UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 11-K
ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
For the fiscal year ended December 31, 2020
Commission File No. 1-9924
__________________________________
A.Full title of the plan and the address of the plan, if different from that of the issuer named below:
CITI RETIREMENT SAVINGS PLAN FOR PUERTO RICO
Plans Administration Committee
388 Greenwich Street, 15th Floor
New York, NY 10013
B.Name of issuer of the securities held pursuant to the plan and the address of its principal executive office:
Citigroup Inc.
388 Greenwich Street
New York, NY 10013
CITI RETIREMENT SAVINGS PLAN FOR PUERTO RICO
Financial Statements and Supplemental Schedule
December 31, 2020 and 2019
(With Report of Independent Registered Public Accounting Firm Thereon)
CITI RETIREMENT SAVINGS PLAN FOR PUERTO RICO
Financial Statements and Supplemental Schedule
December 31, 2020 and 2019
Table of Contents
Page | |||||
Report of Independent Registered Public Accounting Firm | |||||
Financial Statements: | |||||
Statements of Net Assets Available for Benefits as of December 31, 2020 and 2019 | |||||
Statements of Changes in Net Assets Available for Benefits for the years ended December 31, 2020 and 2019 | |||||
Notes to Financial Statements | |||||
Supplemental Schedule:* | |||||
Schedule H, Line 4i – Schedule of Assets (Held at End of Year) as of December 31, 2020 | |||||
Signatures | |||||
Exhibit Index | |||||
* Other schedules required by Form 5500 which are not applicable have been omitted
Report of Independent Registered Public Accounting Firm
To the Plan Participants and Plan Administrator
Citi Retirement Savings Plan for Puerto Rico:
Citi Retirement Savings Plan for Puerto Rico:
Opinion on the Financial Statements
We have audited the accompanying statements of net assets available for benefits of the Citi Retirement Savings Plan for Puerto Rico (the Plan) as of December 31, 2020 and 2019, the related statements of changes in net assets available for benefits for the years then ended, and the related notes (collectively, the financial statements). In our opinion, the financial statements present fairly, in all material respects, the net assets available for benefits of the Plan as of December 31, 2020 and 2019, and the changes in net assets available for benefits for the years then ended, in conformity with U.S. generally accepted accounting principles.
Basis for Opinion
These financial statements are the responsibility of the Plan’s management. Our responsibility is to express an opinion on these financial statements based on our audits. We are a public accounting firm registered with the Public Company Accounting Oversight Board (United States) (PCAOB) and are required to be independent with respect to the Plan in accordance with the U.S. federal securities laws and the applicable rules and regulations of the Securities and Exchange Commission and the PCAOB.
We conducted our audits in accordance with the standards of the PCAOB. Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement, whether due to error or fraud. Our audits included performing procedures to assess the risks of material misstatement of the financial statements, whether due to error or fraud, and performing procedures that respond to those risks. Such procedures included examining, on a test basis, evidence regarding the amounts and disclosures in the financial statements. Our audits also included evaluating the accounting principles used and significant estimates made by management, as well as evaluating the overall presentation of the financial statements. We believe that our audits provide a reasonable basis for our opinion.
1
Accompanying Supplemental Information
The Schedule H, Line 4i - Schedule of Assets (Held at End of Year) as of December 31, 2020, has been subjected to audit procedures performed in conjunction with the audit of the Plan’s financial statements. The supplemental information is the responsibility of the Plan’s management. Our audit procedures included determining whether the supplemental information reconciles to the financial statements or the underlying accounting and other records, as applicable, and performing procedures to test the completeness and accuracy of the information presented in the supplemental information. In forming our opinion on the supplemental information, we evaluated whether the supplemental information, including its form and content, is presented in conformity with the Department of Labor's Rules and Regulations for Reporting and Disclosure under the Employee Retirement Income Security Act of 1974. In our opinion, the supplemental information, is fairly stated, in all material respects, in relation to the financial statements as a whole.
/s/ KPMG LLP
We have served as the Plan's auditor since 2001.
New York, New York
June 11, 2021
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CITI RETIREMENT SAVINGS PLAN FOR PUERTO RICO
Statements of Net Assets Available for Benefits
December 31, 2020 and 2019
2020 | 2019 | ||||||||||
Assets: | |||||||||||
Investments, at fair value | $ | 44,300,987 | $ | 38,902,046 | |||||||
Investments in fully benefit-responsive investment contracts, at contract value | 1,744,512 | 1,776,380 | |||||||||
Total investments | 46,045,499 | 40,678,426 | |||||||||
Receivables: | |||||||||||
Employer contributions | 1,175,217 | 1,154,599 | |||||||||
Interest and dividends | 10,688 | 14,105 | |||||||||
Receivable for securities sold | 2,829 | 12,591 | |||||||||
Participant contributions | — | 36 | |||||||||
Participant loans | 1,200,179 | 1,262,593 | |||||||||
Total receivables | 2,388,913 | 2,443,924 | |||||||||
Total assets | 48,434,412 | 43,122,350 | |||||||||
Liabilities: | |||||||||||
Payable for securities purchased | 4,010 | 6,499 | |||||||||
Other investment liabilities | 8,476 | 7,493 | |||||||||
Payable for trustee, administrative fees and other | 9,361 | 16,669 | |||||||||
Total liabilities | 21,847 | 30,661 | |||||||||
Net assets available for benefits | $ | 48,412,565 | $ | 43,091,689 | |||||||
See accompanying notes to financial statements. |
3
CITI RETIREMENT SAVINGS PLAN FOR PUERTO RICO
Statements of Changes in Net Assets Available for Benefits
Years Ended December 31, 2020 and 2019
2020 | 2019 | ||||||||||
Additions to net assets attributable to: | |||||||||||
Investment income: | |||||||||||
Dividends | $ | 125,624 | $ | 140,271 | |||||||
Interest | 76,274 | 82,304 | |||||||||
Net appreciation in fair value of investments | 5,012,427 | 7,433,075 | |||||||||
Net investment income | 5,214,325 | 7,655,650 | |||||||||
Interest income on loans receivable from participants | 67,869 | 62,826 | |||||||||
Contributions: | |||||||||||
Employer | 1,175,216 | 1,154,599 | |||||||||
Participants | 1,452,428 | 1,245,538 | |||||||||
Total contributions | 2,627,644 | 2,400,137 | |||||||||
Total additions to net assets | 7,909,838 | 10,118,613 | |||||||||
Deductions from net assets attributable to: | |||||||||||
Distributions to participants | 2,506,411 | 2,041,972 | |||||||||
Trustee and administrative expenses | 40,370 | 38,809 | |||||||||
Dividends paid directly to participants | 42,181 | 36,293 | |||||||||
Total deductions from net assets | 2,588,962 | 2,117,074 | |||||||||
Net increase | 5,320,876 | 8,001,539 | |||||||||
Net assets available for benefits at: | |||||||||||
Beginning of year | 43,091,689 | 35,090,150 | |||||||||
End of year | $ | 48,412,565 | $ | 43,091,689 | |||||||
See accompanying notes to financial statements. |
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CITI RETIREMENT SAVINGS PLAN FOR PUERTO RICO
Notes to Financial Statements
December 31, 2020 and 2019
(1)Description of the Plan
The following brief description of the Citi Retirement Savings Plan for Puerto Rico (the Plan) is provided for general information purposes only. Participants should refer to the Plan's Summary Plan Description and legal plan document for a more complete description of the Plan.
(a) General
The Plan was established in 2001 and is a defined contribution plan designed to encourage savings on the part of eligible employees. The Plan covers eligible employees of Citibank, N.A., a subsidiary of Citigroup Inc., (the Company) and its affiliates who primarily reside and work in Puerto Rico. Citibank, N.A. is the Plan Sponsor. The Plan is subject to the provisions of the Employee Retirement Income Security Act of 1974, as amended (ERISA), and the Puerto Rico Internal Revenue Code of 2011, as amended (PRIRC). The Plan is designed to comply with Section 404(c) of ERISA and the related regulations.
Banco Popular de Puerto Rico (Banco Popular) is the trustee of the Plan. Bank of New York Mellon is the custodian of the Plan. The Plan is administered by Alight Solutions Inc., a third‑party administrator.
(b) Eligibility
Eligible employees generally include employees performing services for the Company and employees of participating subsidiaries, who are considered bona fide residents of Puerto Rico or who perform services primarily in Puerto Rico, as defined in the Plan document.
During 2020 and at December 31, 2019, full‑time employees or part‑time employees scheduled to work 20 or more hours a week were eligible to participate on the first day of the first pay period after the participant became an employee of the Company. Part‑time employees scheduled to work fewer than 20 hours a week were eligible to participate in the Plan on January 1 or July 1 after the employee was credited with at least 1,000 hours of service during the first 12 months with the Company or at least 1,000 hours of service in any calendar year beginning after the employee’s date of hire.
On and after January 1, 2021, full-time and part-time employees are eligible to participate on the first day of the first pay period after the participant becomes an employee of the Company.
(c) Employee Contributions
Eligible employees may defer on a before-tax basis a portion of their eligible pay, which generally includes overtime, commissions, shift differential pay, and periodic incentive bonuses, as a before‑tax contribution deferral in any 1% increment, by an amount up to 50% of their eligible compensation in a whole percentage up to the maximum permitted by the PRIRC.
Newly hired and rehired eligible employees are automatically enrolled in the Plan at a 6% before-tax contribution rate unless they otherwise enroll themselves or opt out of the Plan. Participants who are automatically enrolled in the Plan, but do not make an investment election, are invested in the Plan’s default investment, which is the Plan’s “target retirement date” fund consistent with the participant’s projected year of retirement. Further, unless the participant elects a different rate, for employees who are automatically enrolled, their contribution rate is automatically increased by 1% annually until
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CITI RETIREMENT SAVINGS PLAN FOR PUERTO RICO
Notes to Financial Statements
December 31, 2020 and 2019
they reach a before-tax contribution rate of 15% or reach the maximum statutory dollar contribution limit.
Catch‑up contributions are permitted in accordance with Section 1081.01(d)(7) of the PRIRC. Participants who are over age 50 by the end of the Plan year can contribute up to 49% of their eligible pay up to applicable statutory limit. There is no automatic enrollment for catch‑up contributions.
(d) Employer Contributions
During 2020 and 2019, employer contributions consisted of three components: the Company matching contribution, fixed contribution, and transition contribution.
The Company matching contribution was equal to 100% of the participant’s before-tax contributions up to 6% of the participant’s eligible compensation (up to the annual compensation maximum set by the PRIRC) for eligible employees at all compensation levels. Company matching contributions did not exceed the lesser of the participant’s contribution or 6% of the participant’s eligible compensation up to the statutory limit. Catch‑up contributions are not subject to matching contributions. Participants must contribute to the Plan to receive Company matching contributions.
A fixed contribution of up to 2% of eligible pay is credited to the Plan accounts of eligible employees whose qualifying annual compensation, as defined in the Plan is $100,000 or less.
An annual transition contribution is credited to the Plan accounts of certain employees who were eligible to receive benefits under the Plan, the Citigroup Pension Plan, and the Citigroup Ownership Program in 2007, prior to the Plans’ redesign. If an employee’s total benefit opportunity under the three programs was greater than his or her benefit opportunity under the Plan, an additional transition contribution is credited. Participants receiving this transition contribution generally have long service and must be continuously employed by the Company since December 31, 2006.
At December 31, 2020 and 2019, the employer contribution receivable was $1.20 million, respectively. Company contributions relating to 2020 and 2019 were received and credited to participant accounts during the first quarter of 2021 and 2020, respectively.
(e) Participant Accounts
The Plan maintains a separate account for each participant, to which contributions, expenses, investment gains and losses are allocated.
Participants may elect to invest their account balance, among the investment fund options offered under the Plan in whole increments of 1%.
A participant may elect to suspend or resume his or her contributions, subject to the Plan’s notice requirements. In addition, a participant may change the rate of his or her contributions, subject to the Plan’s notice requirements, and may elect to change the allocation of future contributions among the funds daily. A participant may also elect to transfer the value of his or her contributions in whole increments of 1% to other Plan investment funds, subject to certain restrictions.
Changes requested by participants are implemented as soon as administratively practicable, in accordance with the Plan document.
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CITI RETIREMENT SAVINGS PLAN FOR PUERTO RICO
Notes to Financial Statements
December 31, 2020 and 2019
(f) Rollover and Transfer Contributions
The Plan permits participants to have their interests in other Puerto Rico qualified plans rolled over to the Plan. However, rollovers from an Individual Retirement Account (IRA) are not permitted under Puerto Rico law. Transfers or rollovers to the Plan may only be made with the approval of the Plan’s management and do not affect any other contributions made by or on behalf of a participant.
Of the participant contributions reported in 2020 and 2019, there is $24,397 and $0 related to rollover contributions into the Plan, respectively.
(g) Investment Options
Plan assets are held in a trust fund and are invested in the investment options offered under the Plan at the direction of Plan participants, in accordance with the Plan document.
Subject to certain restrictions for the BlackRock Cash Funds: Treasury and the BNY Mellon Stable Value Fund, Plan participants may move a portion or all of their account balances among the Plan’s investment options through a fund transfer, reallocation or rebalance, generally not more frequently than once every seven calendar days.
Restrictions are subject to change at any time depending on generally applicable Plan rules or the requirements of the funds.
To the extent required by the compliance procedures of a mutual fund to ensure the fund’s adherence to the market timing rules mandated by the Securities and Exchange Commission and upon request by a mutual fund, the Plan may provide reports to the fund detailing Plan participants’ trading activity in that particular fund. The Company also may restrict the ability of certain Plan participants to invest in or divest from the Citigroup Common Stock Fund.
In general, no investment-related transaction costs are associated with the Plan, though the funds have the right to impose redemption fees, should they decide to do so.
The Plan does not directly participate in securities lending programs; however, there are investment funds that engage in securities lending which are available to Plan participants. The investment manager for an investment option determines the terms of, and the extent to which, securities lending is used.
Engaging in securities lending is intended to benefit Plan participants investing in such investment offering.
Effective November 15, 2019, the Brandywine Global Bond Fund was eliminated as an investment option and the assets were mapped to the Plan’s Qualified Default Investment Alternative (QDIA), the BFA LifePath Funds based on the participant’s age.
Effective November 15, 2019, the BFA LifePath 2020 Fund was eliminated as an investment option, and the assets were mapped to the BFA LifePath Retirement Fund.
Effective November 15, 2019, BFA LifePath 2060 Fund was added as an investment option.
Effective November 15, 2019, the BlackRock Global ESG Index was added as an investment option.
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CITI RETIREMENT SAVINGS PLAN FOR PUERTO RICO
Notes to Financial Statements
December 31, 2020 and 2019
Effective November 15, 2019, the Core Plus Bond Fund was added as an investment option. The Core Plus Bond Fund has 70% of the assets allocated to the Fidelity Advisors Total Bond Fund Class Z (Ticker: FBKWX) and 30% of its assets allocated to the PIMCO Income Fund Class I (Ticker: PIMIX).
Effective September 30, 2020, the Dodge & Cox International Stock Fund was removed as a component of the Non-US Large Cap Fund and replaced with MFS International Equity.
Effective March 22, 2021, Vulcan Value Partners and Los Angeles Capital Management were removed as managers for the Small Cap US Equity Fund and replaced by Principal Global Investors.
(h) Vesting
The rights of a participant to his or her own contributions and any earnings thereon are at all times fully vested and non-forfeitable.
Company fixed and transition contributions, as described in note 1(d), vest according to the following schedule:
•Upon completion of three years of service, any fixed and/or transition contributions made on a participant’s behalf will be immediately vested;
• If a participant reaches age 55, dies or becomes disabled while in service;
• In the case of a full or partial termination of the Plan or complete discontinuance of contributions under the Plan.
Once a participant is vested in his or her Company contributions, those contributions are available for distribution or rollover once he or she leaves the Company or is otherwise eligible to take a distribution, as more fully described in notes 1(k) and (l).
(i) Forfeited Accounts
Forfeitures may be used to offset expenses of the Plan. During 2020 and 2019, $1,936 and $2,872, respectively, of forfeitures were used to offset Plan expenses. As of December 31, 2020 and 2019, unallocated forfeitures were $323 and $1,467, respectively.
(j) Loans Receivable from Participants
Subject to the Plan’s provisions and the requirements contained within ERISA and PRIRC, participants may apply for up to two loans from the Plan at a fixed annual interest rate equal to the prime rate, as published in The Wall Street Journal for the fifteenth business day of the month in which the loan application is initiated, plus 1%. Loans may be made for a minimum amount of $1,000, the maximum of which would be the lesser of 50% of the participant’s vested account balance or $50,000, less the highest outstanding loan balance in the previous twelve months. Loans receivable from participants as of December 31, 2020 and 2019, bore interest rates from 4.25% to 6.50%. Loan terms range from 1 to 5 years for general purpose loans or up to 20 years for the purchase of a primary residence.
Loans receivable from participants are valued at unpaid principal plus any accrued but unpaid interest.
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CITI RETIREMENT SAVINGS PLAN FOR PUERTO RICO
Notes to Financial Statements
December 31, 2020 and 2019
Each loan is secured through the vested balance in the participant’s Plan account. If a participant defaults on his or her loan by failing to make timely repayments, the outstanding principal and interest due on the loan is treated as a deemed distribution and reported as a taxable distribution to the participant as soon as administratively practicable in the year of default. If the participant has an outstanding loan and takes a distribution of his or her Plan benefit, the outstanding principal and interest due on the loan is deducted from the account balance before an amount is distributed to the participant.
A participant applying for a loan through the Plan will be charged a $50 loan application fee. The loan application fee is nonrefundable and will be used to offset the administrative expenses associated with the loan. The fee will be deducted from the participant’s Plan account at the time his or her loan request is processed.
(k) Withdrawals
Prior to termination of employment, a participant may withdraw, subject to the Plan’s notice requirements, all or a portion of the vested value of his or her participant account if the participant has attained age 59½ or becomes totally and permanently disabled, or a certain portion of the value of his or her participant account in the event of demonstrated financial hardship, subject to the Plan’s provisions. Withdrawals to which a participant is entitled are the amounts that can be provided by the contributions and income thereon (including net realized and unrealized investment gains and losses) allocated to each participant’s account, less allocated expenses. Withdrawals from the Citigroup Common Stock Fund may be paid in either shares of common stock or cash at the discretion of the participant, with the exception of a hardship withdrawal, which must be paid in cash. Fractional shares and withdrawals from other funds are paid in cash.
(l) Distributions
A participant, after leaving the Company, can have the total of his or her vested account distributed in accordance with the provisions of the Plan.
If the value of a participant’s account equals or exceeds $5,000, the participant may elect to defer the commencement of his or her distribution until his or her normal retirement age, age 65, or may request a distribution at any time in the form of a lump‑sum payment or installments. The value of this distribution will be based on the value of the participant’s vested account at the valuation date that coincides with the distribution, to the extent administratively practicable. If the value of a participant’s account is less than $5,000, the Plan will distribute the participant’s account upon termination of employment.
Distributions to which a participant is entitled are the vested amounts that can be provided by the contributions and income thereon (including net realized and unrealized investment gains and losses) allocated to each participant’s account, less allocated expenses. Fractional shares and distributions from other funds are paid in cash.
(2) Summary of Significant Accounting Policies
(a) Basis of Accounting
The accompanying financial statements have been prepared under the accrual basis of accounting and displayed in US dollars.
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CITI RETIREMENT SAVINGS PLAN FOR PUERTO RICO
Notes to Financial Statements
December 31, 2020 and 2019
(b) Use of Estimates
The preparation of the financial statements in conformity with U.S. generally accepted accounting principles (GAAP) requires the Plan’s management to make estimates and assumptions that affect the reported amounts of assets and liabilities, changes therein, and disclosure of contingent assets and liabilities at the date the financial statements are prepared. Actual results could differ from those estimates and assumptions. Significant estimates inherent in the preparation of the financial statements include the fair value of investments.
(c) Investment Valuation and Income Recognition
Investments held by the Plan are generally stated at fair value with the exception of fully benefit-responsive investment contracts, which according to GAAP are stated at contract value.
Cash equivalents and short-term investments are valued at cost, which approximates fair value.
Equity investments traded on national securities exchanges are valued at their closing market prices. When no trades are reported, they are valued at the most recent bid quotation; securities traded in the over‑the‑counter market are valued at their last sale or bid price. This includes U.S. and non‑U.S. equities in separately managed accounts.
The shares of common stock held by the Citigroup Common Stock Fund are valued at the last reported sale price on the New York Stock Exchange on the last business day of the year.
Mutual funds are valued at the net asset value (NAV) reported in the active market where the fund is traded on a daily basis. Exchange-traded funds are valued at last sale price.
Collective trust funds are determined to have readily determinable fair values and valued based on NAV. Participant‑directed redemptions from these collective trust funds generally can be made daily, subject to a Plan imposed 7‑day minimum holding period on investments (other than BNY Mellon Stable Value Fund related investments which have a longer holding period).
Purchases and sales of investments are recorded on a trade-date basis. Securities purchased or sold near year-end may result in payments on these securities not being made or received until after the Plan’s year-end. The amounts of such payments are recorded as payables or receivables as of year-end in the statements of net assets available for benefits. Interest income is recorded as earned on the accrual basis. Dividend income is recorded on the ex-dividend date.
Pending foreign exchange purchases are marked to market based upon year-end forward exchange rates.
(d) Fair Value of Other Assets and Liabilities
The carrying value of other assets and liabilities approximates fair value because of the short-term nature of these items.
(e) Payment of Benefits
Benefits are recorded when paid.
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CITI RETIREMENT SAVINGS PLAN FOR PUERTO RICO
Notes to Financial Statements
December 31, 2020 and 2019
(3) Guaranteed Investment Contracts (GIC)
The Plan’s BNY Mellon Stable Value Fund (Fund) is a custom investment vehicle that invests in fully benefit‑responsive investment contracts, which are synthetic GICs issued by insurance companies.
The Plan’s GICs consist of the underlying investments, which are fixed-income securities owned directly by the Plan and “wrapper” contracts purchased from the insurance companies. The wrapper contracts guarantee full payment of principal and interest and provide an interest crediting rate of not less than zero. The wrapper contracts amortize the realized and unrealized gains and losses on the underlying fixed income investments over the duration of the investments, through adjustments to the future interest crediting rate. These investments are credited with earnings on the underlying investments and charged for participant withdrawals and administrative expenses. Participants may ordinarily direct the withdrawal or transfer of all or a portion of their investment at contract value.
There are no reserves against contract value for credit risk of the contract issuers or otherwise.
An investment contract is considered fully benefit‑responsive if all of the following criteria are met:
• The investment contract is between the Fund and the issuer and the contract cannot be sold or assigned.
