FORM G-37. Name of Regulated Entity: Citigroup Global Markets Inc. Report Period: Fourth Quarter of 2017

Transcription

1 FORM G-37 Name of Regulated Entity: Citigroup Global Markets Inc. Report Period: Fourth Quarter of 2017 I. CONTRIBUTIONS made to officials of a municipal entity (list by state) Complete name, title (including any city/county/state or other political subdivision) of municipal entity official Contributions by each contributor category (i.e., for purposes of this form, dealer, dealer controlled PAC, municipal finance professional, municipal finance professional controlled PAC, non-mfp executive officer, municipal advisor, municipal advisor controlled PAC, municipal advisor professional, municipal advisor professional controlled PAC, and non-map executive officer). For each contribution, list contribution amount and contributor category (disclose all applicable categories for each contributor). (For example, $500 contribution by non-mfp executive officer) If any contribution is the subject of an automatic exemption pursuant to Rule G-37(j), list amount of contribution and date of such automatic exemption. II. PAYMENTS made to political parties of states or political subdivisions (list by state) Complete name (including any city/county/state or other political subdivision) of political party Payments by each contributor category

2 FORM G-37 III. CONTRIBUTIONS made to bond ballot campaigns (list by state) A. Contributions Official name of bond ballot campaign and jurisdiction (including city/county/state or other political subdivision) for which municipal securities would be issued and the name of the entity issuing the municipal securities Contributions, including the specific date the contributions were made, by each contributor category B. Reimbursement for Contributions List below any payments or reimbursements, related to any disclosed bond ballot contribution, received by each dealer, municipal finance professional, non-mfp executive officer, municipal advisor, municipal advisor professional, or non-map executive officer from any third party, including the amount paid and the name of the third party making such payments or reimbursements.

3 FORM G-37 IV. MUNICIPAL ENTITIES with which the regulated entity has engaged in municipal securities business or municipal advisory business (list by state) A. Municipal Securities Business See Attachment Complete name of municipal entity and city/county Type of municipal securities business (negotiated underwriting, private placement, financial advisor, or remarketing agent) B. Municipal Advisory Business Complete name of municipal entity and city/county Type of municipal advisory business (advice or solicitation) (and in the case of municipal advisory business engaged in by a municipal advisor third-party solicitor, the name of the third party on behalf of which business was solicited and the nature of the business solicited (municipal securities business, municipal advisory business or investment advisory services)) C. Ballot-Approved Offerings Full name of the municipal entity and full issue description of any primary offering resulting from the bond ballot campaign to which each contributor category has made a contribution and the reportable date of selection on which the regulated entity was selected to engage in the municipal securities business or municipal advisory business. Full Name of Municipal Entity Full Issue Description Reportable Date of Selection

4 FORM G-37 Signature: electronic Date: Feb 1, 2018 Name (must be officer of regulated entity): AARON MINER Address: 390 Greenwich Street, New York, NY Phone: Submit to the Municipal Securities Rulemaking Board a completed form quarterly by due date (specified by the MSRB)

