 2004-11-29→ Common Shares, $0.01 par value (4,754,100 underlying)
Conversion
Series B Convertible Preferred Shares, $0.01 par value
2004-12-01−69,949→ 3,191 total(indirect: By Subsidiary)
From: 2004-11-29→ Common Shares, $0.01 par value (4,546,685 underlying)
Sale
Common Shares, $1.00 par value
2004-09-27$0.50/sh−100,000$50,000→ 4,917,919 total(indirect: By Subsidiary)
Sale
Common Shares, $1.00 par value
2004-10-06$0.47/sh−225,000$105,750→ 4,917,919 total(indirect: By Subsidiary)
Sale
Series B Convertible Preferred Shares, $1.00 par value
2004-09-29$577.06/sh−257$148,304→ 3,191 total(indirect: By Subsidiary)
Sale
Common Shares, $1.00 par value
2004-09-28$0.48/sh−211,000$101,280→ 4,917,919 total(indirect: By Subsidiary)
Conversion
Common Shares, $0.01 par value
2004-12-01+4,546,685→ 4,917,919 total(indirect: By Subsidiary)
Sale
Series B Convertible Preferred Shares, $1.00 par value
2004-09-28$572.00/sh−243$138,996→ 3,191 total(indirect: By Subsidiary)
Sale
Series B Convertible Preferred Shares, $1.00 par value
2004-10-07$585.00/sh−500$292,500→ 3,191 total(indirect: By Subsidiary)
Sale
Series B Convertible Preferred Shares, $1.00 par value
2004-10-08$591.50/sh−250$147,875→ 3,191 total(indirect: By Subsidiary)

CITIGROUP FINANCIAL PRODUCTS INC

10% Owner

Transactions

Sale
Common Shares, $1.00 par value
2004-10-06$0.47/sh−225,000$105,750→ 4,917,919 total(indirect: By Subsidiary)
Sale
Series B Convertible Preferred Shares, $1.00 par value
2004-10-07$585.00/sh−500$292,500→ 3,191 total(indirect: By Subsidiary)
Conversion
Series B Convertible Preferred Shares, $0.01 par value
2004-12-01−69,949→ 3,191 total(indirect: By Subsidiary)
From: 2004-11-29→ Common Shares, $0.01 par value (4,546,685 underlying)
Sale
Common Shares, $1.00 par value
2004-09-27$0.48/sh−30,135$14,465→ 4,917,919 total(indirect: By Subsidiary)
Sale
Common Shares, $1.00 par value
2004-09-28$0.48/sh−211,000$101,280→ 4,917,919 total(indirect: By Subsidiary)
Sale
Common Shares, $1.00 par value
2004-09-29$0.47/sh−75,000$35,250→ 4,917,919 total(indirect: By Subsidiary)
Sale
Series B Convertible Preferred Shares, $1.00 par value
2004-09-28$572.00/sh−75$42,900→ 3,191 total(indirect: By Subsidiary)
Sale
Common Shares, $1.00 par value
2004-09-27$0.50/sh−100,000$50,000→ 4,917,919 total(indirect: By Subsidiary)
Conversion
Common Shares, $0.01 par value
2004-12-01+4,546,685→ 4,917,919 total(indirect: By Subsidiary)
Sale
Series B Convertible Preferred Shares, $1.00 par value
2004-09-29$577.06/sh−257$148,304→ 3,191 total(indirect: By Subsidiary)
Sale
Series B Convertible Preferred Shares, $1.00 par value
2004-10-08$591.50/sh−250$147,875→ 3,191 total(indirect: By Subsidiary)
Sale
Common Shares, $1.00 par value
2004-09-27$0.48/sh−19,865$9,535→ 4,917,919 total(indirect: By Subsidiary)
Sale
Common Shares, $1.00 par value
2004-09-30$0.47/sh−150,000$70,755→ 4,917,919 total(indirect: By Subsidiary)
Sale
Common Shares, $1.00 par value
2004-10-08$0.47/sh−50,000$23,750→ 4,917,919 total(indirect: By Subsidiary)
Sale
Series B Convertible Preferred Shares, $1.00 par value
2004-09-28$572.00/sh−243$138,996→ 3,191 total(indirect: By Subsidiary)
Sale
Series B Convertible Preferred Shares, $1.00 par value
2004-10-06$585.00/sh−100$58,500→ 3,191 total(indirect: By Subsidiary)
Other
Series B Convertible Preferred Shares, $0.01 par value
2004-11-29+73,140→ 3,191 total(indirect: By Subsidiary)
From: 2004-11-29→ Common Shares, $0.01 par value (4,754,100 underlying)