• The contract issuer must be obligated to repay principal and interest to participants in the Fund or provide prospective crediting rate adjustments that cannot result in an interest crediting rate less than zero.
• All permitted participant‑initiated transactions occur at contract value, without limitations.
• An event that limits the ability of the participant to transact at contract value is not probable.
• The Fund must allow participants reasonable access to their funds.
The Plan’s management has concluded that the GICs are fully benefit‑responsive investment contracts and has reported such contracts at contract value as shown in the table below:
2020 | 2019 | |||||||||||||
Synthetic GICs | $ | 1,744,512 | $ | 1,776,380 | ||||||||||
In addition, the Fund owns units of the Bank of New York Mellon Short‑Term Investment Fund, which serves as the Fund’s short‑term liquidity vehicle, included in the fair value hierarchy table in cash equivalents and short-term investments.
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CITI RETIREMENT SAVINGS PLAN FOR PUERTO RICO
Notes to Financial Statements
December 31, 2020 and 2019
(4) Fair Value Measurements
FASB Accounting Standards Codification (ASC) 820, Fair Value Measurement, provides a framework for measuring fair value, which provides a fair value hierarchy that prioritizes the inputs to valuation techniques used to measure fair value. The hierarchy gives the highest priority to unadjusted quoted prices in active markets for identical assets or liabilities (Level 1 measurements) and the lowest priority to unobservable inputs (Level 3 measurements). The three levels of the fair value hierarchy are described below:
• Level 1 – Quoted prices for identical instruments in active markets.
• Level 2 – Quoted prices for similar instruments in active markets; quoted prices for identical or similar instruments in markets that are not active; and model‑derived valuations in which all significant inputs and significant value drivers are observable in active markets.
• Level 3 – Valuations derived from valuation techniques in which one or more significant inputs or significant value drivers are unobservable.
This hierarchy requires the Plan’s management to use observable market data, when available, and to minimize the use of unobservable inputs when determining fair value. As required by ASC 820, assets are classified in their entirety based on the lowest level of input that is significant to the fair value measurement.
The methods described above may produce a fair value measurement that may not be indicative of net realizable value or reflective of future fair values. Furthermore, while the Plan believes its valuation methods are appropriate and consistent with other market participants, the use of different methodologies or assumptions to determine the fair value of certain financial instruments could result in a different fair value measurement at the reporting date.
The table below categorizes the Plan’s investments by level within the fair value hierarchy as of December 31, 2020.
December 31, 2020 | |||||||||||||||||||||||
Level 1 | Level 2 | Total | |||||||||||||||||||||
Investments, at fair value: | |||||||||||||||||||||||
Cash equivalents and short-term investments | $ | 385 | $ | 108,685 | $ | 109,070 | |||||||||||||||||
Collective trust funds | — | 37,536,934 | 37,536,934 | ||||||||||||||||||||
U.S. equities | 2,010,199 | — | 2,010,199 | ||||||||||||||||||||
Non-U.S. equities | 1,730,105 | — | 1,730,105 | ||||||||||||||||||||
Mutual funds and other registered investment companies | 2,914,679 | — | 2,914,679 | ||||||||||||||||||||
Investments, at fair value | $ | 6,655,368 | $ | 37,645,619 | $ | 44,300,987 | |||||||||||||||||
Other investment liabilities | $ | (773) | $ | (7,703) | $ | (8,476) |
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CITI RETIREMENT SAVINGS PLAN FOR PUERTO RICO
Notes to Financial Statements
December 31, 2020 and 2019
The table below categorizes the Plan’s investments by level within the fair value hierarchy as of December 31, 2019.
December 31, 2019 | |||||||||||||||||||||||
Level 1 | Level 2 | Total | |||||||||||||||||||||
Investments, at fair value: | |||||||||||||||||||||||
Cash equivalents and short-term investments | $ | — | $ | 99,949 | $ | 99,949 | |||||||||||||||||
Collective trust funds | — | 32,118,060 | 32,118,060 | ||||||||||||||||||||
U.S. equities | 2,040,733 | — | 2,040,733 | ||||||||||||||||||||
Non-U.S. equities | 1,375,181 | — | 1,375,181 | ||||||||||||||||||||
Mutual funds and other registered investment companies | 3,268,123 | — | 3,268,123 | ||||||||||||||||||||
Investments, at fair value | $ | 6,684,037 | $ | 32,218,009 | $ | 38,902,046 | |||||||||||||||||
Other investment liabilities | $ | (2,177) | $ | (5,316) | $ | (7,493) |
There were no transfers or reclassifications of investments between levels within the fair value hierarchy during the years ended December 31, 2020 and 2019, and there were no changes in valuation methodologies used to measure the fair value of the Plan’s investments as of and for the years ended December 31, 2020 and 2019.
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CITI RETIREMENT SAVINGS PLAN FOR PUERTO RICO
Notes to Financial Statements
December 31, 2020 and 2019
(5) Administrative Expenses
Plan provisions allow for administrative expenses, including, but not limited to, audit fees, custodial and trustee fees, investment manager fees, and recordkeeping fees to be paid by the Plan and allocated to participant accounts. Expenses related to monthly investment service fees and loan fees are charged to participants’ investment balances and are reflected in the value of their participant accounts. These expenses are reported in trustee and administrative expenses in the statements of net assets available for benefits, or if paid by the investment funds, are included in net appreciation in fair value of investments.
Any expenses not borne by the Plan are paid by the Company.
(6) Risks and Uncertainties
The Plan invests in a variety of investment securities. Investment securities, in general, are exposed to various risks, such as interest rate, credit, foreign exchange and overall market volatility risk. Due to the level of risk associated with certain investment securities, it is reasonable to expect that changes in the values of investment securities will occur in the near term and that such changes could materially affect participant account balances and the net assets available for plan benefits.
The Plan’s exposure to a concentration of credit risk is limited by the diversification of investments across participant‑directed fund elections and one election that is closed to new contributions. Additionally, the investments within each investment fund option are further diversified into varied financial instruments, with the exception of the Citigroup Common Stock Fund, which primarily invests in the securities of a single issuer. At December 31, 2020 and 2019, approximately 3% and 4% of the Plan’s total investments were invested in Citigroup common stock, respectively.
Plan investments include a variety of investments that may directly or indirectly invest in securities with contractual cash flows. The value, liquidity, and related income of these securities are sensitive to changes in economic conditions and may be adversely affected by shifts in the market’s perception of the issuers and changes in interest rates.
(7) Party‑in‑Interest Transactions
Certain Plan investments are units of the Citigroup Common Stock Fund, which consists of common stock issued by the Company. The Plan’s investment in the Citigroup Common Stock Fund was $1.3 million and $1.5 million at December 31, 2020 and December 31, 2019, respectively.
The Plan held no direct investments through other investment options in the Company’s common stock at December 31, 2020 and 2019. However, certain of the collective trust funds and mutual funds may have invested in Citigroup common stock if consistent with the fund's objective. In 2020 and 2019, the Company paid $42,181 and $36,293, respectively, to the participants for dividends on common stocks held directly.
At December 31, 2020 and 2019, the Plan held $98,609 and $92,548, respectively, of the Bank of New York Mellon Short-Term Investment Fund. At December 31, 2020 and 2019, the Plan also held through synthetic GICs $913 and $1,032, respectively, in Bank of New York Mellon corporate bonds and Bank of New York Mellon Short-Term Investment Fund.
These transactions qualify as exempt party‑in‑interest transactions.
14
CITI RETIREMENT SAVINGS PLAN FOR PUERTO RICO
Notes to Financial Statements
December 31, 2020 and 2019
(8) Tax Status
The Puerto Rico Department of Treasury ("PR Treasury") has determined and informed the Plan by a letter dated September 12, 2014 that the Plan as amended and restated effective January 1, 2012 and related trust are established in accordance with applicable sections of the PRIRC and, therefore, qualify as exempt from taxes under Section 1165(a) of the PRIRC. By letters dated April 29, 2016, the PR Treasury determined and informed the Plan that Amendments 1, 2 and 3 to the Plan meet the applicable requirements of the PRIRC. By letter dated June 2, 2017, the PR Treasury determined and informed the Plan that Amendment 4 to the Plan and the amendment to the Trust Agreement meet the applicable requirements of the PRIRC. On February 5, 2018, the PR Treasury determined and informed the Plan that Amendment 5 to the Plan meets the applicable requirements of the PRIRC. On June 4, 2018, the PR Treasury determined and informed the Plan that Amendment 6 to the Plan meets the applicable requirements of PRIRC. On July 11, 2019, the PR Treasury determined and informed the Plan that Amendment 7 to the Plan meets the applicable requirements of PRIRC.
The Plan has not been amended since receiving the above-referenced determination letters. Therefore, no provision for income taxes is included in the Plan’s financial statements.
GAAP requires the Plan’s management to evaluate tax positions taken by the Plan and recognize a tax liability (or asset) if the Plan has taken an uncertain position that more likely than not would not be sustained upon examination by the Internal Revenue Service. The Plan's management has concluded that, as of December 31, 2020 and 2019, there are no uncertain positions taken or expected to be taken that would require recognition of a liability (or asset) or disclosure in the financial statements.
The Plan is subject to audits by taxing jurisdictions; however, there are currently no audits for any open tax periods in progress. The Company believes the Plan is no longer subject to tax examination for years prior to 2017.
(9) Plan Termination
Although it has not expressed any intention to do so, the Plan Sponsor has the right under the Plan to amend or discontinue its contributions at any time and to amend or terminate the Plan subject to the provisions of ERISA. In the event of Plan termination, either full or partial, all amounts credited to the impacted participants’ accounts will become 100% vested and, therefore, will not be subject to forfeiture.
(10) Subsequent Events
The Plan’s management evaluated subsequent events through the date on which the financial statements were issued and determined that, other than those disclosed throughout the financial statements, no additional disclosures were required.
15
CITI RETIREMENT SAVINGS PLAN FOR PUERTO RICO
Notes to Financial Statements
December 31, 2020 and 2019
(11) Reconciliation of Financial Statements to Form 5500
The following is a reconciliation of amounts reported in the financial statements to amounts reported on Form 5500 as of and for the years ended December 31, 2020 and 2019:
2020 | 2019 | |||||||||||||
Net assets available for benefits per the financial statements | $ | 48,412,565 | $ | 43,091,689 | ||||||||||
Adjustment from contract value to fair value for fully benefit-responsive investment contracts | 75,325 | 28,731 | ||||||||||||
Net assets available for benefits per the Form 5500 | $ | 48,487,890 | $ | 43,120,420 | ||||||||||
Net increase in net assets available for benefits per the financial statements | $ | 5,320,876 | $ | 8,001,539 | ||||||||||
Prior year adjustment from contract value to fair value for fully benefit-responsive investment contracts | (28,731) | 25,396 | ||||||||||||
Current year adjustment from contract value to fair value for fully benefit-responsive investment contracts | 75,325 | 28,731 | ||||||||||||
Net increase (decrease) in net assets per Form 5500 | $ | 5,367,470 | $ | 8,055,666 |
16
CITI RETIREMENT SAVINGS PLAN FOR PUERTO RICO
Schedule H, Line 4i – Schedule of Assets (Held at End of Year)
EIN: 66-0177415 Plan No. 002
December 31, 2020
Interest | Maturity | Number of | Cost | Current | |||||||||||||||||||
Identity of issuer | rate | date | shares/units | value** | value | ||||||||||||||||||
Cash equivalents and short-term investments: | |||||||||||||||||||||||
Bny Mellon Cash Reserve | 385 | $ | 385 | ||||||||||||||||||||
Brazil Real | 14,051 | 2,705 | |||||||||||||||||||||
Canadian Dollar | 135 | 139 | |||||||||||||||||||||
Euro Currency Unit | 6 | 7 | |||||||||||||||||||||
Hong Kong Dollar | 1,659 | 478 | |||||||||||||||||||||
Japanese Yen | 23,590 | 303 | |||||||||||||||||||||
New Taiwan Dollar | 4,259 | 152 | |||||||||||||||||||||
New Zealand Dollar | 8 | 6 | |||||||||||||||||||||
Pound Sterling | 27 | 89 | |||||||||||||||||||||
South African Rand | 40 | 3 | |||||||||||||||||||||
Thailand Baht | 169 | 6 | |||||||||||||||||||||
Turkish Lira | 8,274 | 1,114 | |||||||||||||||||||||
U.S. Dollar | 5,074 | 5,074 | |||||||||||||||||||||
* | Collective Us Gov'T Stif 15 | 0.51 | % | 98,609 | 98,609 | ||||||||||||||||||
Total cash equivalents and short-term investments | $ | 109,070 | |||||||||||||||||||||
Collective trust funds: | |||||||||||||||||||||||
BFA Lifepath Index 2025 Fund | 11,824 | $ | 291,661 | ||||||||||||||||||||
BFA Lifepath Index 2030 Fund | 18,830 | 517,680 | |||||||||||||||||||||
BFA Lifepath Index 2035 Fund | 28,517 | 757,463 | |||||||||||||||||||||
BFA Lifepath Index 2040 Fund | 60,405 | 1,783,070 | |||||||||||||||||||||
BFA Lifepath Index 2045 Fund | 62,283 | 1,729,498 | |||||||||||||||||||||
BFA Lifepath Index 2050 Fund | 41,373 | 948,586 | |||||||||||||||||||||
BFA Lifepath Index 2055 Fund | 9,771 | 291,171 | |||||||||||||||||||||
BFA Lifepath Index 2060 Fund | 243 | 4,225 | |||||||||||||||||||||
BFA Lifepath Index Retirement Fund | 15,009 | 367,262 | |||||||||||||||||||||
Blackrock EAFE Equity Fund | 102,445 | 5,034,802 | |||||||||||||||||||||
Blackrock Emerging Markets Fund | 140,084 | 2,075,998 | |||||||||||||||||||||
Blackrock Msci Acwi Esg Focus | 680 | 9,786 | |||||||||||||||||||||
Blackrock Roll Select Fund | 12,493 | 118,431 | |||||||||||||||||||||
Blackrock Russell 2000 Fund | 16,004 | 998,301 | |||||||||||||||||||||
Blackrock Russell 3000 Fund | 55,827 | 4,252,207 | |||||||||||||||||||||
Blackrock S&P 400 Index Fund | 29,810 | 3,371,373 | |||||||||||||||||||||
Blackrock S&P 500 Index Fund | 127,789 | 9,518,316 | |||||||||||||||||||||
Blackrock US Debt Fund | 107,923 | 3,931,777 | |||||||||||||||||||||
Blackrock US TIPS Fund | 40,017 | 986,391 | |||||||||||||||||||||
Schroder Collective Invt Trust | 28,503 | 368,263 | |||||||||||||||||||||
Wellington CIF II Citigroup Emerging Markets Debt Portfolio | 12,905 | 180,673 |
*Party-in-interest, as defined by ERISA
**The cost of participant-directed investments is not required to be disclosed
See accompanying Report of Independent Registered Public Accounting Firm
17
CITI RETIREMENT SAVINGS PLAN FOR PUERTO RICO
Schedule H, Line 4i – Schedule of Assets (Held at End of Year)
EIN: 66-0177415 Plan No. 002
December 31, 2020
Interest | Maturity | Number of | Cost | Current | |||||||||||||||||||
Identity of issuer | rate | date | shares/units | value** | value | ||||||||||||||||||
Total collective trust funds | $ | 37,536,934 | |||||||||||||||||||||
Mutual funds: | |||||||||||||||||||||||
BlackRock Cash Funds: Treasury | 2,172,267 | $ | 2,172,267 | ||||||||||||||||||||
Blackrock Hi Yield Bond Port-K | 22,740 | 177,374 | |||||||||||||||||||||
DFA Emerging Markets Portfolio | 10,310 | 251,044 | |||||||||||||||||||||
Fidelity Advisor Total Bond-Z | 2,852 | 32,226 | |||||||||||||||||||||
Ishares Msci Eafe Small-Cap | 28 | 1,930 | |||||||||||||||||||||
Prudential High Yield Fund | 16,128 | 88,867 | |||||||||||||||||||||
Pimco Income Fund-Institutional | 1,149 | 13,909 | |||||||||||||||||||||
T Rowe Price Institutional High Yield | 20,075 | 177,062 | |||||||||||||||||||||
Total mutual funds | $ | 2,914,679 | |||||||||||||||||||||
Non-U.S. equities: | |||||||||||||||||||||||
21Vianet Group Inc | 132 | $ | 4,581 | ||||||||||||||||||||
360 Digitech Inc | 330 | 3,897 | |||||||||||||||||||||
3I Group Plc | 1 | 2,988 | |||||||||||||||||||||
Aalberts Nv | 6 | 277 | |||||||||||||||||||||
Abb Ltd | 1 | 6,744 | |||||||||||||||||||||
Abcam Plc | 44 | 925 | |||||||||||||||||||||
Academedia Ab | 10 | 98 | |||||||||||||||||||||
Accenture Plc | 1 | 13,558 | |||||||||||||||||||||
Accton Technology Corp | 80 | 899 | |||||||||||||||||||||