5 G-37 Municipal Offerings by From 10/01/17 To: 12/31/17 Total: 134 Page 1 of 4 Issuer Name Role AK Municipality Of Anchorage Negotiated Underwriting AZ Arizona Board Of Regents Negotiated Underwriting AZ City Of Phoenix Civic Improvement Corporation Negotiated Underwriting AZ Pima County Regional Transportation Authority Negotiated Underwriting AZ Salt River Project Agricultural Improvement And Power District Negotiated Underwriting CA Airport Commission Of The City And County Of San Francisco Negotiated Underwriting CA California Department Of Water Resources Negotiated Underwriting CA California Municipal Finance Authority Negotiated Underwriting CA California Public Finance Authority Negotiated Underwriting CA Carlsbad Unified School District Negotiated Underwriting CA Imperial Irrigation District Negotiated Underwriting CA Los Angeles Community College District Negotiated Underwriting CA Palomar Health Negotiated Underwriting CA Sacramento Municipal Utility District Negotiated Underwriting CA San Diego County Regional Transportation Commission Negotiated Underwriting CA San Diego Unified School District Negotiated Underwriting CA Southwestern Community College District Negotiated Underwriting CA Of California Remarketing Agent CA Successor Agency To The Redevelopment Agency For County Of Riverside Negotiated Underwriting CO Adams County Housing Authority Negotiated Underwriting CO Regents Of University Of Colorado Negotiated Underwriting CO Sterling Ranch Community Authority Board Negotiated Underwriting CT Connecticut Housing Finance Authority Negotiated Underwriting CT Harbor Point Infrastructure Improvement District Negotiated Underwriting DC District Of Columbia (Washington, D.C.) Negotiated Underwriting DE Of Delaware Negotiated Underwriting FL Broward County School Board Negotiated Underwriting FL Central Florida Expressway Authority Negotiated Underwriting FL City Of Cape Coral Negotiated Underwriting FL City Of Gainesville Negotiated Underwriting FL City Of Miami Beach-Fl Negotiated Underwriting FL County Of Broward-Fl Negotiated Underwriting FL East Central Regional Wastewater Treatment Facilities Operation Board Negotiated Underwriting FL Florida Housing Finance Corporation Negotiated Underwriting

6 G-37 Municipal Offerings by From 10/01/17 To: 12/31/17 Total: 134 Page 2 of 4 Issuer Name Role FL Jea (Formerly Known As Jacksonville Electric Authority) Negotiated Underwriting FL Jea (Water System) Negotiated Underwriting FL Manatee County Negotiated Underwriting FL Miami Dade County Negotiated Underwriting FL North Broward Hospital District Negotiated Underwriting FL School Board Of Hillsborough County, Florida Negotiated Underwriting FL School Board Of Palm Beach County Negotiated Underwriting FL Tampa Hillsborough County Expressway Authority Negotiated Underwriting FL Town Of Palm Beach Negotiated Underwriting FL West Villages Improvement District Negotiated Underwriting GA Atlanta And Fulton County Recreation Authority Negotiated Underwriting GA City Of Dalton, Georgia Negotiated Underwriting GA County Of Forsyth Negotiated Underwriting GA Development Authority Of Cobb County Negotiated Underwriting GA Georgia Housing & Finance Authority Negotiated Underwriting HI Hawaii Housing Finance And Development Corporation Negotiated Underwriting IA Iowa Finance Authority Negotiated Underwriting IL Illinois Housing Development Authority Negotiated Underwriting IL Illinois Toll Highway Authority Negotiated Underwriting IL Metropolitan Pier And Exposition Authority Negotiated Underwriting IL Of Illinois Negotiated Underwriting IN Indiana Municipal Power Agency Negotiated Underwriting KS City Of Wichita Negotiated Underwriting KY Kentucky Economic Development Finance Authority Negotiated Underwriting LA Louisiana Local Government Environmental Facility And Community Authority Negotiated Underwriting MA Commonwealth Of Massachusetts Negotiated Underwriting MA Massachusetts Housing Finance Agency Negotiated Underwriting MD Maryland Health And Higher Educational Facilities Authority Negotiated Underwriting ME Maine Housing Authority Negotiated Underwriting MI Michigan Housing Development Authority Negotiated Underwriting MO Metropolitan St Louis Sewer District Negotiated Underwriting NC Board Of Governors Of The University Of North Carolina Negotiated Underwriting NE Omaha Public Power District Negotiated Underwriting NH New Hampshire Health & Education Facilities Authority Negotiated Underwriting NJ South Jersey Port Corporation Negotiated Underwriting