CITIGROUP INVESTMENTS INC

10% Owner

Transactions

Sale
Common Shares, $1.00 par value
2004-09-27$0.48/sh−30,135$14,465→ 4,917,919 total(indirect: By Subsidiary)
Sale
Common Shares, $1.00 par value
2004-09-27$0.50/sh−100,000$50,000→ 4,917,919 total(indirect: By Subsidiary)
Sale
Common Shares, $1.00 par value
2004-09-30$0.47/sh−150,000$70,755→ 4,917,919 total(indirect: By Subsidiary)
Sale
Series B Convertible Preferred Shares, $1.00 par value
2004-10-06$585.00/sh−100$58,500→ 3,191 total(indirect: By Subsidiary)
Sale
Common Shares, $1.00 par value
2004-09-27$0.48/sh−19,865$9,535→ 4,917,919 total(indirect: By Subsidiary)
Sale
Common Shares, $1.00 par value
2004-09-28$0.48/sh−211,000$101,280→ 4,917,919 total(indirect: By Subsidiary)
Sale
Series B Convertible Preferred Shares, $1.00 par value
2004-09-29$577.06/sh−257$148,304→ 3,191 total(indirect: By Subsidiary)
Sale
Common Shares, $1.00 par value
2004-09-29$0.47/sh−75,000$35,250→ 4,917,919 total(indirect: By Subsidiary)
Sale
Common Shares, $1.00 par value
2004-10-06$0.47/sh−225,000$105,750→ 4,917,919 total(indirect: By Subsidiary)
Conversion
Common Shares, $0.01 par value
2004-12-01+4,546,685→ 4,917,919 total(indirect: By Subsidiary)
Sale
Series B Convertible Preferred Shares, $1.00 par value
2004-09-28$572.00/sh−75$42,900→ 3,191 total(indirect: By Subsidiary)
Sale
Series B Convertible Preferred Shares, $1.00 par value
2004-10-07$585.00/sh−500$292,500→ 3,191 total(indirect: By Subsidiary)
Sale
Common Shares, $1.00 par value
2004-10-08$0.47/sh−50,000$23,750→ 4,917,919 total(indirect: By Subsidiary)
Sale
Series B Convertible Preferred Shares, $1.00 par value
2004-09-28$572.00/sh−243$138,996→ 3,191 total(indirect: By Subsidiary)
Sale
Series B Convertible Preferred Shares, $1.00 par value
2004-10-08$591.50/sh−250$147,875→ 3,191 total(indirect: By Subsidiary)
Conversion
Series B Convertible Preferred Shares, $0.01 par value
2004-12-01−69,949→ 3,191 total(indirect: By Subsidiary)
From: 2004-11-29→ Common Shares, $0.01 par value (4,546,685 underlying)
Other
Series B Convertible Preferred Shares, $0.01 par value
2004-11-29+73,140→ 3,191 total(indirect: By Subsidiary)
From: 2004-11-29→ Common Shares, $0.01 par value (4,754,100 underlying)