Advantech Co Ltd | 76 | 952 | |||||||||||||||||||||
Adyen Nv | 1 | 8,592 | |||||||||||||||||||||
Aedas Homes Sa | 13 | 338 | |||||||||||||||||||||
Aem Holdings Ltd | 77 | 201 | |||||||||||||||||||||
Affimed Nv | 18 | 103 | |||||||||||||||||||||
African Rainbow Minerals Ltd | 34 | 598 | |||||||||||||||||||||
Aia Group Ltd | 1 | 24,884 | |||||||||||||||||||||
Aida Engineering Ltd | 22 | 204 | |||||||||||||||||||||
Aier Eye Hospital Group Co Ltd | 75 | 865 | |||||||||||||||||||||
Air Arabia Pjsc | 557 | 194 | |||||||||||||||||||||
Air Liquide Sa | 1 | 15,923 | |||||||||||||||||||||
Airtac International Group | 93 | 2,971 | |||||||||||||||||||||
Aixtron Se | 58 | 1,010 | |||||||||||||||||||||
Aj Bell Plc | 50 | 299 | |||||||||||||||||||||
Akbank T.A.S. | 353 | 329 | |||||||||||||||||||||
Alcon Inc | 1 | 10,435 | |||||||||||||||||||||
Alibaba Group Holding Ltd | 523 | 21,672 | |||||||||||||||||||||
Alibaba Health Information Technology Ltd | 883 | 2,607 |
*Party-in-interest, as defined by ERISA
**The cost of participant-directed investments is not required to be disclosed
See accompanying Report of Independent Registered Public Accounting Firm
18
CITI RETIREMENT SAVINGS PLAN FOR PUERTO RICO
Schedule H, Line 4i – Schedule of Assets (Held at End of Year)
EIN: 66-0177415 Plan No. 002
December 31, 2020
Interest | Maturity | Number of | Cost | Current | |||||||||||||||||||
Identity of issuer | rate | date | shares/units | value** | value | ||||||||||||||||||
A-Living Smart City Services Co. Ltd | 973 | 4,316 | |||||||||||||||||||||
Alkermes Plc | 9 | 187 | |||||||||||||||||||||
Allegro.Eu Sa | 120 | 2,731 | |||||||||||||||||||||
Also Holding Ag | 1 | 408 | |||||||||||||||||||||
Alstom Sa | 75 | 4,274 | |||||||||||||||||||||
Altus Group Ltd | 11 | 416 | |||||||||||||||||||||
Amadeus It Group Sa | 8 | 16,492 | |||||||||||||||||||||
Ambarella Inc | 5 | 414 | |||||||||||||||||||||
Ambea Ab | 40 | 321 | |||||||||||||||||||||
Amber Enterprises India Ltd | 9 | 276 | |||||||||||||||||||||
Ambev Sa | 1 | 1,227 | |||||||||||||||||||||
Ambu A/S | 26 | 1,106 | |||||||||||||||||||||
Amplifon Spa | 43 | 1,770 | |||||||||||||||||||||
Ams Ag | 24 | 533 | |||||||||||||||||||||
Anritsu Corp | 30 | 667 | |||||||||||||||||||||
Ansell Ltd | 51 | 1,375 | |||||||||||||||||||||
Aon Plc | 1 | 12,985 | |||||||||||||||||||||
Arca Continental Sab De Cv | 1 | 3,902 | |||||||||||||||||||||
Arcelormittal Sa | 1 | 3,565 | |||||||||||||||||||||
Argo Graphics Inc | 5 | 158 | |||||||||||||||||||||
Aruhi Corp | 17 | 300 | |||||||||||||||||||||
Ascential Plc | 194 | 1,019 | |||||||||||||||||||||
Asiainfo Technologies Ltd | 112 | 161 | |||||||||||||||||||||
Asian Paints Ltd | 38 | 1,437 | |||||||||||||||||||||
Askul Corp | 15 | 558 | |||||||||||||||||||||
Asm International Nv | 4 | 983 | |||||||||||||||||||||
Asmedia Technology Inc | 29 | 1,608 | |||||||||||||||||||||
Asml Holding Nv | 1 | 13,204 | |||||||||||||||||||||
Asos Plc | 15 | 994 | |||||||||||||||||||||
Aspeed Technology Inc | 26 | 1,561 | |||||||||||||||||||||
Asr Nederland Nv | 7 | 278 | |||||||||||||||||||||
Assured Guaranty Ltd | 50 | 1,564 | |||||||||||||||||||||
Atlas Copco Ab | 1 | 8,770 | |||||||||||||||||||||
Aumann Ag | 3 | 43 | |||||||||||||||||||||
Austal Ltd | 266 | 547 | |||||||||||||||||||||
Autobio Diagnostics Co Ltd | 21 | 473 | |||||||||||||||||||||
Autohome Inc | 1 | 5,355 | |||||||||||||||||||||
Avanza Bank Holding Ab | 24 | 690 | |||||||||||||||||||||
Avast Plc | 159 | 1,165 | |||||||||||||||||||||
Axfood Ab | 18 | 409 | |||||||||||||||||||||
Axis Capital Holdings Ltd | 25 | 1,271 | |||||||||||||||||||||
B2W Cia Digital | 382 | 5,558 |
*Party-in-interest, as defined by ERISA
**The cost of participant-directed investments is not required to be disclosed
See accompanying Report of Independent Registered Public Accounting Firm
19
CITI RETIREMENT SAVINGS PLAN FOR PUERTO RICO
Schedule H, Line 4i – Schedule of Assets (Held at End of Year)
EIN: 66-0177415 Plan No. 002
December 31, 2020
Interest | Maturity | Number of | Cost | Current | |||||||||||||||||||
Identity of issuer | rate | date | shares/units | value** | value | ||||||||||||||||||
B3 Sa - Brasil Bolsa Balcao | 169 | 2,018 | |||||||||||||||||||||
Banco Bradesco Sa | 1,763 | 9,262 | |||||||||||||||||||||
Banco Del Bajio Sa | 193 | 268 | |||||||||||||||||||||
Bank Central Asia Tbk Pt | 1,255 | 3,025 | |||||||||||||||||||||
Bank Mandiri Persero Tbk Pt | 1 | 3,417 | |||||||||||||||||||||
Bank Of Georgia Group Plc | 24 | 396 | |||||||||||||||||||||
Bank Of Nt Butterfield & Son Ltd | 25 | 766 | |||||||||||||||||||||
Barco Nv | 10 | 229 | |||||||||||||||||||||
Bawag Group Ag | 20 | 942 | |||||||||||||||||||||
Baycurrent Consulting Inc | 4 | 725 | |||||||||||||||||||||
Bayer Ag | 1 | 5,061 | |||||||||||||||||||||
Beiersdorf Ag | 1 | 5,978 | |||||||||||||||||||||
Beijer Ref Ab | 4 | 183 | |||||||||||||||||||||
Beijing Enterprises Urban Resources Group Ltd | 1,082 | 310 | |||||||||||||||||||||
Beijing Oriental Yuhong Waterproof Technology | 127 | 754 | |||||||||||||||||||||
Best World International Ltd | 413 | 425 | |||||||||||||||||||||
Bhp Group Plc | 1 | 4,031 | |||||||||||||||||||||
Biffa Plc | 83 | 259 | |||||||||||||||||||||
Biogaia Ab | 5 | 306 | |||||||||||||||||||||
Biohaven Pharmaceutical Holding Co Ltd | 3 | 295 | |||||||||||||||||||||
Biomerieux | 2 | 219 | |||||||||||||||||||||
Bnp Paribas Sa | 62 | 3,253 | |||||||||||||||||||||
Boa Vista Servicos Sa | 97 | 235 | |||||||||||||||||||||
Brunello Cucinelli Spa | 6 | 242 | |||||||||||||||||||||
Bw Lpg Ltd | 107 | 736 | |||||||||||||||||||||
Bwp Trust | 160 | 545 | |||||||||||||||||||||
Bytes Technology Group Plc | 54 | 249 | |||||||||||||||||||||
Cae Inc | 124 | 3,440 | |||||||||||||||||||||
Cairn Homes Plc | 288 | 339 | |||||||||||||||||||||
Canadian National Railway Co | 34 | 11,236 | |||||||||||||||||||||
Canadian Pacific Railway Ltd | 1 | 14,366 | |||||||||||||||||||||
Cancom Se | 5 | 271 | |||||||||||||||||||||
Capcom Co Ltd | 12 | 769 | |||||||||||||||||||||
Capgemini Se | 1 | 6,315 | |||||||||||||||||||||
Cardtronics Plc | 9 | 311 | |||||||||||||||||||||
Carel Industries Spa | 29 | 691 | |||||||||||||||||||||
Carlsberg As | 31 | 7,862 | |||||||||||||||||||||
Centre Testing International G | 306 | 1,280 | |||||||||||||||||||||
Chacha Food Co Ltd | 83 | 682 | |||||||||||||||||||||
Chailease Holding Co Ltd | 147 | 879 |
*Party-in-interest, as defined by ERISA
**The cost of participant-directed investments is not required to be disclosed
See accompanying Report of Independent Registered Public Accounting Firm
20
CITI RETIREMENT SAVINGS PLAN FOR PUERTO RICO
Schedule H, Line 4i – Schedule of Assets (Held at End of Year)
EIN: 66-0177415 Plan No. 002
December 31, 2020
Interest | Maturity | Number of | Cost | Current | |||||||||||||||||||
Identity of issuer | rate | date | shares/units | value** | value | ||||||||||||||||||
Changzhou Xingyu Automotive Lighting | 22 | 676 | |||||||||||||||||||||
Charter Hall Group | 81 | 915 | |||||||||||||||||||||
Check Point Software Technologies Ltd | 1 | 4,962 | |||||||||||||||||||||
Cheng Loong Corp | 299 | 362 | |||||||||||||||||||||
Chicony Power Technology Co Ltd | 76 | 191 | |||||||||||||||||||||
China Education Group Holdings | 281 | 542 | |||||||||||||||||||||
China Feihe Ltd | 199 | 466 | |||||||||||||||||||||
China International Capital Co | 856 | 2,318 | |||||||||||||||||||||
China Meidong Auto Holdings Ltd | 243 | 987 | |||||||||||||||||||||
China Merchants Bank Co Ltd | 192 | 1,212 | |||||||||||||||||||||
China Resources Mixc Lifestyle | 93 | 429 | |||||||||||||||||||||
China Tourism Group Duty Free | 38 | 1,658 | |||||||||||||||||||||
Chongqing Zhifei Biological Pr | 30 | 687 | |||||||||||||||||||||
Cia Brasileira De Distribuicao | 233 | 3,368 | |||||||||||||||||||||
Cia De Saneamento Basico Do Es | 289 | 2,468 | |||||||||||||||||||||
Cicc Fin Trad Ltd Idx/Lkd Nts | 759 | 4,470 | |||||||||||||||||||||
Cie Automotive Sa | 9 | 241 | |||||||||||||||||||||
Cie Financiere Richemont Sa | 1 | 4,392 | |||||||||||||||||||||
Cimpress Plc | 6 | 503 | |||||||||||||||||||||
Clicks Group Ltd | 51 | 885 | |||||||||||||||||||||
Coats Group Plc | 170 | 157 | |||||||||||||||||||||
Coca-Cola Bottlers Japan Holdings Inc | 9 | 147 | |||||||||||||||||||||
Coca-Cola European Partners Plc | 1 | 4,752 | |||||||||||||||||||||
Cochlear Ltd | 3 | 414 | |||||||||||||||||||||
Codemasters Group Holdings Plc | 39 | 348 | |||||||||||||||||||||
Cofinimmo Sa | 5 | 811 | |||||||||||||||||||||
Compass Group Plc | 1 | 4,054 | |||||||||||||||||||||
Computacenter Plc | 32 | 1,082 | |||||||||||||||||||||
Contemporary Amperex Technology Co Ltd | 20 | 1,082 | |||||||||||||||||||||
Continental Ag | 1 | 3,351 | |||||||||||||||||||||
Country Garden Services Holdings Co Ltd | 422 | 2,855 | |||||||||||||||||||||
Crispr Therapeutics Ag | 5 | 689 | |||||||||||||||||||||
Croda International Plc | 5 | 457 | |||||||||||||||||||||
Crompton Greaves Consumer Electricals Ltd | 148 | 770 | |||||||||||||||||||||
Cropenergies Ag | 29 | 428 | |||||||||||||||||||||
Csl Ltd | 1 | 14,080 | |||||||||||||||||||||
Cushman & Wakefield Plc | 446 | 6,607 | |||||||||||||||||||||
Cvs Group Plc | 12 | 256 | |||||||||||||||||||||
Dabur India Ltd | 163 | 1,190 | |||||||||||||||||||||
Daihen Corp | 11 | 526 |
*Party-in-interest, as defined by ERISA
**The cost of participant-directed investments is not required to be disclosed
See accompanying Report of Independent Registered Public Accounting Firm
21
CITI RETIREMENT SAVINGS PLAN FOR PUERTO RICO
Schedule H, Line 4i – Schedule of Assets (Held at End of Year)
EIN: 66-0177415 Plan No. 002
December 31, 2020
Interest | Maturity | Number of | Cost | Current | |||||||||||||||||||
Identity of issuer | rate | date | shares/units | value** | value | ||||||||||||||||||
Daikin Industries Ltd | 1 | 8,818 | |||||||||||||||||||||
Daito Pharmaceutical Co Ltd | 9 | 323 | |||||||||||||||||||||
Daiwa House Industry Co Ltd | 1 | 5,463 | |||||||||||||||||||||
Daiwa Office Investment Corp | 1 | 212 | |||||||||||||||||||||
Daiwabo Holdings Co Ltd | 2 | 184 | |||||||||||||||||||||
Danel Adir Yeoshua Ltd | 1 | 168 | |||||||||||||||||||||
Danone Sa | 1 | 4,824 | |||||||||||||||||||||
Dassault Systemes Se | 1 | 2,542 | |||||||||||||||||||||
Dbs Group Holdings Ltd | 1 | 7,106 | |||||||||||||||||||||
Dcc Plc | 5 | 372 | |||||||||||||||||||||
Delta Electronics Inc | 153 | 1,437 | |||||||||||||||||||||
Denka Co Ltd | 5 | 179 | |||||||||||||||||||||
Denso Corp | 1 | 2,058 | |||||||||||||||||||||
Derwent London Plc | 8 | 348 | |||||||||||||||||||||
Descartes Sys Group Inc | 8 | 496 | |||||||||||||||||||||
Descartes Systems Group Inc. | 6 | 334 | |||||||||||||||||||||
Deutsche Boerse Ag | 1 | 5,710 | |||||||||||||||||||||
Dht Holdings Inc | 36 | 187 | |||||||||||||||||||||
Diageo Plc | 1 | 5,667 | |||||||||||||||||||||
Dic Asset Ag | 8 | 129 | |||||||||||||||||||||
Dic Corp | 11 | 267 | |||||||||||||||||||||
Dino Polska Sa | 26 | 2,044 | |||||||||||||||||||||
Dios Fastigheter Ab | 58 | 544 | |||||||||||||||||||||
Dip Corp | 22 | 592 | |||||||||||||||||||||
Dirtt Environmental Solutions | 65 | 159 | |||||||||||||||||||||
Disco Corp | 1 | 387 | |||||||||||||||||||||
Divi'S Laboratories Ltd | 23 | 1,196 | |||||||||||||||||||||
Dixon Technologies India Ltd | 2 | 379 | |||||||||||||||||||||
Dksh Holding Ag | 6 | 451 | |||||||||||||||||||||
Douyu International Holdings Ltd | 239 | 2,648 | |||||||||||||||||||||
Dr Lal Pathlabs Ltd | 15 | 481 | |||||||||||||||||||||
Draper Esprit Plc | 77 | 691 | |||||||||||||||||||||
Dream Unlimited Corp | 10 | 171 | |||||||||||||||||||||
Dsv Panalpina A/S | 1 | 11,279 | |||||||||||||||||||||
Dundee Precious Metals Inc | 69 | 496 | |||||||||||||||||||||
E.Sun Financial Holding Co Ltd | 961 | 874 | |||||||||||||||||||||
Ebara Corp | 10 | 338 | |||||||||||||||||||||
Edenred | 7 | 375 | |||||||||||||||||||||
Edita Food Industries Sae | 14 | 37 | |||||||||||||||||||||
Elan Microelectronics Corp | 77 | 366 | |||||||||||||||||||||
Electra Consumer Products 1970 | 7 | 239 | |||||||||||||||||||||
Electric Power Development Co | 26 | 365 |
*Party-in-interest, as defined by ERISA
**The cost of participant-directed investments is not required to be disclosed
See accompanying Report of Independent Registered Public Accounting Firm
22
CITI RETIREMENT SAVINGS PLAN FOR PUERTO RICO
Schedule H, Line 4i – Schedule of Assets (Held at End of Year)
EIN: 66-0177415 Plan No. 002
December 31, 2020
Interest | Maturity | Number of | Cost | Current | |||||||||||||||||||
Identity of issuer | rate | date | shares/units | value** | value | ||||||||||||||||||
Elekta Ab | 6 | 83 | |||||||||||||||||||||
Elite Material Co Ltd | 109 | 608 | |||||||||||||||||||||
Emis Group Plc | 15 | 229 | |||||||||||||||||||||
Enel Spa | 1 | 6,871 | |||||||||||||||||||||
Engie Sa | 413 | 10,077 | |||||||||||||||||||||
Eni Spa | 1 | 1,931 | |||||||||||||||||||||
Enn Energy Holdings Ltd | 1 | 6,249 | |||||||||||||||||||||
Eqt Ab | 16 | 408 | |||||||||||||||||||||
Equinor Asa | 1 | 2,973 | |||||||||||||||||||||
Ergomed Plc | 15 | 217 | |||||||||||||||||||||
Escorts Ltd | 34 | 593 | |||||||||||||||||||||
Esr Cayman Ltd | 1 | 6,323 | |||||||||||||||||||||
Essent Group Ltd | 34 | 1,477 | |||||||||||||||||||||
Essilorluxottica Sa | 1 | 4,315 | |||||||||||||||||||||
Essity Ab | 1 | 2,953 | |||||||||||||||||||||
Eurofins Scientific Se | 12 | 987 | |||||||||||||||||||||
Euronext Nv | 2 | 212 | |||||||||||||||||||||
Europris Asa | 125 | 747 | |||||||||||||||||||||
Evertec Inc | 33 | 1,300 | |||||||||||||||||||||
Evotec Se | 7 | 276 | |||||||||||||||||||||
Evraz Plc | 94 | 604 | |||||||||||||||||||||
Experian Plc | 1 | 17,419 | |||||||||||||||||||||
Fabrinet | 3 | 250 | |||||||||||||||||||||
Fairfax India Holdings Corp | 377 | 3,639 | |||||||||||||||||||||
Fanuc Corp | 1 | 1,249 | |||||||||||||||||||||
Ferguson Plc | 1 | 4,473 | |||||||||||||||||||||
Ferrari Nv | 1 | 7,515 | |||||||||||||||||||||
Ferrexpo Plc | 130 | 502 | |||||||||||||||||||||
Fibra Uno Administracion Sa De | 4,214 | 4,761 | |||||||||||||||||||||
Fila Holdings Corp | 79 | 3,163 | |||||||||||||||||||||
Finecobank Banca Fineco Spa | 37 | 614 | |||||||||||||||||||||
First Derivatives Plc | 13 | 567 | |||||||||||||||||||||
First International Bank Of Israel Ltd | 16 | 416 | |||||||||||||||||||||
Fisher & Paykel Healthcare Corp Ltd | 49 | 1,170 | |||||||||||||||||||||
Fjordkraft Holding Asa | 31 | 300 | |||||||||||||||||||||
Flat Glass Group Co Ltd | 317 | 1,333 | |||||||||||||||||||||
Flatexdegiro Ag | 3 | 267 | |||||||||||||||||||||
Flexium Interconnect Inc | 358 | 1,542 | |||||||||||||||||||||
Forbo Holding Ag | 1 | 158 | |||||||||||||||||||||
Forterra Plc | 1,770 | 5,904 | |||||||||||||||||||||
Foshan Haitian Flavouring & Fo | 70 | 2,131 | |||||||||||||||||||||
Fox Wizel Ltd | 4 | 398 |
*Party-in-interest, as defined by ERISA
**The cost of participant-directed investments is not required to be disclosed
See accompanying Report of Independent Registered Public Accounting Firm
23
CITI RETIREMENT SAVINGS PLAN FOR PUERTO RICO
Schedule H, Line 4i – Schedule of Assets (Held at End of Year)
EIN: 66-0177415 Plan No. 002
December 31, 2020
Interest | Maturity | Number of | Cost | Current | |||||||||||||||||||
Identity of issuer | rate | date | shares/units | value** | value | ||||||||||||||||||
Frencken Group Ltd | 322 | 321 | |||||||||||||||||||||
Freni Brembo Spa | 15 | 200 | |||||||||||||||||||||
Fresenius Medical Care Ag & Co | 1 | 3,087 | |||||||||||||||||||||
Fresh Del Monte Produce Inc | 29 | 687 | |||||||||||||||||||||
Frontier Developments Plc | 8 | 344 | |||||||||||||||||||||
Fujitec Co Ltd | 15 | 318 | |||||||||||||||||||||
Fujitsu General Ltd | 17 | 461 | |||||||||||||||||||||
Fukui Computer Holdings Inc | 5 | 184 | |||||||||||||||||||||
Fukuoka Financial Group Inc | 14 | 245 | |||||||||||||||||||||
Fullcast Holdings Co Ltd | 20 | 318 | |||||||||||||||||||||
Funding Circle Holdings Plc | 179 | 220 | |||||||||||||||||||||
G-7 Holdings Inc | 13 | 286 | |||||||||||||||||||||
Galp Energia Sgps Sa | 1 | 3,564 | |||||||||||||||||||||
Geely Automobile Holdings Ltd | 1,007 | 3,442 | |||||||||||||||||||||
Genus Plc | 15 | 839 | |||||||||||||||||||||
Getinge Ab | 55 | 1,284 | |||||||||||||||||||||
Globant Sa | 7 | 1,428 | |||||||||||||||||||||
Goldwin Inc | 9 | 577 | |||||||||||||||||||||
Greentown Service Group Co Ltd | 237 | 292 | |||||||||||||||||||||
Greggs Plc | 13 | 319 | |||||||||||||||||||||
Grupo Aeroportuario Del Surest | 1 | 228 | |||||||||||||||||||||
Grupo Financiero Banorte Sab D | 1 | 4,777 | |||||||||||||||||||||
Grupo Sbf Sa | 42 | 242 | |||||||||||||||||||||
Guangdong Haid Group Co Ltd | 62 | 618 | |||||||||||||||||||||
Gurit Holding Ag | 1 | 678 | |||||||||||||||||||||
Gvs Spa | 25 | 461 | |||||||||||||||||||||
Haier Smart Home Co Ltd | 226 | 820 | |||||||||||||||||||||
Hangzhou Tigermed Consulting C | 48 | 1,185 | |||||||||||||||||||||
Hansol Chemical Co Ltd | 25 | 4,487 | |||||||||||||||||||||
Hanwa Co Ltd | 34 | 901 | |||||||||||||||||||||
Hardwoods Distribution Inc | 10 | 197 | |||||||||||||||||||||
Harvey Norman Holdings Ltd | 222 | 803 | |||||||||||||||||||||
Havells India Ltd | 65 | 817 | |||||||||||||||||||||
Hdfc Bank Ltd | 266 | 24,574 | |||||||||||||||||||||