7 G-37 Municipal Offerings by From 10/01/17 To: 12/31/17 Total: 134 Page 3 of 4 Issuer Name Role NV Clark County School District Negotiated Underwriting NY County Of Nassau-Ny Negotiated Underwriting NY Dormitory Authority Of The Of New York Negotiated Underwriting NY Long Island Power Authority Negotiated Underwriting NY Metropolitan Transportation Authority Negotiated Underwriting NY New York City Housing Development Corporation Negotiated Underwriting NY New York City Municipal Water Finance Authority Negotiated Underwriting NY New York City Transitional Finance Authority Negotiated Underwriting NY New York Environmental Facilities Corporation Negotiated Underwriting NY New York Housing Finance Agency Negotiated Underwriting NY Of New York Mortgage Agency Negotiated Underwriting NY Suffolk County Negotiated Underwriting NY The City Of New York Negotiated Underwriting NY Triborough Bridge And Tunnel Authority Negotiated Underwriting NY Utility Debt Securitization Authority Negotiated Underwriting OH American Municipal Power Inc Negotiated Underwriting OH City Of Cleveland Negotiated Underwriting OR Port Of Portland Negotiated Underwriting OR Of Oregon Negotiated Underwriting PA Berks County Industrial Development Authority Negotiated Underwriting PA Delaware County Regional Water Quality Control Authority Negotiated Underwriting PA Luzerne County Negotiated Underwriting PA Luzerne County Industrial Development Authority Negotiated Underwriting PA Southeastern Pennsylvania Transportation Authority Negotiated Underwriting SC Lexington County Health Services District Negotiated Underwriting SD South Dakota Housing Development Authority Negotiated Underwriting TN Tennessee Housing Development Agency Negotiated Underwriting TX Austin Affordable Pfc Inc Negotiated Underwriting TX Bexar County Negotiated Underwriting TX Board Of Regents Of The University Of Texas System Negotiated Underwriting TX City Of Austin Negotiated Underwriting TX City Of El Paso Negotiated Underwriting TX City Of Houston Negotiated Underwriting TX City Of Laredo Negotiated Underwriting TX City Of Round Rock Negotiated Underwriting

8 G-37 Municipal Offerings by From 10/01/17 To: 12/31/17 Total: 134 Page 4 of 4 Issuer Name Role TX City Of Sugar Land Negotiated Underwriting TX City Of Temple-Tx Negotiated Underwriting TX College Station Independent School District Negotiated Underwriting TX Conroe Independent School District Negotiated Underwriting TX County Of Harris-Tx Negotiated Underwriting TX El Paso County, Texas Negotiated Underwriting TX El Paso Independent School District Negotiated Underwriting TX Georgetown Independent School District Negotiated Underwriting TX Harris County Flood Control District Negotiated Underwriting TX Irving Hospital Authority Negotiated Underwriting TX Lancaster Independent School District Negotiated Underwriting TX North Texas Tollway Authority Negotiated Underwriting UK Guam Power Authority Negotiated Underwriting UK Guam Waterworks Authority Negotiated Underwriting UT Utah Associated Municipal Power Systems Negotiated Underwriting VA Colonial Heights Economic Development Authority Negotiated Underwriting VA Commonwealth Transportation Board, Commonwealth Of Virginia Negotiated Underwriting VA Hampton Roads Sanitation District Negotiated Underwriting VA Virginia College Building Authority Negotiated Underwriting VA Virginia Resources Authority Negotiated Underwriting VA Virginia Small Business Financing Authority Negotiated Underwriting WA King County, Washington Negotiated Underwriting WA Public Utility District No. 2 Of Grant County, Washington Negotiated Underwriting WA Washington Health Care Facilities Authority Negotiated Underwriting WA Washington Housing Finance Commission Negotiated Underwriting WA Washington Housing Finance Commission Remarketing Agent WI Public Finance Authority Negotiated Underwriting WI Of Wisconsin Negotiated Underwriting WV West Virginia Commissioner Of Highways Negotiated Underwriting WV West Virginia Higher Education Policy Commission Negotiated Underwriting