Tribeca Global Management LLC

10% Owner

Transactions

Sale
Common Shares, $1.00 par value
2004-09-27$0.48/sh−30,135$14,465→ 4,917,919 total(indirect: By Subsidiary)
Sale
Common Shares, $1.00 par value
2004-09-27$0.48/sh−19,865$9,535→ 4,917,919 total(indirect: By Subsidiary)
Sale
Common Shares, $1.00 par value
2004-10-08$0.47/sh−50,000$23,750→ 4,917,919 total(indirect: By Subsidiary)
Sale
Series B Convertible Preferred Shares, $1.00 par value
2004-10-06$585.00/sh−100$58,500→ 3,191 total(indirect: By Subsidiary)
Sale
Series B Convertible Preferred Shares, $1.00 par value
2004-10-07$585.00/sh−500$292,500→ 3,191 total(indirect: By Subsidiary)
Sale
Common Shares, $1.00 par value
2004-09-29$0.47/sh−75,000$35,250→ 4,917,919 total(indirect: By Subsidiary)
Sale
Common Shares, $1.00 par value
2004-09-27$0.50/sh−100,000$50,000→ 4,917,919 total(indirect: By Subsidiary)
Sale
Common Shares, $1.00 par value
2004-09-30$0.47/sh−150,000$70,755→ 4,917,919 total(indirect: By Subsidiary)
Sale
Common Shares, $1.00 par value
2004-09-28$0.48/sh−211,000$101,280→ 4,917,919 total(indirect: By Subsidiary)
Sale
Common Shares, $1.00 par value
2004-10-06$0.47/sh−225,000$105,750→ 4,917,919 total(indirect: By Subsidiary)
Conversion
Common Shares, $0.01 par value
2004-12-01+4,546,685→ 4,917,919 total(indirect: By Subsidiary)
Sale
Series B Convertible Preferred Shares, $1.00 par value
2004-09-28$572.00/sh−75$42,900→ 3,191 total(indirect: By Subsidiary)
Sale
Series B Convertible Preferred Shares, $1.00 par value
2004-10-08$591.50/sh−250$147,875→ 3,191 total(indirect: By Subsidiary)
Sale
Series B Convertible Preferred Shares, $1.00 par value
2004-09-28$572.00/sh−243$138,996→ 3,191 total(indirect: By Subsidiary)
Sale
Series B Convertible Preferred Shares, $1.00 par value
2004-09-29$577.06/sh−257$148,304→ 3,191 total(indirect: By Subsidiary)
Other
Series B Convertible Preferred Shares, $0.01 par value
2004-11-29+73,140→ 3,191 total(indirect: By Subsidiary)
From: 2004-11-29→ Common Shares, $0.01 par value (4,754,100 underlying)
Conversion
Series B Convertible Preferred Shares, $0.01 par value
2004-12-01−69,949→ 3,191 total(indirect: By Subsidiary)
From: 2004-11-29→ Common Shares, $0.01 par value (4,546,685 underlying)

Footnotes (7)

[F1]The Common Shares ("Common") reported in Table I represent 4,917,919 Common directly beneficially owned by Citigroup Global Markets Inc ("CGM") at the end of Foster Wheeler Ltd.'s ("the Issuer") fiscal year. The sales reported in Table I represent sales effected 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]On November 29, 2004, the Issuer's shareholders approved a series of proposals which included (i) increasing the number of Common authorized for issuance from 160,000,000 to 1,475,908,957 Common, (ii) reducing the par value of the Common and the Series B Convertible Preferred Shares ("Preferred") from $1.00 to $0.01 per share and (iii) a 1-for-20 Common consolidation. As a result of such actions, (a) the 73,140 Preferred held by the Reporting Persons became optionally convertible into 4,754,100 Common, (b) the Preferred ceased to have voting rights, except in limited circumstances as required under Bermuda law and the Company's by-laws and (c) the Class A Warrants and the Class B Warrants became exercisable into Common in accordance with their terms on or after September 24, 2005.
[F5]The Reporting Persons converted 69,949 Preferred on December 1, 2004 at a conversion rate of 1 share of Preferred for 65 Common, resulting in an acquisition of 4,546,685 Common.
[F6]The Preferred reported in Table I and Table II represent (i) 3,187 Preferred directly beneficially owned by Tribeca and (ii) 4 Preferred directly beneficially owned by CGM at the end of the Issuer's fiscal year. The Preferred reported in Table I represent securities held prior to November 29, 2004, the date on which the Preferred became optionally convertible into Common. See Note 4 above.
[F7]There is no expiration date on the right to convert the Preferred into Common.

Documents

1 file

5
rrd62950.xmlPrimary
FOSTER WHEELER FORM 5 09.27-12.01

Issuer

FOSTER WHEELER LTD

CIK 0001130385

→

Entity typeother

Related Parties

filerCIK 0001205828

Filing Metadata

Form type: 5
Filed: Jan 6, 7:00 PM ET
Accepted: Jan 7, 4:58 PM ET
Size: 44.6 KB

View on SEC.gov