Hdfc Life Insurance Co Ltd | 61 | 569 | |||||||||||||||||||||
Headhunter Group Plc | 10 | 289 | |||||||||||||||||||||
Heiwa Real Estate Co Ltd | 13 | 466 | |||||||||||||||||||||
Helen Of Troy Ltd | 8 | 1,702 | |||||||||||||||||||||
Helios Towers Plc | 204 | 428 | |||||||||||||||||||||
Hera Spa | 86 | 315 | |||||||||||||||||||||
Hexagon Ab | 1 | 4,286 | |||||||||||||||||||||
Hikari Tsushin Inc | 1 | 188 |
*Party-in-interest, as defined by ERISA
**The cost of participant-directed investments is not required to be disclosed
See accompanying Report of Independent Registered Public Accounting Firm
24
CITI RETIREMENT SAVINGS PLAN FOR PUERTO RICO
Schedule H, Line 4i – Schedule of Assets (Held at End of Year)
EIN: 66-0177415 Plan No. 002
December 31, 2020
Interest | Maturity | Number of | Cost | Current | |||||||||||||||||||
Identity of issuer | rate | date | shares/units | value** | value | ||||||||||||||||||
Hindustan Unilever Ltd | 33 | 1,090 | |||||||||||||||||||||
Hiscox Ltd | 20 | 279 | |||||||||||||||||||||
Hitachi Ltd | 1 | 12,924 | |||||||||||||||||||||
Hiwin Technologies Corp | 42 | 569 | |||||||||||||||||||||
Homeserve Plc | 14 | 194 | |||||||||||||||||||||
Hope Education Group Co Ltd | 1,606 | 448 | |||||||||||||||||||||
Horiba Ltd | 5 | 277 | |||||||||||||||||||||
Horizon Therapeutics Plc | 7 | 522 | |||||||||||||||||||||
Hoshino Resorts Reit Inc | 1 | 33 | |||||||||||||||||||||
Housing Development Finance Co | 61 | 2,143 | |||||||||||||||||||||
Howden Joinery Group Plc | 205 | 1,934 | |||||||||||||||||||||
Hoya Corp | 1 | 9,222 | |||||||||||||||||||||
Huazhu Group Ltd | 2 | 83 | |||||||||||||||||||||
Huhtamaki Oyj | 6 | 294 | |||||||||||||||||||||
Hundsun Technologies Inc | 58 | 925 | |||||||||||||||||||||
Hypoport Se | 1 | 437 | |||||||||||||||||||||
Hyundai Motor Co | 51 | 6,123 | |||||||||||||||||||||
Ibstock Plc | 984 | 2,778 | |||||||||||||||||||||
Icici Bank Ltd | 825 | 17,662 | |||||||||||||||||||||
Icon Plc | 1 | 5,025 | |||||||||||||||||||||
Idec Corp/Japan | 13 | 223 | |||||||||||||||||||||
Idp Education Ltd | 23 | 348 | |||||||||||||||||||||
Ig Group Holdings Plc | 28 | 326 | |||||||||||||||||||||
Iguatemi Empresa De Shopping | 43 | 306 | |||||||||||||||||||||
Imcd Nv | 5 | 700 | |||||||||||||||||||||
Imi Plc | 61 | 971 | |||||||||||||||||||||
Impro Precision Industries Ltd | 513 | 166 | |||||||||||||||||||||
Industrial & Infrastructure Fund Investment | 1 | 338 | |||||||||||||||||||||
Infineon Technologies Ag | 1 | 2,650 | |||||||||||||||||||||
Info Edge India Ltd | 19 | 1,215 | |||||||||||||||||||||
Informa Plc | 1 | 2,840 | |||||||||||||||||||||
Ing Groep Nv | 1 | 3,855 | |||||||||||||||||||||
Inmobiliaria Colonial Socimi S.A. | 52 | 509 | |||||||||||||||||||||
Instone Real Estate Group Ag | 13 | 340 | |||||||||||||||||||||
Integrated Diagnostics Holding | 177 | 195 | |||||||||||||||||||||
Intermediate Capital Group Plc | 37 | 868 | |||||||||||||||||||||
International Game Technology | 25 | 428 | |||||||||||||||||||||
Intertrust Nv | 24 | 413 | |||||||||||||||||||||
Intervest Offices & Warehouses | 6 | 154 | |||||||||||||||||||||
Intesa Sanpaolo Spa | 1 | 3,433 | |||||||||||||||||||||
Invincible Investment Corp | 1 | 311 |
*Party-in-interest, as defined by ERISA
**The cost of participant-directed investments is not required to be disclosed
See accompanying Report of Independent Registered Public Accounting Firm
25
CITI RETIREMENT SAVINGS PLAN FOR PUERTO RICO
Schedule H, Line 4i – Schedule of Assets (Held at End of Year)
EIN: 66-0177415 Plan No. 002
December 31, 2020
Interest | Maturity | Number of | Cost | Current | |||||||||||||||||||
Identity of issuer | rate | date | shares/units | value** | value | ||||||||||||||||||
Ip Group Plc | 84 | 113 | |||||||||||||||||||||
Iqe Plc | 523 | 525 | |||||||||||||||||||||
Iss A/S | 352 | 6,091 | |||||||||||||||||||||
Itmedia Inc | 12 | 255 | |||||||||||||||||||||
Ituran Location And Control Ltd | 217 | 4,141 | |||||||||||||||||||||
Jafron Biomedical Co Ltd | 48 | 500 | |||||||||||||||||||||
Japan Logistics Fund Inc | 1 | 485 | |||||||||||||||||||||
Japan Petroleum Exploration Co | 16 | 290 | |||||||||||||||||||||
Japan Tobacco Inc | 1 | 3,021 | |||||||||||||||||||||
Jd.Com Inc | 171 | 9,884 | |||||||||||||||||||||
Jde Peet'S Nv | 1 | 3,361 | |||||||||||||||||||||
Jiangsu Hengli Hydraulic Co Ltd | 197 | 3,403 | |||||||||||||||||||||
Jiangsu Hengrui Medicine Co Ltd | 73 | 1,237 | |||||||||||||||||||||
Jiumaojiu International Holdings Ltd | 224 | 681 | |||||||||||||||||||||
Jost Werke Ag | 10 | 529 | |||||||||||||||||||||
Joyy Inc | 3 | 217 | |||||||||||||||||||||
Jpm -Cw21 Beijing Sinoh | 31 | 1,280 | |||||||||||||||||||||
Jpm -Cw21 Nari Technology Development Co | 948 | 3,859 | |||||||||||||||||||||
Jpm Struct.Prod.Bv Wts | 345 | 2,686 | |||||||||||||||||||||
Js Global Lifestyle Co Ltd | 383 | 740 | |||||||||||||||||||||
Julius Baer Group Ltd | 1 | 2,898 | |||||||||||||||||||||
Just Eat Takeaway.Com Nv | 6 | 711 | |||||||||||||||||||||
Justsystems Corp | 8 | 552 | |||||||||||||||||||||
Jyp Entertainment Corp | 14 | 491 | |||||||||||||||||||||
Kakao Corp | 13 | 4,773 | |||||||||||||||||||||
Kaken Pharmaceutical Co Ltd | 9 | 360 | |||||||||||||||||||||
Kanamoto Co Ltd | 26 | 561 | |||||||||||||||||||||
Kandenko Co Ltd | 58 | 490 | |||||||||||||||||||||
Kanematsu Corp | 26 | 323 | |||||||||||||||||||||
Kao Corp | 1 | 2,293 | |||||||||||||||||||||
Kasikornbank Pcl | 1 | 1,418 | |||||||||||||||||||||
Kaspi.Kz Jsc | 46 | 2,773 | |||||||||||||||||||||
Kato Sangyo Co Ltd | 7 | 246 | |||||||||||||||||||||
Kbc Group Nv | 1 | 5,095 | |||||||||||||||||||||
Kendrion Nv | 5 | 96 | |||||||||||||||||||||
Kesko Oyj | 20 | 522 | |||||||||||||||||||||
Keyence Corp | 1 | 12,183 | |||||||||||||||||||||
Keywords Studios Plc | 21 | 829 | |||||||||||||||||||||
Kfc Holdings Japan Ltd | 33 | 937 | |||||||||||||||||||||
Kindred Group Plc | 61 | 597 | |||||||||||||||||||||
Kingdee International Software | 307 | 1,251 |
*Party-in-interest, as defined by ERISA
**The cost of participant-directed investments is not required to be disclosed
See accompanying Report of Independent Registered Public Accounting Firm
26
CITI RETIREMENT SAVINGS PLAN FOR PUERTO RICO
Schedule H, Line 4i – Schedule of Assets (Held at End of Year)
EIN: 66-0177415 Plan No. 002
December 31, 2020
Interest | Maturity | Number of | Cost | Current | |||||||||||||||||||
Identity of issuer | rate | date | shares/units | value** | value | ||||||||||||||||||
Kingsoft Cloud Holdings Ltd | 94 | 4,108 | |||||||||||||||||||||
Kiniksa Pharmaceuticals Ltd | 4 | 63 | |||||||||||||||||||||
Kintetsu World Express Inc | 17 | 407 | |||||||||||||||||||||
Knaus Tabbert Ag | 4 | 305 | |||||||||||||||||||||
Know It Ab | 7 | 274 | |||||||||||||||||||||
Koito Manufacturing Co Ltd | 1 | 3,003 | |||||||||||||||||||||
Koninklijke Dsm Nv | 1 | 4,797 | |||||||||||||||||||||
Koninklijke Philips Nv | 1 | 6,281 | |||||||||||||||||||||
Kose Corp | 1 | 2,762 | |||||||||||||||||||||
Kubota Corp | 1 | 6,027 | |||||||||||||||||||||
Kweichow Moutai Co Ltd | 7 | 2,150 | |||||||||||||||||||||
Kyocera Corp | 1 | 4,322 | |||||||||||||||||||||
Kyudenko Corp | 20 | 649 | |||||||||||||||||||||
Laboratorios Farmaceuticos Rovi Sa | 15 | 714 | |||||||||||||||||||||
Leeno Industrial Inc | 7 | 881 | |||||||||||||||||||||
Legrand Sa | 1 | 3,512 | |||||||||||||||||||||
Leovegas Ab | 123 | 521 | |||||||||||||||||||||
Lg Chem Ltd | 10 | 5,708 | |||||||||||||||||||||
Lg Household & Health Care Ltd | 1 | 5,444 | |||||||||||||||||||||
Li Ning Co Ltd | 342 | 2,349 | |||||||||||||||||||||
Lifco Ab | 4 | 424 | |||||||||||||||||||||
Life Corp | 15 | 533 | |||||||||||||||||||||
Lime Technologies Ab | 5 | 243 | |||||||||||||||||||||
Linde Plc | 1 | 4,275 | |||||||||||||||||||||
Localiza Rent A Car Sa | 98 | 1,299 | |||||||||||||||||||||
Locaweb Servicos De Internet S | 64 | 991 | |||||||||||||||||||||
Lojas Renner Sa | 425 | 3,558 | |||||||||||||||||||||
Londonmetric Property Plc | 173 | 543 | |||||||||||||||||||||
Lonking Holdings Ltd | 842 | 260 | |||||||||||||||||||||
Lonza Group Ag | 1 | 9,947 | |||||||||||||||||||||
L'Oreal Sa | 1 | 4,974 | |||||||||||||||||||||
Lotes Co Ltd | 48 | 810 | |||||||||||||||||||||
Lu Thai Textile Co Ltd | 41 | 20 | |||||||||||||||||||||
Lundin Mining Corp | 230 | 2,042 | |||||||||||||||||||||
Luxshare Precision Industry Co | 221 | 1,895 | |||||||||||||||||||||
Lvmh Moet Hennessy Louis Vuitton SE | 1 | 23,137 | |||||||||||||||||||||
Mabuchi Motor Co Ltd | 6 | 276 | |||||||||||||||||||||
Maeda Corp | 51 | 450 | |||||||||||||||||||||
Magazine Luiza Sa | 661 | 3,177 | |||||||||||||||||||||
Makita Corp | 1 | 5,728 | |||||||||||||||||||||
Man Group Plc/Jersey | 384 | 724 | |||||||||||||||||||||
Marcopolo Sa | 400 | 221 |
*Party-in-interest, as defined by ERISA
**The cost of participant-directed investments is not required to be disclosed
See accompanying Report of Independent Registered Public Accounting Firm
27
CITI RETIREMENT SAVINGS PLAN FOR PUERTO RICO
Schedule H, Line 4i – Schedule of Assets (Held at End of Year)
EIN: 66-0177415 Plan No. 002
December 31, 2020
Interest | Maturity | Number of | Cost | Current | |||||||||||||||||||
Identity of issuer | rate | date | shares/units | value** | value | ||||||||||||||||||
Matsumotokiyoshi Holdings Co Ltd | 6 | 275 | |||||||||||||||||||||
Media Do Co Ltd | 3 | 248 | |||||||||||||||||||||
Mediaset Espana Comunicacion Sa | 76 | 394 | |||||||||||||||||||||
Mediatek Inc | 192 | 5,100 | |||||||||||||||||||||
Medtronic Plc | 1 | 7,105 | |||||||||||||||||||||
Meggitt Plc | 317 | 2,020 | |||||||||||||||||||||
Meituan | 120 | 4,568 | |||||||||||||||||||||
Merck Kgaa | 1 | 9,326 | |||||||||||||||||||||
Metawater Co Ltd | 14 | 323 | |||||||||||||||||||||
Midea Group Co Ltd | 125 | 1,886 | |||||||||||||||||||||
Mimecast Ltd | 5 | 275 | |||||||||||||||||||||
Mips Ab | 3 | 192 | |||||||||||||||||||||
Mitsui Mining & Smelting Co Ltd | 11 | 405 | |||||||||||||||||||||
Mitsui-Soko Holdings Co Ltd | 11 | 236 | |||||||||||||||||||||
Modec Inc | 18 | 330 | |||||||||||||||||||||
Momo.Com Inc | 35 | 797 | |||||||||||||||||||||
Moneysupermarket.Com Group Plc | 77 | 274 | |||||||||||||||||||||
Montea C.V.A | 2 | 255 | |||||||||||||||||||||
Morgan Advanced Materials Plc | 83 | 352 | |||||||||||||||||||||
Morgan Sindall Group Plc | 18 | 376 | |||||||||||||||||||||
Morinaga & Co Ltd/Japan | 6 | 225 | |||||||||||||||||||||
Morphosys Ag | 2 | 277 | |||||||||||||||||||||
Mr Price Group Ltd | 1 | 3,244 | |||||||||||||||||||||
Mtu Aero Engines Ag | 1 | 2,321 | |||||||||||||||||||||
Musashi Seimitsu Industry Co Ltd | 25 | 393 | |||||||||||||||||||||
Mycronic Ab | 10 | 284 | |||||||||||||||||||||
Nakanishi Inc | 16 | 346 | |||||||||||||||||||||
Naspers Ltd | 59 | 12,042 | |||||||||||||||||||||
National Energy Services Reunited Corp | 22 | 218 | |||||||||||||||||||||
Naver Corp | 13 | 3,600 | |||||||||||||||||||||
Ncsoft Corp | 2 | 1,373 | |||||||||||||||||||||
Nestle India Ltd | 5 | 1,175 | |||||||||||||||||||||
Nestle Sa | 1 | 23,845 | |||||||||||||||||||||
Net One Systems Co Ltd | 17 | 605 | |||||||||||||||||||||
Netcompany Group A/S | 7 | 743 | |||||||||||||||||||||
Netease Inc | 169 | 4,130 | |||||||||||||||||||||
Network International Holdings | 65 | 291 | |||||||||||||||||||||
New Work Se | 1 | 319 | |||||||||||||||||||||
Nexity Sa | 22 | 960 | |||||||||||||||||||||
Nexon Co Ltd | 1 | 5,696 | |||||||||||||||||||||
Nextage Co Ltd | 50 | 636 | |||||||||||||||||||||
Nextdc Ltd | 42 | 395 |
*Party-in-interest, as defined by ERISA
**The cost of participant-directed investments is not required to be disclosed
See accompanying Report of Independent Registered Public Accounting Firm
28
CITI RETIREMENT SAVINGS PLAN FOR PUERTO RICO
Schedule H, Line 4i – Schedule of Assets (Held at End of Year)
EIN: 66-0177415 Plan No. 002
December 31, 2020
Interest | Maturity | Number of | Cost | Current | |||||||||||||||||||
Identity of issuer | rate | date | shares/units | value** | value | ||||||||||||||||||
Ngk Spark Plug Co Ltd | 14 | 246 | |||||||||||||||||||||
Nhn Kcp Corp | 13 | 805 | |||||||||||||||||||||
Nice Information Service Co Ltd | 30 | 683 | |||||||||||||||||||||
Nifco Inc/Japan | 9 | 343 | |||||||||||||||||||||
Nihon Unisys Ltd | 21 | 837 | |||||||||||||||||||||
Ninety One Plc | 25 | 78 | |||||||||||||||||||||
Nintendo Co Ltd | 1 | 5,876 | |||||||||||||||||||||
Nippon Ceramic Co Ltd | 7 | 188 | |||||||||||||||||||||
Nippon Light Metal Holdings Co | 17 | 314 | |||||||||||||||||||||
Nippon Seiki Co Ltd | 23 | 256 | |||||||||||||||||||||
Nippon Soda Co Ltd | 8 | 229 | |||||||||||||||||||||
Nipro Corp | 46 | 545 | |||||||||||||||||||||
Nitto Boseki Co Ltd | 5 | 228 | |||||||||||||||||||||
Nof Corp | 8 | 402 | |||||||||||||||||||||
Nojima Corp | 12 | 337 | |||||||||||||||||||||
Nomad Foods Ltd | 31 | 799 | |||||||||||||||||||||
Nordea Bank Abp | 1 | 2,976 | |||||||||||||||||||||
Norma Group Se | 9 | 437 | |||||||||||||||||||||
Norwegian Finans Holding Asa | 54 | 460 | |||||||||||||||||||||
Nova Ljubljanska Banka Dd | 106 | 1,167 | |||||||||||||||||||||
Novagold Resources Inc | 35 | 334 | |||||||||||||||||||||
Novanta Inc | 6 | 736 | |||||||||||||||||||||
Novartis Ag | 1 | 11,788 | |||||||||||||||||||||
Novo Nordisk A/S | 1 | 7,191 | |||||||||||||||||||||
Novocure Ltd | 1 | 215 | |||||||||||||||||||||
Nrw Holdings Ltd | 160 | 360 | |||||||||||||||||||||
Obara Group Inc | 9 | 350 | |||||||||||||||||||||
Ocado Group Plc | 43 | 1,354 | |||||||||||||||||||||
Oci Nv | 161 | 3,103 | |||||||||||||||||||||
Offcn Education Technology Co | 241 | 1,294 | |||||||||||||||||||||
Oi Sa | 6,223 | 2,636 | |||||||||||||||||||||
Olympus Corp | 1 | 6,028 | |||||||||||||||||||||
Oneconnect Financial Technology Co Ltd | 106 | 2,080 | |||||||||||||||||||||
Ooh!Media Ltd | 175 | 224 | |||||||||||||||||||||
Organo Corp | 7 | 396 | |||||||||||||||||||||
Origin Enterprises Plc | 40 | 151 | |||||||||||||||||||||
Osaka Soda Co Ltd | 7 | 185 | |||||||||||||||||||||
Oxford Instruments Plc | 14 | 387 | |||||||||||||||||||||
Oz Minerals Ltd | 23 | 330 | |||||||||||||||||||||
Ozon Holdings Plc | 74 | 3,073 | |||||||||||||||||||||
Paltac Corp | 5 | 269 | |||||||||||||||||||||
Parade Technologies Ltd | 109 | 4,295 |
*Party-in-interest, as defined by ERISA
**The cost of participant-directed investments is not required to be disclosed
See accompanying Report of Independent Registered Public Accounting Firm
29
CITI RETIREMENT SAVINGS PLAN FOR PUERTO RICO
Schedule H, Line 4i – Schedule of Assets (Held at End of Year)
EIN: 66-0177415 Plan No. 002
December 31, 2020
Interest | Maturity | Number of | Cost | Current | |||||||||||||||||||
Identity of issuer | rate | date | shares/units | value** | value | ||||||||||||||||||
Parex Resources Inc | 15 | 201 | |||||||||||||||||||||
Pendal Group Ltd | 29 | 148 | |||||||||||||||||||||
Per Aarsleff Holding A/S | 9 | 465 | |||||||||||||||||||||
Pernod Ricard Sa | 19 | 17,145 | |||||||||||||||||||||
Persol Holdings Co Ltd | 15 | 264 | |||||||||||||||||||||
Pharma Mar Sa | 2 | 173 | |||||||||||||||||||||
Pharming Group Nv | 158 | 246 | |||||||||||||||||||||
Pi Industries Ltd | 23 | 706 | |||||||||||||||||||||
Pidilite Industries Ltd | 49 | 1,173 | |||||||||||||||||||||
Ping An Healthcare And Technology Co Ltd | 21 | 260 | |||||||||||||||||||||
Ping An Insurance Group Co Of | 1 | 8,214 | |||||||||||||||||||||
Playtech Plc | 87 | 479 | |||||||||||||||||||||
Plus500 Ltd | 10 | 193 | |||||||||||||||||||||
Polymetal International Plc | 187 | 4,361 | |||||||||||||||||||||
Polypipe Group Plc | 39 | 314 | |||||||||||||||||||||
Posco | 9 | 2,360 | |||||||||||||||||||||
Poya International Co Ltd | 22 | 459 | |||||||||||||||||||||
Pr Times Inc | 9 | 286 | |||||||||||||||||||||
Prosegur Cash Sa | 175 | 172 | |||||||||||||||||||||
Prosiebensat.1 Media Se | 1 | 3,873 | |||||||||||||||||||||
Prudential Plc | 1 | 4,395 | |||||||||||||||||||||
Psp Swiss Property Ag | 5 | 662 | |||||||||||||||||||||
Qiagen Nv | 1 | 2,866 | |||||||||||||||||||||
Qt Group Oyj | 5 | 338 | |||||||||||||||||||||
Quotient Ltd | 11 | 55 | |||||||||||||||||||||
Radiant Opto-Electronics Corp | 146 | 593 | |||||||||||||||||||||
Randstad Nv | 1 | 3,723 | |||||||||||||||||||||
Realtek Semiconductor Corp | 83 | 1,155 | |||||||||||||||||||||
Reckitt Benckiser Group Plc | 1 | 4,146 | |||||||||||||||||||||
Relia Inc | 33 | 406 | |||||||||||||||||||||
Reliance Industries Ltd | 291 | 12,701 | |||||||||||||||||||||
Relx Plc | 1 | 13,803 | |||||||||||||||||||||
Rengo Co Ltd | 39 | 323 | |||||||||||||||||||||
Renishaw Plc | 7 | 553 | |||||||||||||||||||||
Resorttrust Inc | 20 | 279 | |||||||||||||||||||||
Resurs Holding Ab | 74 | 406 | |||||||||||||||||||||
Rheinmetall Ag | 6 | 597 | |||||||||||||||||||||
Richemont(Cie Fin) Wts | 1 | 26 | |||||||||||||||||||||
Rightmove Plc | 79 | 702 | |||||||||||||||||||||
Rio Tinto Plc | 1 | 4,075 | |||||||||||||||||||||
Roche Holding Ag | 1 | 11,715 |
*Party-in-interest, as defined by ERISA
**The cost of participant-directed investments is not required to be disclosed
See accompanying Report of Independent Registered Public Accounting Firm
30
CITI RETIREMENT SAVINGS PLAN FOR PUERTO RICO
Schedule H, Line 4i – Schedule of Assets (Held at End of Year)
EIN: 66-0177415 Plan No. 002
December 31, 2020
Interest | Maturity | Number of | Cost | Current | |||||||||||||||||||
Identity of issuer | rate | date | shares/units | value** | value | ||||||||||||||||||
Rolls-Royce Holdings Plc | 1 | 2,623 | |||||||||||||||||||||
Rotork Plc | 146 | 635 | |||||||||||||||||||||
Round One Corp | 31 | 276 | |||||||||||||||||||||
Royal Unibrew A/S | 5 | 604 | |||||||||||||||||||||
Ryanair Holdings Plc | 1 | 9,834 | |||||||||||||||||||||
Ryohin Keikaku Co Ltd | 14 | 3,501 | |||||||||||||||||||||
Safaricom Plc | 1,989 | 624 | |||||||||||||||||||||
Safestore Holdings Plc | 39 | 419 | |||||||||||||||||||||
Safran Sa | 42 | 5,928 | |||||||||||||||||||||
Sakata Inx Corp | 25 | 278 | |||||||||||||||||||||
Sakata Seed Corp | 4 | 136 | |||||||||||||||||||||
Sampo Oyj | 58 | 2,461 | |||||||||||||||||||||
Samsung Electronics Co Ltd | 552 | 54,384 | |||||||||||||||||||||
Samsung Sdi Co Ltd | 2 | 1,390 | |||||||||||||||||||||
Sandfire Resources Ltd | 63 | 262 | |||||||||||||||||||||
Sands China Ltd | 1 | 2,998 | |||||||||||||||||||||
Sandvik Ab | 1 | 3,701 | |||||||||||||||||||||
Sanofi | 75 | 7,175 | |||||||||||||||||||||
Sansan Inc | 6 | 379 | |||||||||||||||||||||
Sanwa Holdings Corp | 35 | 407 | |||||||||||||||||||||
Sap Se | 1 | 8,583 | |||||||||||||||||||||
Sapiens International Corp Nv | 8 | 255 | |||||||||||||||||||||
Savills Plc | 238 | 3,108 | |||||||||||||||||||||
Sawai Pharmaceutical Co Ltd | 9 | 418 | |||||||||||||||||||||
Schneider Electric Se | 1 | 13,196 | |||||||||||||||||||||
Scout24 Ag | 10 | 798 | |||||||||||||||||||||
Sea Ltd | 39 | 7,813 | |||||||||||||||||||||
Sega Sammy Holdings Inc | 10 | 151 | |||||||||||||||||||||
Seiren Co Ltd | 19 | 289 | |||||||||||||||||||||
Semperit Ag Holding | 6 | 181 | |||||||||||||||||||||
Sensirion Holding Ag | 5 | 294 | |||||||||||||||||||||
Seven Generations Energy Ltd | 16 | 83 | |||||||||||||||||||||
Sg Micro Corp | 17 | 671 | |||||||||||||||||||||
Shandong Weigao Group Medical | 184 | 416 | |||||||||||||||||||||
Shanghai M&G Stationery Inc | 59 | 806 | |||||||||||||||||||||
Shenzhen Inovance Technology Co Ltd | 97 | 1,391 | |||||||||||||||||||||
Shenzhen Mindray Bio-Medical Electronics Co Ltd | 24 | 1,562 | |||||||||||||||||||||
Shin-Etsu Chemical Co Ltd | 1 | 2,609 | |||||||||||||||||||||
Shop Apotheke Europe Nv | 6 | 1,027 | |||||||||||||||||||||
Shopify Inc | 1 | 12,629 | |||||||||||||||||||||
Shopping Centres Australasia Property Group Re Ltd | 120 | 233 |
*Party-in-interest, as defined by ERISA
**The cost of participant-directed investments is not required to be disclosed
See accompanying Report of Independent Registered Public Accounting Firm
31
CITI RETIREMENT SAVINGS PLAN FOR PUERTO RICO
Schedule H, Line 4i – Schedule of Assets (Held at End of Year)
EIN: 66-0177415 Plan No. 002
December 31, 2020
Interest | Maturity | Number of | Cost | Current | |||||||||||||||||||
Identity of issuer | rate | date | shares/units | value** | value | ||||||||||||||||||
Sibanye Stillwater Ltd | 1,945 | 7,946 | |||||||||||||||||||||
Sichuan Teway Food Group Co Ltd | 66 | 825 | |||||||||||||||||||||
Siemens Gamesa Renewable Energy Sa | 1 | 4,935 | |||||||||||||||||||||
Sig Combibloc Group Ag | 16 | 361 | |||||||||||||||||||||
Signify Nv | 34 | 1,452 | |||||||||||||||||||||
Sika Ag | 1 | 14,010 | |||||||||||||||||||||
Silergy Corp | 32 | 2,742 | |||||||||||||||||||||
Sinbon Electronics Co Ltd | 122 | 934 | |||||||||||||||||||||
Sitc International Holdings Co | 635 | 1,371 | |||||||||||||||||||||
Sk Hynix Inc | 31 | 3,395 | |||||||||||||||||||||
Sk Innovation Co Ltd | 17 | 2,991 | |||||||||||||||||||||
Smart Global Holdings Inc | 6 | 232 | |||||||||||||||||||||
Smartgroup Corp Ltd | 136 | 718 | |||||||||||||||||||||
Smc Corp | 1 | 1,163 | |||||||||||||||||||||
Smith & Nephew Plc | 1 | 8,580 | |||||||||||||||||||||
Smiths Group Plc | 1 | 2,347 | |||||||||||||||||||||
Sofina Sa | 4 | 1,234 | |||||||||||||||||||||
Sparebank 1 Nord Norge | 23 | 199 | |||||||||||||||||||||
Spie Sa | 13 | 278 | |||||||||||||||||||||
Spin Master Corp | 16 | 355 | |||||||||||||||||||||
Spirax-Sarco Engineering Plc | 3 | 454 | |||||||||||||||||||||
Spirent Communications Plc | 222 | 801 | |||||||||||||||||||||
Srf Ltd | 12 | 940 | |||||||||||||||||||||
Ssp Group Plc | 42 | 192 | |||||||||||||||||||||
Stabilus Sa | 15 | 1,067 | |||||||||||||||||||||
Stanley Electric Co Ltd | 11 | 349 | |||||||||||||||||||||
Stantec Inc | 22 | 716 | |||||||||||||||||||||
Steadfast Group Ltd | 132 | 407 | |||||||||||||||||||||
Steris Plc | 1 | 8,251 | |||||||||||||||||||||
Stoneco Ltd | 46 | 3,829 | |||||||||||||||||||||
Sumitomo Mitsui Financial Group | 1�� | 2,355 | |||||||||||||||||||||
Sumitomo Seika Chemicals Co Ltd | 5 | 187 | |||||||||||||||||||||
Sunac China Holdings Ltd | 1,308 | 4,832 | |||||||||||||||||||||
Suncor Energy Inc | 242 | 5,722 | |||||||||||||||||||||
Swcc Showa Holdings Co Ltd | 13 | 215 | |||||||||||||||||||||
Sydbank As | 19 | 410 | |||||||||||||||||||||
Syncona Ltd | 85 | 303 | |||||||||||||||||||||
Systena Corp | 22 | 470 | |||||||||||||||||||||
Taikisha Ltd | 9 | 232 | |||||||||||||||||||||
Taiko Pharmaceutical Co Ltd | 19 | 289 | |||||||||||||||||||||
Taiwan Semiconductor Manufacturing Company | 1,596 | 69,401 |
*Party-in-interest, as defined by ERISA
**The cost of participant-directed investments is not required to be disclosed
See accompanying Report of Independent Registered Public Accounting Firm
32
CITI RETIREMENT SAVINGS PLAN FOR PUERTO RICO
Schedule H, Line 4i – Schedule of Assets (Held at End of Year)
EIN: 66-0177415 Plan No. 002
December 31, 2020
Interest | Maturity | Number of | Cost | Current | |||||||||||||||||||
Identity of issuer | rate | date | shares/units | value** | value | ||||||||||||||||||
Taiyo Yuden Co Ltd | 6 | 286 | |||||||||||||||||||||
Takara Bio Inc | 14 | 379 | |||||||||||||||||||||
Takuma Co Ltd | 15 | 263 | |||||||||||||||||||||
Tamron Co Ltd | 10 | 177 | |||||||||||||||||||||
Tata Consultancy Services Ltd | 48 | 1,875 | |||||||||||||||||||||
Tata Consumer Products Ltd | 102 | 822 | |||||||||||||||||||||
Tate & Lyle Plc | 140 | 1,293 | |||||||||||||||||||||
Tcs Group Holding Plc | 33 | 1,099 | |||||||||||||||||||||
Tecan Group Ag | 1 | 622 | |||||||||||||||||||||
Telekom Austria Ag | 37 | 283 | |||||||||||||||||||||
Telenor Asa | 1 | 3,879 | |||||||||||||||||||||
Telkom Indonesia Persero Tbk P | 1 | 3,642 | |||||||||||||||||||||
Tencent Holdings Ltd | 342 | 49,838 | |||||||||||||||||||||
Terumo Corp | 1 | 6,224 | |||||||||||||||||||||
Tesco Plc | 1 | 10,416 | |||||||||||||||||||||
Tessenderlo Group Sa | 7 | 293 | |||||||||||||||||||||
T-Gaia Corp | 13 | 239 | |||||||||||||||||||||
Theravance Biopharma Inc | 4 | 69 | |||||||||||||||||||||
Thg Plc | 51 | 546 | |||||||||||||||||||||
Thule Group Ab | 28 | 1,061 | |||||||||||||||||||||
Tikehau Capital Sca | 12 | 363 | |||||||||||||||||||||
Times Neighborhood Holdings Ltd | 1,656 | 1,551 | |||||||||||||||||||||
Tinexta Spa | 17 | 425 | |||||||||||||||||||||
Tisco Financial Group Pcl | 135 | 398 | |||||||||||||||||||||
Tmx Group Ltd | 24 | 2,437 | |||||||||||||||||||||
Toei Animation Co Ltd | 5 | 379 | |||||||||||||||||||||
Toei Co Ltd | 4 | 621 | |||||||||||||||||||||
Tokai Holdings Corp | 22 | 220 | |||||||||||||||||||||
Tokmanni Group Corp | 40 | 788 | |||||||||||||||||||||
Tokuyama Corp | 31 | 687 | |||||||||||||||||||||
Tokyo Tatemono Co Ltd | 29 | 399 | |||||||||||||||||||||
Tomy Co Ltd | 43 | 377 | |||||||||||||||||||||
Topchoice Medical Corp | 23 | 987 | |||||||||||||||||||||
Topsports International Holdin | 425 | 636 | |||||||||||||||||||||
Tosho Co Ltd | 20 | 298 | |||||||||||||||||||||
Totvs Sa | 163 | 903 | |||||||||||||||||||||
Towa Pharmaceutical Co Ltd | 14 | 260 | |||||||||||||||||||||
Toyo Tire Corp | 23 | 343 | |||||||||||||||||||||
Trainline Plc | 79 | 502 | |||||||||||||||||||||
Trelleborg Ab | 15 | 341 | |||||||||||||||||||||
Tricon Residential Inc | 61 | 547 | |||||||||||||||||||||
Ts Tech Co Ltd | 20 | 604 |
*Party-in-interest, as defined by ERISA
**The cost of participant-directed investments is not required to be disclosed
See accompanying Report of Independent Registered Public Accounting Firm
33
CITI RETIREMENT SAVINGS PLAN FOR PUERTO RICO
Schedule H, Line 4i – Schedule of Assets (Held at End of Year)
EIN: 66-0177415 Plan No. 002
December 31, 2020
Interest | Maturity | Number of | Cost | Current | |||||||||||||||||||
Identity of issuer | rate | date | shares/units | value** | value | ||||||||||||||||||
Tsingtao Brewery Co Ltd | 46 | 482 | |||||||||||||||||||||
Turk Telekomunikasyon As | 234 | 269 | |||||||||||||||||||||
Turkiye Garanti Bankasi As | 948 | 1,322 | |||||||||||||||||||||
Tyman Plc | 64 | 304 | |||||||||||||||||||||
Ubs Group Ag | 1 | 5,862 | |||||||||||||||||||||
Unilever Plc | 1 | 5,100 | |||||||||||||||||||||
Unimicron Technology Corp | 870 | 2,705 | |||||||||||||||||||||
Unipol Gruppo Spa | 97 | 462 | |||||||||||||||||||||
Uniqure Nv | 3 | 123 | |||||||||||||||||||||
United Laboratories International Holdings Ltd | 306 | 217 | |||||||||||||||||||||
Vale Sa | 487 | 8,161 | |||||||||||||||||||||
Valmet Oyj | 63 | 1,812 | |||||||||||||||||||||
Van Lanschot Kempen Nv | 10 | 247 | |||||||||||||||||||||
Varun Beverages Ltd | 49 | 616 | |||||||||||||||||||||
Verallia Sa | 14 | 481 | |||||||||||||||||||||
Vestas Wind Systems A/S | 22 | 5,269 | |||||||||||||||||||||
Vesuvius Plc | 32 | 232 | |||||||||||||||||||||
Victrex Plc | 16 | 501 | |||||||||||||||||||||
Vidrala Sa | 4 | 521 | |||||||||||||||||||||
Viemed Healthcare Inc | 16 | 124 | |||||||||||||||||||||
Vinci Sa | 26 | 2,590 | |||||||||||||||||||||
Vipshop Holdings Ltd | 14 | 382 | |||||||||||||||||||||
Vistry Group Plc | 32 | 412 | |||||||||||||||||||||
Vitrolife Ab | 16 | 422 | |||||||||||||||||||||
Vivendi Se | 113 | 3,649 | |||||||||||||||||||||
Volkswagen Ag | 32 | 5,928 | |||||||||||||||||||||
Voltronic Power Technology Corporation | 28 | 1,117 | |||||||||||||||||||||
Vonovia Se | 1 | 3,226 | |||||||||||||||||||||
Vt Holdings Co Ltd | 34 | 142 | |||||||||||||||||||||
Wacom Co Ltd | 41 | 344 | |||||||||||||||||||||
Wal-Mart De Mexico Sab De Cv | 330 | 927 | |||||||||||||||||||||
Wandisco Plc | 17 | 111 | |||||||||||||||||||||
Watches Of Switzerland Group Plc | 63 | 497 | |||||||||||||||||||||
Weg Sa | 113 | 1,649 | |||||||||||||||||||||
Weimob Inc | 441 | 794 | |||||||||||||||||||||
Weir Group Plc | 1 | 3,808 | |||||||||||||||||||||
White Mountains Insurance Group Ltd | 1 | 1,156 | |||||||||||||||||||||
Wihlborgs Fastigheter Ab | 20 | 453 | |||||||||||||||||||||
Win Semiconductors Corp | 90 | 1,102 | |||||||||||||||||||||
Wiwynn Corp | 29 | 721 | |||||||||||||||||||||
Wix.Com Ltd | 3 | 861 |
*Party-in-interest, as defined by ERISA
**The cost of participant-directed investments is not required to be disclosed
See accompanying Report of Independent Registered Public Accounting Firm
34
CITI RETIREMENT SAVINGS PLAN FOR PUERTO RICO
Schedule H, Line 4i – Schedule of Assets (Held at End of Year)
EIN: 66-0177415 Plan No. 002
December 31, 2020
Interest | Maturity | Number of | Cost | Current | |||||||||||||||||||
Identity of issuer | rate | date | shares/units | value** | value | ||||||||||||||||||
Wizz Air Holdings Plc | 41 | 2,579 | |||||||||||||||||||||
Wolters Kluwer Nv | 1 | 3,674 | |||||||||||||||||||||
Wonik Ips Co Ltd | 16 | 637 | |||||||||||||||||||||
Worley Ltd | 36 | 321 | |||||||||||||||||||||
Wuliangye Yibin Co Ltd | 65 | 2,897 | |||||||||||||||||||||
Wuxi Apptec Co Ltd | 81 | 1,587 | |||||||||||||||||||||
Wuxi Biologics Cayman Inc | 245 | 11,282 | |||||||||||||||||||||
Xero Ltd | 4 | 479 | |||||||||||||||||||||
Xinyi Solar Holdings Ltd | 588 | 1,536 | |||||||||||||||||||||
Xpeng Inc | 36 | 1,556 | |||||||||||||||||||||
Yageo Corp | 189 | 3,478 | |||||||||||||||||||||
Yamaha Corp | 1 | 4,876 | |||||||||||||||||||||
Yandex Nv | 77 | 5,356 | |||||||||||||||||||||
Yellow Hat Ltd | 19 | 312 | |||||||||||||||||||||
Yifeng Pharmacy Chain Co Ltd | 43 | 591 | |||||||||||||||||||||
Yihai International Holding Lt | 61 | 902 | |||||||||||||||||||||
Yougov Plc | 51 | 730 | |||||||||||||||||||||
Z Holdings Corp | 1 | 2,645 | |||||||||||||||||||||
Zhangzhou Pientzehuang Pharmac | 33 | 1,334 | |||||||||||||||||||||
Zhongsheng Group Holdings Ltd | 355 | 2,524 | |||||||||||||||||||||
Zto Express Cayman Inc | 98 | 2,860 | |||||||||||||||||||||
Zurich Insurance Group Ag | 1 | 5,281 | |||||||||||||||||||||
Zymeworks Inc | 2 | 114 | |||||||||||||||||||||
Total non-U.S. equities | $ | 1,730,105 | |||||||||||||||||||||
U.S. equities: | |||||||||||||||||||||||
1-800-Flowers.Com Inc | 2 | $ | 64 | ||||||||||||||||||||
1Life Healthcare Inc | 13 | 572 | |||||||||||||||||||||
8X8 Inc | 6 | 194 | |||||||||||||||||||||
A10 Networks Inc | 54 | 535 | |||||||||||||||||||||
Aaon Inc | 4 | 235 | |||||||||||||||||||||
Abeona Therapeutics Inc | 21 | 33 | |||||||||||||||||||||
Abm Industries Inc | 155 | 5,870 | |||||||||||||||||||||
Acacia Communications Inc | 4 | 293 | |||||||||||||||||||||
Acadia Pharmaceuticals Inc | 11 | 598 | |||||||||||||||||||||
Acadia Realty Trust | 175 | 2,483 | |||||||||||||||||||||
Accel Entertainment Inc | 7 | 68 | |||||||||||||||||||||
Acceleron Pharma Inc | 4 | 566 | |||||||||||||||||||||
Acco Brands Corp | 61 | 519 | |||||||||||||||||||||
Accuray Inc | 5 | 22 | |||||||||||||||||||||
Aci Worldwide Inc | 16 | 635 | |||||||||||||||||||||
Acuity Brands Inc | 27 | 3,278 |
*Party-in-interest, as defined by ERISA
**The cost of participant-directed investments is not required to be disclosed
See accompanying Report of Independent Registered Public Accounting Firm
35
CITI RETIREMENT SAVINGS PLAN FOR PUERTO RICO
Schedule H, Line 4i – Schedule of Assets (Held at End of Year)
EIN: 66-0177415 Plan No. 002
December 31, 2020
Interest | Maturity | Number of | Cost | Current | |||||||||||||||||||
Identity of issuer | rate | date | shares/units | value** | value | ||||||||||||||||||
Adapthealth Corp | 5 | 179 | |||||||||||||||||||||
Addus Homecare Corp | 4 | 508 | |||||||||||||||||||||
Adma Biologics Inc | 21 | 42 | |||||||||||||||||||||
Advanced Drainage Systems Inc | 6 | 504 | |||||||||||||||||||||
Advanced Energy Industries Inc | 9 | 887 | |||||||||||||||||||||
Adverum Biotechnologies Inc | 11 | 116 | |||||||||||||||||||||
Aecom | 12 | 581 | |||||||||||||||||||||
Aegion Corp | 31 | 584 | |||||||||||||||||||||
Aerie Pharmaceuticals Inc | 3 | 40 | |||||||||||||||||||||
Aerojet Rocketdyne Holdings Inc | 23 | 1,233 | |||||||||||||||||||||
Aerovironment Inc | 7 | 637 | |||||||||||||||||||||
Agenus Inc | 59 | 187 | |||||||||||||||||||||
Agios Pharmaceuticals Inc | 4 | 167 | |||||||||||||||||||||
Alarm.Com Holdings Inc | 2 | 302 | |||||||||||||||||||||
Albany International Corp | 6 | 395 | |||||||||||||||||||||
Albireo Pharma Inc | 5 | 196 | |||||||||||||||||||||
Alcoa Corp | 12 | 276 | |||||||||||||||||||||
Alector Inc | 5 | 71 | |||||||||||||||||||||
Alexandria Real Estate Equities | 47 | 8,357 | |||||||||||||||||||||
Allakos Inc | 1 | 115 | |||||||||||||||||||||
Allegiant Travel Co | 1 | 96 | |||||||||||||||||||||
Allied Motion Technologies Inc | 2 | 111 | |||||||||||||||||||||
Allogene Therapeutics Inc | 14 | 350 | |||||||||||||||||||||
Alphatec Holdings Inc | 7 | 105 | |||||||||||||||||||||
Amedisys Inc | 4 | 1,249 | |||||||||||||||||||||
American Homes 4 Rent | 176 | 5,286 | |||||||||||||||||||||
American Renal Associates Holdings | 1 | 16 | |||||||||||||||||||||
American States Water Co | 3 | 254 | |||||||||||||||||||||
American Superconductor Corp | 2 | 50 | |||||||||||||||||||||
Americold Realty Trust | 272 | 10,142 | |||||||||||||||||||||
Ameris Bancorp | 2 | 89 | |||||||||||||||||||||
Amicus Therapeutics Inc | 45 | 1,042 | |||||||||||||||||||||
Amn Healthcare Services Inc | 9 | 655 | |||||||||||||||||||||
Apache Corp | 4 | 63 | |||||||||||||||||||||
Apellis Pharmaceuticals Inc | 4 | 234 | |||||||||||||||||||||
Appfolio Inc | 1 | 205 | |||||||||||||||||||||
Arcturus Therapeutics Holdings | 1 | 51 | |||||||||||||||||||||
Arcus Biosciences Inc | 2 | 43 | |||||||||||||||||||||
Ares Commercial Real Estate Co | 18 | 218 | |||||||||||||||||||||
Array Technologies Inc | 7 | 287 | |||||||||||||||||||||
Arrowhead Pharmaceuticals Inc | 8 | 580 | |||||||||||||||||||||
Artisan Partners Asset Management | 13 | 661 |
*Party-in-interest, as defined by ERISA
**The cost of participant-directed investments is not required to be disclosed
See accompanying Report of Independent Registered Public Accounting Firm
36
CITI RETIREMENT SAVINGS PLAN FOR PUERTO RICO
Schedule H, Line 4i – Schedule of Assets (Held at End of Year)
EIN: 66-0177415 Plan No. 002
December 31, 2020
Interest | Maturity | Number of | Cost | Current | |||||||||||||||||||
Identity of issuer | rate | date | shares/units | value** | value | ||||||||||||||||||
Arvinas Inc | 11 | 937 | |||||||||||||||||||||
Asbury Automotive Group Inc | 6 | 936 | |||||||||||||||||||||
Asgn Inc | 23 | 1,889 | |||||||||||||||||||||
Aspen Technology Inc | 4 | 469 | |||||||||||||||||||||
Assembly Biosciences Inc | 7 | 43 | |||||||||||||||||||||
Atara Biotherapeutics Inc | 12 | 242 | |||||||||||||||||||||
Athenex Inc | 5 | 57 | |||||||||||||||||||||
Atkore Inc | 26 | 1,042 | |||||||||||||||||||||
Atricure Inc | 3 | 171 | |||||||||||||||||||||
Avalonbay Communities Inc | 44 | 7,008 | |||||||||||||||||||||
Avaya Holdings Corp | 16 | 309 | |||||||||||||||||||||
Avid Bioservices Inc | 9 | 105 | |||||||||||||||||||||
Avient Corp | 11 | 429 | |||||||||||||||||||||
Avis Budget Group Inc | 2 | 90 | |||||||||||||||||||||
Axcelis Technologies Inc | 10 | 290 | |||||||||||||||||||||
Axon Enterprise Inc | 1 | 91 | |||||||||||||||||||||
Axsome Therapeutics Inc | 4 | 338 | |||||||||||||||||||||
Badger Meter Inc | 5 | 468 | |||||||||||||||||||||
Balchem Corp | 1 | 104 | |||||||||||||||||||||
Bandwidth Inc | 2 | 268 | |||||||||||||||||||||
Bankunited Inc | 36 | 1,254 | |||||||||||||||||||||
Barrett Business Services Inc | 1 | 74 | |||||||||||||||||||||
Belden Inc | 24 | 1,025 | |||||||||||||||||||||
Berry Global Group Inc | 5 | 264 | |||||||||||||||||||||
Big Lots Inc | 2 | 99 | |||||||||||||||||||||
Biocryst Pharmaceuticals Inc | 38 | 283 | |||||||||||||||||||||
Biodelivery Sciences International | 53 | 222 | |||||||||||||||||||||
Biotelemetry Inc | 1 | 67 | |||||||||||||||||||||
Bj'S Wholesale Club Holdings Inc | 23 | 853 | |||||||||||||||||||||
Blackbaud Inc | 11 | 665 | |||||||||||||||||||||
Blackline Inc | 5 | 575 | |||||||||||||||||||||
Blackstone Mortgage Trust Inc | 34 | 929 | |||||||||||||||||||||
Bluebird Bio Inc | 1 | 34 | |||||||||||||||||||||
Blueprint Medicines Corp | 12 | 1,350 | |||||||||||||||||||||
Bmc Stock Holdings Inc | 24 | 1,263 | |||||||||||||||||||||
Boise Cascade Co | 1 | 59 | |||||||||||||||||||||
Booz Allen Hamilton Holding Co | 8 | 717 | |||||||||||||||||||||
Boston Beer Co Inc | 1 | 1,034 | |||||||||||||||||||||
Boston Properties Inc | 65 | 6,147 | |||||||||||||||||||||
Box Inc | 40 | 718 | |||||||||||||||||||||
Boyd Gaming Corp | 9 | 396 | |||||||||||||||||||||
Bridgebio Pharma Inc | 1 | 57 |
*Party-in-interest, as defined by ERISA
**The cost of participant-directed investments is not required to be disclosed
See accompanying Report of Independent Registered Public Accounting Firm
37
CITI RETIREMENT SAVINGS PLAN FOR PUERTO RICO
Schedule H, Line 4i – Schedule of Assets (Held at End of Year)
EIN: 66-0177415 Plan No. 002
December 31, 2020
Interest | Maturity | Number of | Cost | Current | |||||||||||||||||||
Identity of issuer | rate | date | shares/units | value** | value | ||||||||||||||||||
Bright Horizons Family Solutions Inc | 2 | 372 | |||||||||||||||||||||
Brightcove Inc | 4 | 72 | |||||||||||||||||||||
Brinker International Inc | 2 | 102 | |||||||||||||||||||||
Brink'S Co/The | 2 | 157 | |||||||||||||||||||||
Brixmor Property Group Inc | 484 | 8,005 | |||||||||||||||||||||
Broadridge Financial Solutions | 1 | 175 | |||||||||||||||||||||
Brooks Automation Inc | 6 | 419 | |||||||||||||||||||||
Bruker Corp | 5 | 290 | |||||||||||||||||||||
Brunswick Corp | 5 | 419 | |||||||||||||||||||||
Builders Firstsource Inc | 29 | 1,180 | |||||||||||||||||||||
Burlington Stores Inc | 1 | 355 | |||||||||||||||||||||
Cable One Inc | 1 | 870 | |||||||||||||||||||||
Caci International Inc | 3 | 757 | |||||||||||||||||||||
Cactus Inc | 5 | 136 | |||||||||||||||||||||
Caesars Entertainment Inc | 5 | 377 | |||||||||||||||||||||
Cai International Inc | 1 | 46 | |||||||||||||||||||||
Callaway Golf Co | 3 | 62 | |||||||||||||||||||||
Camping World Holdings Inc | 3 | 66 | |||||||||||||||||||||
Cantel Medical Corp | 5 | 410 | |||||||||||||||||||||
Caredx Inc | 5 | 368 | |||||||||||||||||||||
Cargurus Inc | 4 | 131 | |||||||||||||||||||||
Carlisle Cos Inc | 21 | 3,287 | |||||||||||||||||||||
Carparts.Com Inc | 4 | 48 | |||||||||||||||||||||
Casella Waste Systems Inc | 12 | 766 | |||||||||||||||||||||
Casey'S General Stores Inc | 4 | 759 | |||||||||||||||||||||
Cass Information Systems Inc | 2 | 67 | |||||||||||||||||||||
Castle Biosciences Inc | 4 | 250 | |||||||||||||||||||||
Catalent Inc | 5 | 571 | |||||||||||||||||||||
Catalyst Pharmaceuticals Inc | 38 | 128 | |||||||||||||||||||||
Cavco Industries Inc | 3 | 438 | |||||||||||||||||||||
Cboe Global Markets Inc | 3 | 277 | |||||||||||||||||||||
Celsius Holdings Inc | 1 | 69 | |||||||||||||||||||||
Cerence Inc | 55 | 5,573 | |||||||||||||||||||||
Ceridian Hcm Holding Inc | 1 | 94 | |||||||||||||||||||||
Certara Inc | 2 | 78 | |||||||||||||||||||||
Championx Corp | 65 | 997 | |||||||||||||||||||||
Change Healthcare Inc | 119 | 2,221 | |||||||||||||||||||||
Choice Hotels International Inc | 2 | 436 | |||||||||||||||||||||
Chart Industries Inc | 2 | 195 | |||||||||||||||||||||
Chase Corp | 3 | 264 | |||||||||||||||||||||
Chemed Corp | 2 | 803 | |||||||||||||||||||||
Chemocentryx Inc | 8 | 490 |
*Party-in-interest, as defined by ERISA
**The cost of participant-directed investments is not required to be disclosed
See accompanying Report of Independent Registered Public Accounting Firm
38
CITI RETIREMENT SAVINGS PLAN FOR PUERTO RICO
Schedule H, Line 4i – Schedule of Assets (Held at End of Year)
EIN: 66-0177415 Plan No. 002
December 31, 2020
Interest | Maturity | Number of | Cost | Current | |||||||||||||||||||
Identity of issuer | rate | date | shares/units | value** | value | ||||||||||||||||||
Choice Hotels International Inc | 5 | 526 | |||||||||||||||||||||
Churchill Downs Inc | 4 | 829 | |||||||||||||||||||||
Cirrus Logic Inc | 6 | 467 | |||||||||||||||||||||
* | Citigroup Inc | 21,776 | 1,342,711 | ||||||||||||||||||||
Clearway Energy Inc | 8 | 265 | |||||||||||||||||||||
Cmc Materials Inc | 3 | 442 | |||||||||||||||||||||
Coca-Cola Consolidated Inc | 1 | 303 | |||||||||||||||||||||
Cogent Communications Holdings | 5 | 331 | |||||||||||||||||||||
Cognex Corp | 5 | 374 | |||||||||||||||||||||
Cohen & Steers Inc | 14 | 1,053 | |||||||||||||||||||||
Coherent Inc | 35 | 5,294 | |||||||||||||||||||||
Coherus Biosciences Inc | 23 | 406 | |||||||||||||||||||||
Cohu Inc | 3 | 122 | |||||||||||||||||||||
Collegium Pharmaceutical Inc | 13 | 256 | |||||||||||||||||||||
Columbia Banking System Inc | 14 | 485 | |||||||||||||||||||||
Comfort Systems Usa Inc | 5 | 273 | |||||||||||||||||||||
Commscope Holding Co Inc | 23 | 315 | |||||||||||||||||||||
Commvault Systems Inc | 14 | 784 | |||||||||||||||||||||
Concentrix Corp | 14 | 1,421 | |||||||||||||||||||||
Conmed Corp | 2 | 223 | |||||||||||||||||||||
Consolidated Communications Holdings | 4 | 22 | |||||||||||||||||||||
Constellation Pharmaceuticals | 10 | 274 | |||||||||||||||||||||
Corcept Therapeutics Inc | 4 | 103 | |||||||||||||||||||||
Coresite Realty Corp | 1 | 114 | |||||||||||||||||||||
Corvel Corp | 5 | 473 | |||||||||||||||||||||
Cousins Properties Inc | 112 | 3,739 | |||||||||||||||||||||
Covanta Holding Corp | 23 | 299 | |||||||||||||||||||||
Cryolife Inc | 5 | 113 | |||||||||||||||||||||
Cryoport Inc | 5 | 235 | |||||||||||||||||||||
Csw Industrials Inc | 8 | 876 | |||||||||||||||||||||
Curo Group Holdings Corp | 14 | 198 | |||||||||||||||||||||
Curtiss-Wright Corp | 42 | 4,866 | |||||||||||||||||||||
Cutera Inc | 3 | 75 | |||||||||||||||||||||
Cytomx Therapeutics Inc | 11 | 73 | |||||||||||||||||||||
Deciphera Pharmaceuticals Inc | 5 | 323 | |||||||||||||||||||||
Deckers Outdoor Corp | 6 | 1,571 | |||||||||||||||||||||
Denali Therapeutics Inc | 10 | 818 | |||||||||||||||||||||
Diamondback Energy Inc | 16 | 765 | |||||||||||||||||||||
Diamondrock Hospitality Co | 373 | 3,081 | |||||||||||||||||||||
Dicerna Pharmaceuticals Inc | 8 | 165 | |||||||||||||||||||||
Digital Realty Trust Inc | 53 | 7,352 | |||||||||||||||||||||
Digital Turbine Inc | 19 | 1,025 |
*Party-in-interest, as defined by ERISA
**The cost of participant-directed investments is not required to be disclosed
See accompanying Report of Independent Registered Public Accounting Firm
39
CITI RETIREMENT SAVINGS PLAN FOR PUERTO RICO
Schedule H, Line 4i – Schedule of Assets (Held at End of Year)
EIN: 66-0177415 Plan No. 002
December 31, 2020
Interest | Maturity | Number of | Cost | Current | |||||||||||||||||||
Identity of issuer | rate | date | shares/units | value** | value | ||||||||||||||||||
Dine Brands Global Inc | 2 | 105 | |||||||||||||||||||||
Domino'S Pizza Inc | 1 | 229 | |||||||||||||||||||||
Douglas Dynamics Inc | 6 | 254 | |||||||||||||||||||||
Ducommun Inc | 1 | 51 | |||||||||||||||||||||
Dxc Technology Co | 50 | 1,300 | |||||||||||||||||||||
Eagle Materials Inc | 3 | 309 | |||||||||||||||||||||
Eastgroup Properties Inc | 63 | 8,816 | |||||||||||||||||||||
Editas Medicine Inc | 8 | 593 | |||||||||||||||||||||
Ehealth Inc | 4 | 240 | |||||||||||||||||||||
Electromed Inc | 4 | 44 | |||||||||||||||||||||
Element Solutions Inc | 10 | 181 | |||||||||||||||||||||
Elf Beauty Inc | 5 | 134 | |||||||||||||||||||||
Emcor Group Inc | 16 | 1,516 | |||||||||||||||||||||
Emergent Biosolutions Inc | 9 | 833 | |||||||||||||||||||||
Empire State Realty Trust Inc | 363 | 3,384 | |||||||||||||||||||||
Enanta Pharmaceuticals Inc | 5 | 220 | |||||||||||||||||||||
Encompass Health Corp | 2 | 203 | |||||||||||||||||||||
Endurance International Group | 26 | 242 | |||||||||||||||||||||
Energizer Holdings Inc | 35 | 1,464 | |||||||||||||||||||||
Energy Recovery Inc | 6 | 83 | |||||||||||||||||||||
Enersys | 64 | 5,304 | |||||||||||||||||||||
Enphase Energy Inc | 1 | 232 | |||||||||||||||||||||
Enpro Industries Inc | 2 | 113 | |||||||||||||||||||||
Ensign Group Inc | 13 | 933 | |||||||||||||||||||||
Entegris Inc | 9 | 893 | |||||||||||||||||||||
Envestnet Inc | 8 | 654 | |||||||||||||||||||||
Envista Holdings Corp | 42 | 1,401 | |||||||||||||||||||||
Epizyme Inc | 2 | 24 | |||||||||||||||||||||
Eplus Inc | 2 | 147 | |||||||||||||||||||||
Equinix Inc | 34 | 23,996 | |||||||||||||||||||||
Equity Lifestyle Properties Inc | 89 | 5,688 | |||||||||||||||||||||
Esperion Therapeutics Inc | 7 | 194 | |||||||||||||||||||||
Essex Property Trust Inc | 48 | 11,363 | |||||||||||||||||||||
Euronet Worldwide Inc | 6 | 841 | |||||||||||||||||||||
Everbridge Inc | 1 | 79 | |||||||||||||||||||||
Evercore Inc | 11 | 1,233 | |||||||||||||||||||||
Everquote Inc | 1 | 25 | |||||||||||||||||||||
Evolent Health Inc | 5 | 78 | |||||||||||||||||||||
Evoqua Water Technologies Corp | 11 | 294 | |||||||||||||||||||||
Exact Sciences Corp | 3 | 404 | |||||||||||||||||||||
Exelixis Inc | 7 | 146 | |||||||||||||||||||||
Exlservice Holdings Inc | 6 | 516 |
*Party-in-interest, as defined by ERISA
**The cost of participant-directed investments is not required to be disclosed
See accompanying Report of Independent Registered Public Accounting Firm
40
CITI RETIREMENT SAVINGS PLAN FOR PUERTO RICO
Schedule H, Line 4i – Schedule of Assets (Held at End of Year)
EIN: 66-0177415 Plan No. 002
December 31, 2020
Interest | Maturity | Number of | Cost | Current | |||||||||||||||||||
Identity of issuer | rate | date | shares/units | value** | value | ||||||||||||||||||
Exponent Inc | 14 | 1,204 | |||||||||||||||||||||
Extended Stay America Inc | 22 | 321 | |||||||||||||||||||||
Extra Space Storage Inc | 75 | 8,654 | |||||||||||||||||||||
Factset Research Systems Inc | 1 | 237 | |||||||||||||||||||||
Fair Isaac Corp | 2 | 783 | |||||||||||||||||||||
Fate Therapeutics Inc | 9 | 835 | |||||||||||||||||||||
Federal Agricultural Mortgage | 4 | 268 | |||||||||||||||||||||
Federal Realty Investment Trust | 41 | 3,498 | |||||||||||||||||||||
Federated Hermes Inc | 6 | 174 | |||||||||||||||||||||
Fibrogen Inc | 12 | 439 | |||||||||||||||||||||
First American Financial Corp | 15 | 752 | |||||||||||||||||||||
First Bancorp | 5 | 157 | |||||||||||||||||||||
First Citizens Bancshares Inc/ | 1 | 580 | |||||||||||||||||||||
First Financial Bankshares Inc | 6 | 225 | |||||||||||||||||||||
First Hawaiian Inc | 48 | 1,130 | |||||||||||||||||||||
First Horizon Corp | 58 | 746 | |||||||||||||||||||||
First Industrial Realty Trust | 10 | 425 | |||||||||||||||||||||
First Merchants Corp | 15 | 573 | |||||||||||||||||||||
Firstcash Inc | 15 | 1,040 | |||||||||||||||||||||
Five9 Inc | 5 | 848 | |||||||||||||||||||||
Focus Financial Partners Inc | 1 | 65 | |||||||||||||||||||||
Foot Locker Inc | 22 | 876 | |||||||||||||||||||||
Formfactor Inc | 33 | 1,420 | |||||||||||||||||||||
Forterra Inc | 25 | 436 | |||||||||||||||||||||
Fortinet Inc | 1 | 131 | |||||||||||||||||||||
Foundation Building Materials | 10 | 184 | |||||||||||||||||||||
Fox Factory Holding Corp | 3 | 295 | |||||||||||||||||||||
Franklin Electric Co Inc | 8 | 534 | |||||||||||||||||||||
Freshpet Inc | 1 | 137 | |||||||||||||||||||||
Frontdoor Inc | 25 | 1,259 | |||||||||||||||||||||
Fti Consulting Inc | 11 | 1,180 | |||||||||||||||||||||
Fulgent Genetics Inc | 3 | 174 | |||||||||||||||||||||
G1 Therapeutics Inc | 11 | 190 | |||||||||||||||||||||
Gartner Inc | 1 | 168 | |||||||||||||||||||||
Generac Holdings Inc | 1 | 330 | |||||||||||||||||||||
Genmark Diagnostics Inc | 6 | 90 | |||||||||||||||||||||
Gentherm Inc | 2 | 138 | |||||||||||||||||||||
Gibraltar Industries Inc | 5 | 337 | |||||||||||||||||||||
Glacier Bancorp Inc | 1 | 58 | |||||||||||||||||||||
Global Blood Therapeutics Inc | 5 | 213 | |||||||||||||||||||||
Globus Medical Inc | 6 | 424 | |||||||||||||||||||||
Glu Mobile Inc | 11 | 100 |
*Party-in-interest, as defined by ERISA
**The cost of participant-directed investments is not required to be disclosed
See accompanying Report of Independent Registered Public Accounting Firm
41
CITI RETIREMENT SAVINGS PLAN FOR PUERTO RICO
Schedule H, Line 4i – Schedule of Assets (Held at End of Year)
EIN: 66-0177415 Plan No. 002
December 31, 2020
Interest | Maturity | Number of | Cost | Current | |||||||||||||||||||
Identity of issuer | rate | date | shares/units | value** | value | ||||||||||||||||||
Gossamer Bio Inc | 1 | 14 | |||||||||||||||||||||
Graco Inc | 7 | 525 | |||||||||||||||||||||
Graftech International Ltd | 44 | 467 | |||||||||||||||||||||
Grand Canyon Education Inc | 1 | 14 | |||||||||||||||||||||
Graphic Packaging Holding Co | 164 | 2,778 | |||||||||||||||||||||
Gray Television Inc | 12 | 218 | |||||||||||||||||||||
Great Lakes Dredge & Dock Corp | 36 | 468 | |||||||||||||||||||||
Green Dot Corp | 2 | 125 | |||||||||||||||||||||
Haemonetics Corp | 4 | 510 | |||||||||||||||||||||
Hain Celestial Group Inc | 6 | 253 | |||||||||||||||||||||
Halozyme Therapeutics Inc | 31 | 1,302 | |||||||||||||||||||||
Hanesbrands Inc | 44 | 641 | |||||||||||||||||||||
Hanger Inc | 4 | 82 | |||||||||||||||||||||
Hanover Insurance Group Inc | 10 | 1,201 | |||||||||||||||||||||
Harley-Davidson Inc | 23 | 856 | |||||||||||||||||||||
Harsco Corp | 37 | 664 | |||||||||||||||||||||
Hb Fuller Co | 2 | 106 | |||||||||||||||||||||
Healthcare Trust Of America Inc | 105 | 2,902 | |||||||||||||||||||||
Healthequity Inc | 6 | 441 | |||||||||||||||||||||
Healthpeak Properties Inc | 210 | 6,343 | |||||||||||||||||||||
Healthstream Inc | 1 | 30 | |||||||||||||||||||||
Helmerich & Payne Inc | 26 | 600 | |||||||||||||||||||||
Herman Miller Inc | 105 | 3,529 | |||||||||||||||||||||
Heron Therapeutics Inc | 3 | 72 | |||||||||||||||||||||
Hexcel Corp | 4 | 202 | |||||||||||||||||||||
Hibbett Sports Inc | 2 | 104 | |||||||||||||||||||||
Hillenbrand Inc | 11 | 458 | |||||||||||||||||||||
Hilton Grand Vacations Inc | 8 | 255 | |||||||||||||||||||||
Hms Holdings Corp | 10 | 374 | |||||||||||||||||||||
Host Hotels & Resorts Inc | 519 | 7,593 | |||||||||||||||||||||
Huntsman Corp | 14 | 352 | |||||||||||||||||||||
Hydrofarm Holdings Group Inc | 1 | 33 | |||||||||||||||||||||
Iaa Inc | 11 | 719 | |||||||||||||||||||||
Icu Medical Inc | 3 | 551 | |||||||||||||||||||||
Igm Biosciences Inc | 1 | 116 | |||||||||||||||||||||
Ii-Vi Inc | 7 | 525 | |||||||||||||||||||||
Immunogen Inc | 46 | 297 | |||||||||||||||||||||
Independence Realty Trust Inc | 168 | 2,250 | |||||||||||||||||||||
Infusystem Holdings Inc | 3 | 57 | |||||||||||||||||||||
Ingevity Corp | 13 | 1,036 | |||||||||||||||||||||
Innospec Inc | 7 | 609 | |||||||||||||||||||||
Innovative Industrial Properties | 1 | 139 |
*Party-in-interest, as defined by ERISA
**The cost of participant-directed investments is not required to be disclosed
See accompanying Report of Independent Registered Public Accounting Firm
42
CITI RETIREMENT SAVINGS PLAN FOR PUERTO RICO
Schedule H, Line 4i – Schedule of Assets (Held at End of Year)
EIN: 66-0177415 Plan No. 002
December 31, 2020
Interest | Maturity | Number of | Cost | Current | |||||||||||||||||||
Identity of issuer | rate | date | shares/units | value** | value | ||||||||||||||||||
Innoviva Inc | 13 | 157 | |||||||||||||||||||||
Inovalon Holdings Inc | 15 | 275 | |||||||||||||||||||||
Inphi Corp | 4 | 676 | |||||||||||||||||||||
Insight Enterprises Inc | 24 | 1,845 | |||||||||||||||||||||
Insmed Inc | 15 | 507 | |||||||||||||||||||||
Insperity Inc | 4 | 328 | |||||||||||||||||||||
Inspire Medical Systems Inc | 4 | 711 | |||||||||||||||||||||
Installed Building Products Inc | 3 | 312 | |||||||||||||||||||||
Integer Holdings Corp | 1 | 31 | |||||||||||||||||||||
Intellia Therapeutics Inc | 10 | 532 | |||||||||||||||||||||
Inter Parfums Inc | 1 | 70 | |||||||||||||||||||||
Intercept Pharmaceuticals Inc | 6 | 152 | |||||||||||||||||||||
Interdigital Inc | 15 | 924 | |||||||||||||||||||||
International Money Express Inc | 3 | 44 | |||||||||||||||||||||
Intersect Ent Inc | 3 | 79 | |||||||||||||||||||||
Intra-Cellular Therapies Inc | 2 | 63 | |||||||||||||||||||||
Invitae Corp | 15 | 627 | |||||||||||||||||||||
Invitation Homes Inc | 248 | 7,366 | |||||||||||||||||||||
Ionis Pharmaceuticals Inc | 2 | 108 | |||||||||||||||||||||
Iovance Biotherapeutics Inc | 7 | 334 | |||||||||||||||||||||
Irhythm Technologies Inc | 4 | 947 | |||||||||||||||||||||
Iridium Communications Inc | 1 | 57 | |||||||||||||||||||||
Irobot Corp | 3 | 214 | |||||||||||||||||||||
Ironwood Pharmaceuticals Inc | 33 | 379 | |||||||||||||||||||||
J & J Snack Foods Corp | 2 | 384 | |||||||||||||||||||||
J2 Global Inc | 11 | 1,110 | |||||||||||||||||||||
John B Sanfilippo & Son Inc | 4 | 294 | |||||||||||||||||||||
John Bean Technologies Corp | 7 | 752 | |||||||||||||||||||||
Johnson Outdoors Inc | 1 | 62 | |||||||||||||||||||||
Jones Lang Lasalle Inc | 30 | 4,353 | |||||||||||||||||||||
Kadant Inc | 2 | 239 | |||||||||||||||||||||
Kar Auction Services Inc | 60 | 1,118 | |||||||||||||||||||||
Karuna Therapeutics Inc | 1 | 144 | |||||||||||||||||||||
Karyopharm Therapeutics Inc | 4 | 64 | |||||||||||||||||||||
Kemper Corp | 7 | 561 | |||||||||||||||||||||
Kinsale Capital Group Inc | 1 | 42 | |||||||||||||||||||||
Knoll Inc | 305 | 4,483 | |||||||||||||||||||||
Kodiak Sciences Inc | 6 | 881 | |||||||||||||||||||||
Koppers Holdings Inc | 5 | 170 | |||||||||||||||||||||
Korn Ferry | 7 | 316 | |||||||||||||||||||||
Kura Oncology Inc | 2 | 74 | |||||||||||||||||||||
Lancaster Colony Corp | 2 | 317 |
*Party-in-interest, as defined by ERISA
**The cost of participant-directed investments is not required to be disclosed
See accompanying Report of Independent Registered Public Accounting Firm
43
CITI RETIREMENT SAVINGS PLAN FOR PUERTO RICO
Schedule H, Line 4i – Schedule of Assets (Held at End of Year)
EIN: 66-0177415 Plan No. 002
December 31, 2020
Interest | Maturity | Number of | Cost | Current | |||||||||||||||||||
Identity of issuer | rate | date | shares/units | value** | value | ||||||||||||||||||
Landstar System Inc | 5 | 607 | |||||||||||||||||||||
Lantheus Holdings Inc | 10 | 134 | |||||||||||||||||||||
Lattice Semiconductor Corp | 23 | 1,034 | |||||||||||||||||||||
Lci Industries | 12 | 1,592 | |||||||||||||||||||||
Lennox International Inc | 1 | 111 | |||||||||||||||||||||
Lgi Homes Inc | 8 | 819 | |||||||||||||||||||||
Lhc Group Inc | 1 | 108 | |||||||||||||||||||||
Liberty Broadband Corp | 3 | 420 | |||||||||||||||||||||
Life Storage Inc | 48 | 5,714 | |||||||||||||||||||||
Lifevantage Corp | 20 | 187 | |||||||||||||||||||||
Ligand Pharmaceuticals Inc | 1 | 68 | |||||||||||||||||||||
Lincoln Electric Holdings Inc | 2 | 233 | |||||||||||||||||||||
Lindsay Corp | 1 | 118 | |||||||||||||||||||||
Lithia Motors Inc | 11 | 3,028 | |||||||||||||||||||||
Littelfuse Inc | 15 | 3,811 | |||||||||||||||||||||
Liveperson Inc | 3 | 207 | |||||||||||||||||||||
Liveramp Holdings Inc | 1 | 108 | |||||||||||||||||||||
Lovesac Co | 2 | 91 | |||||||||||||||||||||
Lpl Financial Holdings Inc | 1 | 148 | |||||||||||||||||||||
Lululemon Athletica Inc | 1 | 10,807 | |||||||||||||||||||||
Lumentum Holdings Inc | 2 | 149 | |||||||||||||||||||||
Luminex Corp | 1 | 23 | |||||||||||||||||||||
Luna Innovations Inc | 6 | 60 | |||||||||||||||||||||
Lydall Inc | 4 | 132 | |||||||||||||||||||||
Macom Technology Solutions Holdings | 16 | 870 | |||||||||||||||||||||
Macrogenics Inc | 6 | 148 | |||||||||||||||||||||
Madison Square Garden Entertainment | 3 | 265 | |||||||||||||||||||||
Madrigal Pharmaceuticals Inc | 4 | 399 | |||||||||||||||||||||
Magnite Inc | 13 | 385 | |||||||||||||||||||||
Malibu Boats Inc | 5 | 341 | |||||||||||||||||||||
Manhattan Associates Inc | 5 | 521 | |||||||||||||||||||||
Marinus Pharmaceuticals Inc | 5 | 59 | |||||||||||||||||||||
Marketaxess Holdings Inc | 1 | 582 | |||||||||||||||||||||
Mastec Inc | 16 | 1,089 | |||||||||||||||||||||
Mastech Digital Inc | 2 | 27 | |||||||||||||||||||||
Maximus Inc | 21 | 1,563 | |||||||||||||||||||||
Maxlinear Inc | 16 | 586 | |||||||||||||||||||||
Mcgrath Rentcorp | 3 | 216 | |||||||||||||||||||||
Medifast Inc | 1 | 289 | |||||||||||||||||||||
Medpace Holdings Inc | 9 | 1,169 | |||||||||||||||||||||
Mercadolibre Inc | 5 | 29,840 | |||||||||||||||||||||
Mercury Systems Inc | 2 | 105 |
*Party-in-interest, as defined by ERISA
**The cost of participant-directed investments is not required to be disclosed
See accompanying Report of Independent Registered Public Accounting Firm
44
CITI RETIREMENT SAVINGS PLAN FOR PUERTO RICO
Schedule H, Line 4i – Schedule of Assets (Held at End of Year)
EIN: 66-0177415 Plan No. 002
December 31, 2020
Interest | Maturity | Number of | Cost | Current | |||||||||||||||||||
Identity of issuer | rate | date | shares/units | value** | value | ||||||||||||||||||
Meridian Bioscience Inc | 2 | 31 | |||||||||||||||||||||
Merit Medical Systems Inc | 8 | 415 | |||||||||||||||||||||
Meritage Homes Corp | 3 | 252 | |||||||||||||||||||||
Mersana Therapeutics Inc | 3 | 73 | |||||||||||||||||||||
Mettler-Toledo International I | 1 | 8,952 | |||||||||||||||||||||
Middlesex Water Co | 4 | 258 | |||||||||||||||||||||
Minerals Technologies Inc | 4 | 272 | |||||||||||||||||||||
Mirati Therapeutics Inc | 6 | 1,392 | |||||||||||||||||||||
Mks Instruments Inc | 6 | 828 | |||||||||||||||||||||
Model N Inc | 3 | 102 | |||||||||||||||||||||
Molina Healthcare Inc | 2 | 462 | |||||||||||||||||||||
Monolithic Power Systems Inc | 2 | 815 | |||||||||||||||||||||
Moog Inc | 4 | 351 | |||||||||||||||||||||
Mr Cooper Group Inc | 26 | 804 | |||||||||||||||||||||
Msa Safety Inc | 3 | 458 | |||||||||||||||||||||
Mueller Industries Inc | 6 | 206 | |||||||||||||||||||||
Murphy Usa Inc | 4 | 491 | |||||||||||||||||||||
Myers Industries Inc | 1 | 20 | |||||||||||||||||||||
Nanostring Technologies Inc | 1 | 100 | |||||||||||||||||||||
Natera Inc | 7 | 709 | |||||||||||||||||||||
National General Holdings Corp | 42 | 1,426 | |||||||||||||||||||||
National Vision Holdings Inc | 7 | 310 | |||||||||||||||||||||
Natus Medical Inc | 4 | 79 | |||||||||||||||||||||
Navient Corp | 103 | 1,015 | |||||||||||||||||||||
Ncr Corp | 40 | 1,504 | |||||||||||||||||||||
Neenah Inc | 1 | 14 | |||||||||||||||||||||
Nektar Therapeutics | 3 | 50 | |||||||||||||||||||||
Nelnet Inc | 8 | 556 | |||||||||||||||||||||
Neogenomics Inc | 26 | 1,366 | |||||||||||||||||||||
Neophotonics Corp | 11 | 102 | |||||||||||||||||||||
Neurocrine Biosciences Inc | 2 | 186 | |||||||||||||||||||||
Nevro Corp | 5 | 897 | |||||||||||||||||||||
Newmarket Corp | 1 | 231 | |||||||||||||||||||||
Nexstar Media Group Inc | 10 | 1,100 | |||||||||||||||||||||
Nlight Inc | 4 | 122 | |||||||||||||||||||||
Nmi Holdings Inc | 33 | 737 | |||||||||||||||||||||
Nordson Corp | 2 | 356 | |||||||||||||||||||||
Novavax Inc | 1 | 159 | |||||||||||||||||||||
Nuvasive Inc | 9 | 521 | |||||||||||||||||||||
Omnicell Inc | 13 | 1,610 | |||||||||||||||||||||
Onto Innovation Inc | 2 | 118 | |||||||||||||||||||||
Ooma Inc | 6 | 90 |
*Party-in-interest, as defined by ERISA
**The cost of participant-directed investments is not required to be disclosed
See accompanying Report of Independent Registered Public Accounting Firm
45
CITI RETIREMENT SAVINGS PLAN FOR PUERTO RICO
Schedule H, Line 4i – Schedule of Assets (Held at End of Year)
EIN: 66-0177415 Plan No. 002
December 31, 2020
Interest | Maturity | Number of | Cost | Current | |||||||||||||||||||
Identity of issuer | rate | date | shares/units | value** | value | ||||||||||||||||||
Ormat Technologies Inc | 4 | 357 | |||||||||||||||||||||
Osi Systems Inc | 8 | 813 | |||||||||||||||||||||
Overstock.Com Inc | 1 | 26 | |||||||||||||||||||||
Ovid Therapeutics Inc | 17 | 40 | |||||||||||||||||||||
Pacific Biosciences Of California | 9 | 245 | |||||||||||||||||||||
Pacira Biosciences Inc | 4 | 269 | |||||||||||||||||||||
Pae Inc | 16 | 148 | |||||||||||||||||||||
Palomar Holdings Inc | 2 | 180 | |||||||||||||||||||||
Papa John'S International Inc | 5 | 465 | |||||||||||||||||||||
Paratek Pharmaceuticals Inc | 17 | 107 | |||||||||||||||||||||
Park Hotels & Resorts Inc | 330 | 5,662 | |||||||||||||||||||||
Parsley Energy Inc | 21 | 297 | |||||||||||||||||||||
Patrick Industries Inc | 6 | 428 | |||||||||||||||||||||
Paylocity Holding Corp | 3 | 662 | |||||||||||||||||||||
Pegasystems Inc | 4 | 577 | |||||||||||||||||||||
Penn National Gaming Inc | 7 | 681 | |||||||||||||||||||||
Pennant Group Inc | 9 | 534 | |||||||||||||||||||||
Pennymac Financial Services Inc | 5 | 338 | |||||||||||||||||||||
Penumbra Inc | 2 | 325 | |||||||||||||||||||||
Perdoceo Education Corp | 21 | 271 | |||||||||||||||||||||
Perficient Inc | 5 | 240 | |||||||||||||||||||||
Performance Food Group Co | 18 | 842 | |||||||||||||||||||||
Pfsweb Inc | 8 | 53 | |||||||||||||||||||||
Pgt Innovations Inc | 2 | 34 | |||||||||||||||||||||
Phibro Animal Health Corp | 3 | 52 | |||||||||||||||||||||
Piper Sandler Cos | 1 | 34 | |||||||||||||||||||||
Planet Fitness Inc | 5 | 375 | |||||||||||||||||||||
Plug Power Inc | 25 | 834 | |||||||||||||||||||||
Pool Corp | 2 | 737 | |||||||||||||||||||||
Power Integrations Inc | 11 | 878 | |||||||||||||||||||||
Pq Group Holdings Inc | 28 | 405 | |||||||||||||||||||||
Pra Group Inc | 15 | 613 | |||||||||||||||||||||
Pra Health Sciences Inc | 3 | 403 | |||||||||||||||||||||
Precision Biosciences Inc | 6 | 49 | |||||||||||||||||||||
Primerica Inc | 6 | 749 | |||||||||||||||||||||
Proassurance Corp | 24 | 420 | |||||||||||||||||||||
Prog Holdings Inc | 80 | 4,282 | |||||||||||||||||||||
Progress Software Corp | 8 | 344 | |||||||||||||||||||||
Progyny Inc | 1 | 63 | |||||||||||||||||||||
Prologis Inc | 201 | 20,061 | |||||||||||||||||||||
Proofpoint Inc | 2 | 336 | |||||||||||||||||||||
Prosperity Bancshares Inc | 1 | 42 |
*Party-in-interest, as defined by ERISA
**The cost of participant-directed investments is not required to be disclosed
See accompanying Report of Independent Registered Public Accounting Firm
46
CITI RETIREMENT SAVINGS PLAN FOR PUERTO RICO
Schedule H, Line 4i – Schedule of Assets (Held at End of Year)
EIN: 66-0177415 Plan No. 002
December 31, 2020
Interest | Maturity | Number of | Cost | Current | |||||||||||||||||||
Identity of issuer | rate | date | shares/units | value** | value | ||||||||||||||||||
Proto Labs Inc | 1 | 216 | |||||||||||||||||||||
Providence Service Corp | 2 | 217 | |||||||||||||||||||||
Ps Business Parks Inc | 5 | 572 | |||||||||||||||||||||
Ptc Inc | 1 | 119 | |||||||||||||||||||||
Ptc Therapeutics Inc | 5 | 288 | |||||||||||||||||||||
Pure Cycle Corp | 22 | 243 | |||||||||||||||||||||
Pzena Investment Management Inc | 18 | 130 | |||||||||||||||||||||
Q2 Holdings Inc | 1 | 53 | |||||||||||||||||||||
Qad Inc | 1 | 57 | |||||||||||||||||||||
Qts Realty Trust Inc | 45 | 2,782 | |||||||||||||||||||||
Quaker Chemical Corp | 3 | 550 | |||||||||||||||||||||
Qualys Inc | 8 | 1,064 | |||||||||||||||||||||
Quanterix Corp | 2 | 83 | |||||||||||||||||||||
Quidel Corp | 1 | 306 | |||||||||||||||||||||
R1 Rcm Inc | 27 | 650 | |||||||||||||||||||||
Rackspace Technology Inc | 28 | 530 | |||||||||||||||||||||
Radius Health Inc | 6 | 101 | |||||||||||||||||||||
Rapid7 Inc | 1 | 57 | |||||||||||||||||||||
Rbc Bearings Inc | 4 | 659 | |||||||||||||||||||||
Realpage Inc | 3 | 235 | |||||||||||||||||||||
Reata Pharmaceuticals Inc | 1 | 142 | |||||||||||||||||||||
Redfin Corp | 4 | 292 | |||||||||||||||||||||
Reinsurance Group Of America I | 2 | 271 | |||||||||||||||||||||
Renewable Energy Group Inc | 4 | 313 | |||||||||||||||||||||
Rent-A-Center Inc/Tx | 15 | 575 | |||||||||||||||||||||
Repligen Corp | 7 | 1,281 | |||||||||||||||||||||
Replimune Group Inc | 2 | 59 | |||||||||||||||||||||
Resmed Inc | 1 | 12,553 | |||||||||||||||||||||
Rexnord Corp | 3 | 123 | |||||||||||||||||||||
Rh | 3 | 1,348 | |||||||||||||||||||||
Rhythm Pharmaceuticals Inc | 3 | 93 | |||||||||||||||||||||
Rigel Pharmaceuticals Inc | 33 | 114 | |||||||||||||||||||||
Rimini Street Inc | 15 | 64 | |||||||||||||||||||||
Rli Corp | 1 | 48 | |||||||||||||||||||||
Rocket Pharmaceuticals Inc | 4 | 254 | |||||||||||||||||||||
Ryman Hospitality Properties I | 5 | 352 | |||||||||||||||||||||
Sage Therapeutics Inc | 2 | 185 | |||||||||||||||||||||
Saia Inc | 3 | 554 | |||||||||||||||||||||
Sailpoint Technologies Holding | 14 | 738 | |||||||||||||||||||||
Sally Beauty Holdings Inc | 24 | 319 | |||||||||||||||||||||
Sanderson Farms Inc | 1 | 108 | |||||||||||||||||||||
Sangamo Therapeutics Inc | 36 | 569 |
*Party-in-interest, as defined by ERISA
**The cost of participant-directed investments is not required to be disclosed
See accompanying Report of Independent Registered Public Accounting Firm
47
CITI RETIREMENT SAVINGS PLAN FOR PUERTO RICO
Schedule H, Line 4i – Schedule of Assets (Held at End of Year)
EIN: 66-0177415 Plan No. 002
December 31, 2020
Interest | Maturity | Number of | Cost | Current | |||||||||||||||||||
Identity of issuer | rate | date | shares/units | value** | value | ||||||||||||||||||
Sarepta Therapeutics Inc | 1 | 219 | |||||||||||||||||||||
Sba Communications Corp | 17 | 4,842 | |||||||||||||||||||||
Scholar Rock Holding Corp | 2 | 93 | |||||||||||||||||||||
Schrodinger Inc/United States | 2 | 175 | |||||||||||||||||||||
Schweitzer-Mauduit International | 25 | 997 | |||||||||||||||||||||
Science Applications International | 20 | 1,945 | |||||||||||||||||||||
Scotts Miracle-Gro Co | 2 | 359 | |||||||||||||||||||||
Seagen Inc | 2 | 268 | |||||||||||||||||||||
Secureworks Corp | 1 | 21 | |||||||||||||||||||||
Select Medical Holdings Corp | 13 | 352 | |||||||||||||||||||||
Selectquote Inc | 2 | 46 | |||||||||||||||||||||
Semtech Corp | 16 | 1,176 | |||||||||||||||||||||
Service Corp International/Us | 4 | 216 | |||||||||||||||||||||
Shake Shack Inc | 3 | 271 | |||||||||||||||||||||
Shockwave Medical Inc | 2 | 194 | |||||||||||||||||||||
Shutterstock Inc | 9 | 668 | |||||||||||||||||||||
Sientra Inc | 11 | 43 | |||||||||||||||||||||
Signature Bank/New York Ny | 2 | 217 | |||||||||||||||||||||
Silicon Laboratories Inc | 7 | 864 | |||||||||||||||||||||
Silvercrest Asset Management Group | 2 | 26 | |||||||||||||||||||||
Simpson Manufacturing Co Inc | 12 | 1,149 | |||||||||||||||||||||
Simulations Plus Inc | 1 | 99 | |||||||||||||||||||||
Siteone Landscape Supply Inc | 3 | 533 | |||||||||||||||||||||
Six Flags Entertainment Corp | 6 | 213 | |||||||||||||||||||||
Skechers Usa Inc | 29 | 1,057 | |||||||||||||||||||||
Skyline Champion Corp | 4 | 130 | |||||||||||||||||||||
Sleep Number Corp | 3 | 270 | |||||||||||||||||||||
Slm Corp | 184 | 2,273 | |||||||||||||||||||||
Sonos Inc | 11 | 252 | |||||||||||||||||||||
South State Corp | 5 | 329 | |||||||||||||||||||||
Spectrum Brands Holdings Inc | 12 | 922 | |||||||||||||||||||||
Spirit Realty Capital Inc | 215 | 8,629 | |||||||||||||||||||||
Sprouts Farmers Market Inc | 4 | 71 | |||||||||||||||||||||
Sps Commerce Inc | 10 | 1,114 | |||||||||||||||||||||
Spx Corp | 5 | 252 | |||||||||||||||||||||
Ss&C Technologies Holdings Inc | 5 | 374 | |||||||||||||||||||||
Stamps.Com Inc | 4 | 780 | |||||||||||||||||||||
Standard Motor Products Inc | 12 | 454 | |||||||||||||||||||||
Starwood Property Trust Inc | 40 | $ | 776 | ||||||||||||||||||||
Stepan Co | 1 | 179 | |||||||||||||||||||||
Stereotaxis Inc | 24 | 123 | |||||||||||||||||||||
Steven Madden Ltd | 44 | 1,529 |
*Party-in-interest, as defined by ERISA
**The cost of participant-directed investments is not required to be disclosed
See accompanying Report of Independent Registered Public Accounting Firm
48
CITI RETIREMENT SAVINGS PLAN FOR PUERTO RICO
Schedule H, Line 4i – Schedule of Assets (Held at End of Year)
EIN: 66-0177415 Plan No. 002
December 31, 2020
Interest | Maturity | Number of | Cost | Current | |||||||||||||||||||
Identity of issuer | rate | date | shares/units | value** | value | ||||||||||||||||||
Strategic Education Inc | 2 | 168 | |||||||||||||||||||||
Stride Inc | 14 | 292 | |||||||||||||||||||||
Summit Materials Inc | 3 | 52 | |||||||||||||||||||||
Sun Communities Inc | 49 | 7,456 | |||||||||||||||||||||
Sunrun Inc | 5 | 335 | |||||||||||||||||||||
Sunstone Hotel Investors Inc | 7 | 81 | |||||||||||||||||||||
Super Micro Computer Inc | 2 | 51 | |||||||||||||||||||||
Superior Group Of Cos Inc | 3 | 64 | |||||||||||||||||||||
Supernus Pharmaceuticals Inc | 4 | 109 | |||||||||||||||||||||
Surmodics Inc | 2 | 93 | |||||||||||||||||||||
Svmk Inc | 10 | 264 | |||||||||||||||||||||
Sykes Enterprises Inc | 35 | 1,334 | |||||||||||||||||||||
Synaptics Inc | 12 | 1,111 | |||||||||||||||||||||
Syneos Health Inc | 20 | 1,386 | |||||||||||||||||||||
Synnex Corp | 14 | 1,144 | |||||||||||||||||||||
Synovus Financial Corp | 25 | 819 | |||||||||||||||||||||
Syros Pharmaceuticals Inc | 16 | 171 | |||||||||||||||||||||
Tabula Rasa Healthcare Inc | 1 | 39 | |||||||||||||||||||||
Tandem Diabetes Care Inc | 6 | 540 | |||||||||||||||||||||
Targa Resources Corp | 5 | 144 | |||||||||||||||||||||
Techtarget Inc | 4 | 236 | |||||||||||||||||||||
Teladoc Health Inc | 1 | 50 | |||||||||||||||||||||
Teledyne Technologies Inc | 2 | 650 | |||||||||||||||||||||
Telenav Inc | 16 | 74 | |||||||||||||||||||||
Tempur Sealy International Inc | 32 | 874 | |||||||||||||||||||||
Terex Corp | 14 | 482 | |||||||||||||||||||||
Terminix Global Holdings Inc | 10 | 506 | |||||||||||||||||||||
Terreno Realty Corp | 81 | 4,722 | |||||||||||||||||||||
Tetra Tech Inc | 6 | 639 | |||||||||||||||||||||
Texas Pacific Land Trust | 1 | 463 | |||||||||||||||||||||
Texas Roadhouse Inc | 10 | 801 | |||||||||||||||||||||
Tg Therapeutics Inc | 4 | 226 | |||||||||||||||||||||
Tivity Health Inc | 20 | 393 | |||||||||||||||||||||
Toll Brothers Inc | 7 | 314 | |||||||||||||||||||||
Topbuild Corp | 8 | 1,426 | |||||||||||||||||||||
Toro Co | 5 | 476 | |||||||||||||||||||||
Translate Bio Inc | 11 | 197 | |||||||||||||||||||||
Trex Co Inc | 3 | 223 | |||||||||||||||||||||
Trinet Group Inc | 9 | 719 | |||||||||||||||||||||
Ttec Holdings Inc | 27 | 1,903 | |||||||||||||||||||||
Turning Point Brands Inc | 7 | 296 | |||||||||||||||||||||
Turning Point Therapeutics Inc | 7 | 870 |
*Party-in-interest, as defined by ERISA
**The cost of participant-directed investments is not required to be disclosed
See accompanying Report of Independent Registered Public Accounting Firm
49
CITI RETIREMENT SAVINGS PLAN FOR PUERTO RICO
Schedule H, Line 4i – Schedule of Assets (Held at End of Year)
EIN: 66-0177415 Plan No. 002
December 31, 2020
Interest | Maturity | Number of | Cost | Current | |||||||||||||||||||
Identity of issuer | rate | date | shares/units | value** | value | ||||||||||||||||||
Twist Bioscience Corp | 4 | 569 | |||||||||||||||||||||
Tyler Technologies Inc | 1 | 610 | |||||||||||||||||||||
Ubiquiti Inc | 1 | 389 | |||||||||||||||||||||
Udr Inc | 231 | 8,871 | |||||||||||||||||||||
Ufp Industries Inc | 19 | 1,047 | |||||||||||||||||||||
Ultra Clean Holdings Inc | 32 | 972 | |||||||||||||||||||||
Ultragenyx Pharmaceutical Inc | 10 | 1,381 | |||||||||||||||||||||
Umpqua Holdings Corp | 31 | 477 | |||||||||||||||||||||
Unifirst Corp/Ma | 2 | 477 | |||||||||||||||||||||
Unisys Corp | 60 | 1,178 | |||||||||||||||||||||
Universal Corp/Va | 14 | 670 | |||||||||||||||||||||
Universal Health Realty Income | 1 | 27 | |||||||||||||||||||||
Universal Insurance Holdings Inc | 1 | 13 | |||||||||||||||||||||
Upstart Holdings Inc | 184 | 7,518 | |||||||||||||||||||||
Upwork Inc | 3 | 115 | |||||||||||||||||||||
Us Ecology Inc | 1 | 40 | |||||||||||||||||||||
Us Physical Therapy Inc | 6 | 700 | |||||||||||||||||||||
Usana Health Sciences Inc | 7 | 560 | |||||||||||||||||||||
Vail Resorts Inc | 1 | 367 | |||||||||||||||||||||
Valvoline Inc | 72 | 1,674 | |||||||||||||||||||||
Vanda Pharmaceuticals Inc | 4 | 46 | |||||||||||||||||||||
Varonis Systems Inc | 2 | 296 | |||||||||||||||||||||
Vector Group Ltd | 12 | 137 | |||||||||||||||||||||
Ventas Inc | 74 | 3,615 | |||||||||||||||||||||
Veracyte Inc | 1 | 44 | |||||||||||||||||||||
Vereit Inc | 227 | 8,566 | |||||||||||||||||||||
Vericel Corp | 2 | 76 | |||||||||||||||||||||
Verra Mobility Corp | 21 | 277 | |||||||||||||||||||||
Viavi Solutions Inc | 18 | 265 | |||||||||||||||||||||
Vici Properties Inc | 466 | 11,872 | |||||||||||||||||||||
Viewray Inc | 13 | 48 | |||||||||||||||||||||
Vir Biotechnology Inc | 6 | 155 | |||||||||||||||||||||
Virtus Investment Partners Inc | 26 | 5,628 | |||||||||||||||||||||
Virtusa Corp | 1 | 63 | |||||||||||||||||||||
Vocera Communications Inc | 10 | 406 | |||||||||||||||||||||
Vonage Holdings Corp | 5 | 65 | |||||||||||||||||||||
Voyager Therapeutics Inc | 4 | 32 | |||||||||||||||||||||
Walker & Dunlop Inc | 14 | 1,332 | |||||||||||||||||||||
Washington Federal Inc | 21 | 532 | |||||||||||||||||||||
Watsco Inc | 2 | 494 | |||||||||||||||||||||
Watts Water Technologies Inc | 1 | 176 | |||||||||||||||||||||
Wd-40 Co | 1 | 235 |
*Party-in-interest, as defined by ERISA
**The cost of participant-directed investments is not required to be disclosed
See accompanying Report of Independent Registered Public Accounting Firm
50
CITI RETIREMENT SAVINGS PLAN FOR PUERTO RICO
Schedule H, Line 4i – Schedule of Assets (Held at End of Year)
EIN: 66-0177415 Plan No. 002
December 31, 2020
Interest | Maturity | Number of | Cost | Current | |||||||||||||||||||
Identity of issuer | rate | date | shares/units | value** | value | ||||||||||||||||||
Welbilt Inc | 13 | 174 | |||||||||||||||||||||
Welltower Inc | 200 | 12,918 | |||||||||||||||||||||
Wendy'S Co | 23 | 505 | |||||||||||||||||||||
Werner Enterprises Inc | 2 | 73 | |||||||||||||||||||||
Wesco International Inc | 25 | 1,971 | |||||||||||||||||||||
West Pharmaceutical Services I | 1 | 345 | |||||||||||||||||||||
Western Alliance Bancorp | 6 | 345 | |||||||||||||||||||||
Wex Inc | 2 | 502 | |||||||||||||||||||||
Willscot Mobile Mini Holdings | 11 | 262 | |||||||||||||||||||||
Wingstop Inc | 3 | 445 | |||||||||||||||||||||
Winmark Corp | 2 | 429 | |||||||||||||||||||||
Winnebago Industries Inc | 4 | 232 | |||||||||||||||||||||
Woodward Inc | 5 | 585 | |||||||||||||||||||||
Workiva Inc | 10 | 868 | |||||||||||||||||||||
World Fuel Services Corp | 55 | 1,705 | |||||||||||||||||||||
Worthington Industries Inc | 1 | 17 | |||||||||||||||||||||
Wpx Energy Inc | 16 | 133 | |||||||||||||||||||||
Ww International Inc | 2 | 40 | |||||||||||||||||||||
Wyndham Destinations Inc | 8 | 361 | |||||||||||||||||||||
Xencor Inc | 22 | 953 | |||||||||||||||||||||
Xpel Inc | 4 | 209 | |||||||||||||||||||||
Xperi Holding Corp | 2 | 51 | |||||||||||||||||||||
Xpo Logistics Inc | 4 | 436 | |||||||||||||||||||||
Yelp Inc | 33 | 1,077 | |||||||||||||||||||||
Yeti Holdings Inc | 5 | 337 | |||||||||||||||||||||
Y-Mabs Therapeutics Inc | 3 | 128 | |||||||||||||||||||||
Yum China Holdings Inc | 1 | 3,134 | |||||||||||||||||||||
Zebra Technologies Corp | 2 | 670 | |||||||||||||||||||||
Zumiez Inc | 1 | 25 | |||||||||||||||||||||
Zynga Inc | 51 | 500 | |||||||||||||||||||||
Total U.S. equities | $ | 2,010,199 | |||||||||||||||||||||
Synthetic guaranteed invesment contracts (GICs): | |||||||||||||||||||||||
Voya Retirement Ins & Annuity Co 60266 | |||||||||||||||||||||||
1-3 Year Credit Bond Index Fund | 314 | $ | 4,144 | ||||||||||||||||||||
Asset-Backed Securities Index Fund | 2,071 | 78,737 | |||||||||||||||||||||
Commercial Mortgage-Backed Securities Index Fund | 701 | 23,824 | |||||||||||||||||||||
1-3 Year Government Bond Index Fund | 271 | 34,174 | |||||||||||||||||||||
Intermediate Government Bond Index Fund | 648 | 31,083 | |||||||||||||||||||||
Intermediate Term Credit Bond Index Fund | 2,162 | 139,034 |
*Party-in-interest, as defined by ERISA
**The cost of participant-directed investments is not required to be disclosed
See accompanying Report of Independent Registered Public Accounting Firm
51
CITI RETIREMENT SAVINGS PLAN FOR PUERTO RICO
Schedule H, Line 4i – Schedule of Assets (Held at End of Year)
EIN: 66-0177415 Plan No. 002
December 31, 2020
Interest | Maturity | Number of | Cost | Current | |||||||||||||||||||
Identity of issuer | rate | date | shares/units | value** | value | ||||||||||||||||||
Long Term Gov Bd Index Fd | 82 | 9,380 | |||||||||||||||||||||
Mortgage-Backed Securities (MBS) Index Fund | 1,649 | 94,296 | |||||||||||||||||||||
Wrapper | 145 | ||||||||||||||||||||||
Total Voya Retirement Ins & Annuity Co 60266 | $ | 414,817 | |||||||||||||||||||||
Prudential GA-62194 | |||||||||||||||||||||||
Abb Fin Usa Inc | 2.88 | % | 5/8/2022 | 56 | $ | 58 | |||||||||||||||||
Abbvie Inc | 3.60 | % | 5/14/2025 | 435 | 488 | ||||||||||||||||||
Abbvie Inc | 3.20 | % | 11/21/2029 | 1,566 | 1,769 | ||||||||||||||||||
Abbvie Inc | 3.85 | % | 6/15/2024 | 126 | 131 | ||||||||||||||||||
Aep Texas Inc | 2.10 | % | 7/1/2030 | 211 | 222 | ||||||||||||||||||
Aetna Inc | 2.75 | % | 11/15/2022 | 190 | 197 | ||||||||||||||||||
Agl Cap Corp | 3.50 | % | 9/15/2021 | 140 | 144 | ||||||||||||||||||
Altria Grp Inc | 4.00 | % | 1/31/2024 | 337 | 376 | ||||||||||||||||||
Ameren Illinois Co | 3.80 | % | 5/15/2028 | 414 | 486 | ||||||||||||||||||
American Intl Grp Inc | 4.13 | % | 2/15/2024 | 63 | 71 | ||||||||||||||||||
American Intl Grp Inc | 3.75 | % | 7/10/2025 | 281 | 321 | ||||||||||||||||||
American Intl Grp Inc | 3.90 | % | 4/1/2026 | 379 | 436 | ||||||||||||||||||
Amgen Inc | 2.60 | % | 8/19/2026 | 84 | 93 | ||||||||||||||||||
Amgen Inc | 2.65 | % | 5/11/2022 | 379 | 392 | ||||||||||||||||||
Anheuser Busch Cos Llc / Anheuser | 3.65 | % | 2/1/2026 | 850 | 974 | ||||||||||||||||||
Anthem Inc | 3.65 | % | 12/1/2027 | 309 | 357 | ||||||||||||||||||
Appalachian Pwr Co | 3.30 | % | 6/1/2027 | 70 | 78 | ||||||||||||||||||
Apple Inc | 3.25 | % | 2/23/2026 | 815 | 923 | ||||||||||||||||||
Arch Cap Fin Llc | 4.01 | % | 12/15/2026 | 35 | 41 | ||||||||||||||||||
Ascension Hlth | 2.53 | % | 11/15/2029 | 169 | 184 | ||||||||||||||||||
At&T Inc | 2.30 | % | 6/1/2027 | 358 | 382 | ||||||||||||||||||
At&T Inc | 2.55 | % | 12/1/2033 | 1,296 | 1,331 | ||||||||||||||||||
Autozone Inc | 2.88 | % | 1/15/2023 | 140 | 148 | ||||||||||||||||||
Autozone Inc | 3.75 | % | 4/18/2029 | 281 | 326 | ||||||||||||||||||
Bacct_18-A3 | 3.10 | % | 12/15/2023 | 702 | 714 | ||||||||||||||||||
Banco Santander Sa | 3.80 | % | 2/23/2028 | 562 | 644 | ||||||||||||||||||
Bank Of Amer Corp | 4.00 | % | 1/22/2025 | 253 | 289 | ||||||||||||||||||
Bank Of Amer Corp | 3.95 | % | 4/21/2025 | 576 | 653 | ||||||||||||||||||
Bank Of Amer Corp | 3.97 | % | 3/5/2029 | 1,594 | 1,878 | ||||||||||||||||||
Bank Of Amer Corp | 3.97 | % | 2/7/2030 | 351 | 419 | ||||||||||||||||||
Bank Of Amer Corp | 2.50 | % | 2/13/2031 | 618 | 662 | ||||||||||||||||||
* | Bank Of Ny Mellon Corp | 3.40 | % | 5/15/2024 | 183 | 201 | |||||||||||||||||
Bank_20-Bn25 | 2.65 | % | 1/15/2063 | 323 | 353 | ||||||||||||||||||
Barclays Plc | 4.38 | % | 1/12/2026 | 337 | 395 | ||||||||||||||||||
Barclays Plc | 4.34 | % | 1/10/2028 | 232 | 271 |
*Party-in-interest, as defined by ERISA
**The cost of participant-directed investments is not required to be disclosed
See accompanying Report of Independent Registered Public Accounting Firm
52
CITI RETIREMENT SAVINGS PLAN FOR PUERTO RICO
Schedule H, Line 4i – Schedule of Assets (Held at End of Year)
EIN: 66-0177415 Plan No. 002
December 31, 2020
Interest | Maturity | Number of | Cost | Current | |||||||||||||||||||
Identity of issuer | rate | date | shares/units | value** | value | ||||||||||||||||||
Barclays Plc | 4.97 | % | 5/16/2029 | 154 | 187 | ||||||||||||||||||
Barclays Plc | 3.93 | % | 5/7/2025 | 702 | 773 | ||||||||||||||||||
Bat Cap Corp | 3.22 | % | 8/15/2024 | 147 | 162 | ||||||||||||||||||
Bat Cap Corp | 3.22 | % | 9/6/2026 | 119 | 133 | ||||||||||||||||||
Bat Cap Corp | 4.70 | % | 4/2/2027 | 77 | 92 | ||||||||||||||||||
Bbcms_19-C4 | 2.66 | % | 8/15/2052 | 843 | 919 | ||||||||||||||||||
Becton Dickinson & Co | 3.73 | % | 12/15/2024 | 253 | 280 | ||||||||||||||||||
Berkshire Hathaway Inc | 2.75 | % | 3/15/2023 | 484 | 513 | ||||||||||||||||||
Boeing Co | 2.25 | % | 6/15/2026 | 147 | 151 | ||||||||||||||||||
Boeing Co | 3.10 | % | 5/1/2026 | 42 | 45 | ||||||||||||||||||
Boeing Co | 2.70 | % | 2/1/2027 | 597 | 627 | ||||||||||||||||||
Boeing Co | 4.51 | % | 5/1/2023 | 140 | 152 | ||||||||||||||||||
Boston Properties Lp | 3.85 | % | 2/1/2023 | 253 | 273 | ||||||||||||||||||
Bp Cap Markets Amer Inc | 3.25 | % | 5/6/2022 | 379 | 396 | ||||||||||||||||||
Bristol Myers Squibb Co | 3.90 | % | 2/20/2028 | 513 | 616 | ||||||||||||||||||
Broadcom Inc | 4.11 | % | 9/15/2028 | 331 | 383 | ||||||||||||||||||
Broadcom Inc | 3.15 | % | 11/15/2025 | 140 | 154 | ||||||||||||||||||
Broadcom Inc | 4.70 | % | 4/15/2025 | 681 | 788 | ||||||||||||||||||
Burlington Northern Santa Fe Llc | 3.40 | % | 9/1/2024 | 218 | 241 | ||||||||||||||||||
Capital One Bk Usa Na | 3.38 | % | 2/15/2023 | 204 | 218 | ||||||||||||||||||
Cash | 7,480 | ||||||||||||||||||||||
Centerpoint Energy Houston Electric Llc | 2.25 | % | 8/1/2022 | 119 | 123 | ||||||||||||||||||
Centerpoint Energy Inc | 2.95 | % | 3/1/2030 | 421 | 464 | ||||||||||||||||||
Chait_12-A7 | 2.16 | % | 9/15/2024 | 1,123 | 1,162 | ||||||||||||||||||
Chait_14-A2 | 2.77 | % | 3/15/2023 | 562 | 565 | ||||||||||||||||||
Charter Comms Operating Llc Cap | 5.05 | % | 3/30/2029 | 442 | 542 | ||||||||||||||||||
Charter Comms Operating Llc Cap | 2.80 | % | 4/1/2031 | 772 | 820 | ||||||||||||||||||
Chevron Corp | 2.36 | % | 12/5/2022 | 197 | 204 | ||||||||||||||||||
Chile Republic | 3.25 | % | 9/14/2021 | 218 | 225 | ||||||||||||||||||
Chubb Ina Hldgs Inc | 2.70 | % | 3/13/2023 | 358 | 379 | ||||||||||||||||||
Cigna Corp | 4.50 | % | 2/25/2026 | 653 | 774 | ||||||||||||||||||
Cintas Corp No 2 | 3.70 | % | 4/1/2027 | 176 | 204 | ||||||||||||||||||
Cleveland Elec Illuminating Co | 5.50 | % | 8/15/2024 | 211 | 244 | ||||||||||||||||||
Cna Finl Corp | 3.95 | % | 5/15/2024 | 288 | 320 | ||||||||||||||||||
Cnooc Fin 2013 Ltd | 2.88 | % | 9/30/2029 | 281 | 295 | ||||||||||||||||||
Comcast Corp | 3.60 | % | 3/1/2024 | 428 | 476 | ||||||||||||||||||
Comcast Corp | 3.00 | % | 2/1/2024 | 337 | 367 | ||||||||||||||||||
Comcast Corp | 3.70 | % | 4/15/2024 | 154 | 171 | ||||||||||||||||||
Comcast Corp | 4.15 | % | 10/15/2028 | 154 | 187 | ||||||||||||||||||
Comm_15-Cr25 | 3.51 | % | 8/10/2048 | 796 | 865 | ||||||||||||||||||
Comm_15-Pc1 | 3.62 | % | 7/10/2050 | 541 | 573 | ||||||||||||||||||
Comm_16-Dc2 | 3.50 | % | 2/10/2049 | 1,264 | 1,412 |
*Party-in-interest, as defined by ERISA
**The cost of participant-directed investments is not required to be disclosed
See accompanying Report of Independent Registered Public Accounting Firm
53
CITI RETIREMENT SAVINGS PLAN FOR PUERTO RICO
Schedule H, Line 4i – Schedule of Assets (Held at End of Year)
EIN: 66-0177415 Plan No. 002
December 31, 2020
Interest | Maturity | Number of | Cost | Current | |||||||||||||||||||
Identity of issuer | rate | date | shares/units | value** | value | ||||||||||||||||||
Comm_16-Dc2 | 3.77 | % | 2/10/2049 | 983 | 1,112 | ||||||||||||||||||
Commonwealth Edison Co | 3.70 | % | 8/15/2028 | 758 | 908 | ||||||||||||||||||
Constellation Brands Inc | 3.70 | % | 12/6/2026 | 112 | 129 | ||||||||||||||||||
Constellation Brands Inc | 4.40 | % | 11/15/2025 | 84 | 98 | ||||||||||||||||||
Continental Airlines Inc | 4.15 | % | 4/11/2024 | 31 | 31 | ||||||||||||||||||
Continental Airlines Inc | 4.00 | % | 10/29/2024 | 96 | 97 | ||||||||||||||||||
Credit Suisse Grp Fdg Guernsey Ltd | 3.75 | % | 3/26/2025 | 351 | 394 | ||||||||||||||||||
Credit Suisse Grp Fdg Guernsey Ltd | 4.55 | % | 4/17/2026 | 737 | 874 | ||||||||||||||||||
Csail_15-C3 | 3.45 | % | 8/15/2048 | 702 | 760 | ||||||||||||||||||
Csail_16-C5 | 3.76 | % | 11/15/2048 | 520 | 581 | ||||||||||||||||||
Csail_16-C7 | 3.21 | % | 11/15/2049 | 678 | 740 | ||||||||||||||||||
Cvs Caremark Corp | 6.25 | % | 6/1/2027 | 140 | 181 | ||||||||||||||||||
Cvs Hlth Corp | 4.30 | % | 3/25/2028 | 567 | 679 | ||||||||||||||||||
Delta Air Lines Inc | 6.82 | % | 8/10/2022 | 54 | 57 | ||||||||||||||||||
Diageo Cap Plc | 2.00 | % | 4/29/2030 | 386 | 404 | ||||||||||||||||||
Discover Finl Svcs | 3.85 | % | 11/21/2022 | 513 | 548 | ||||||||||||||||||
Discovery Comm Llc | 3.95 | % | 6/15/2025 | 176 | 198 | ||||||||||||||||||
Discovery Comm Llc | 4.13 | % | 5/15/2029 | 211 | 247 | ||||||||||||||||||
Dollar Tree Inc | 3.70 | % | 5/15/2023 | 211 | 227 | ||||||||||||||||||
Dow Chemical Co | 3.63 | % | 5/15/2026 | 463 | 525 | ||||||||||||||||||
Dowdupont Inc | 4.49 | % | 11/15/2025 | 246 | 289 | ||||||||||||||||||
Dte Elec Co | 2.25 | % | 3/1/2030 | 190 | 205 | ||||||||||||||||||
Dte Energy Co | 2.53 | % | 10/1/2024 | 260 | 279 | ||||||||||||||||||
Dte Energy Co | 3.80 | % | 3/15/2027 | 169 | 196 | ||||||||||||||||||
Duke Energy Fl Llc | 1.75 | % | 6/15/2030 | 211 | 215 | ||||||||||||||||||
Eastman Chemical Co | 3.80 | % | 3/15/2025 | 244 | 275 | ||||||||||||||||||
Ecopetrol Sa | 5.88 | % | 9/18/2023 | 70 | 80 | ||||||||||||||||||
Ecopetrol Sa | 4.13 | % | 1/16/2025 | 63 | 70 | ||||||||||||||||||
Ecopetrol Sa | 5.38 | % | 6/26/2026 | 267 | 307 | ||||||||||||||||||
Energy Transfer Partners Lp | 4.75 | % | 1/15/2026 | 466 | 538 | ||||||||||||||||||
Entergy Louisiana Llc | 2.40 | % | 10/1/2026 | 218 | 237 | ||||||||||||||||||
Enterprise Products Operating Llc | 3.35 | % | 3/15/2023 | 534 | 569 | ||||||||||||||||||
Enterprise Products Operating Llc | 3.13 | % | 7/31/2029 | 379 | 426 | ||||||||||||||||||
Eog Resources Inc | 3.15 | % | 4/1/2025 | 49 | 54 | ||||||||||||||||||
Equifax Inc | 2.60 | % | 12/1/2024 | 379 | 407 | ||||||||||||||||||
Evergy Inc | 2.90 | % | 9/15/2029 | 421 | 465 | ||||||||||||||||||
Eversource Energy | 1.65 | % | 8/15/2030 | 77 | 78 | ||||||||||||||||||
Export Import Bk Of Korea | 4.38 | % | 9/15/2021 | 365 | 380 | ||||||||||||||||||
Fgold 15Yr | 4.00 | % | 6/1/2026 | 142 | 152 | ||||||||||||||||||
Fgold 15Yr | 4.00 | % | 7/1/2026 | 69 | 73 | ||||||||||||||||||
Fgold 15Yr | 2.50 | % | 11/1/2027 | 164 | 172 | ||||||||||||||||||
Fgold 15Yr | 2.50 | % | 8/1/2028 | 167 | 175 |
*Party-in-interest, as defined by ERISA
**The cost of participant-directed investments is not required to be disclosed
See accompanying Report of Independent Registered Public Accounting Firm
54
CITI RETIREMENT SAVINGS PLAN FOR PUERTO RICO
Schedule H, Line 4i – Schedule of Assets (Held at End of Year)
EIN: 66-0177415 Plan No. 002
December 31, 2020
Interest | Maturity | Number of | Cost | Current | |||||||||||||||||||
Identity of issuer | rate | date | shares/units | value** | value | ||||||||||||||||||
Fgold 15Yr | 3.00 | % | 8/1/2029 | 249 | 265 | ||||||||||||||||||
Fgold 15Yr | 2.50 | % | 4/1/2031 | 303 | 321 | ||||||||||||||||||
Fgold 15Yr | 2.50 | % | 7/1/2031 | 198 | 210 | ||||||||||||||||||
Fgold 15Yr Giant | 3.00 | % | 1/1/2032 | 419 | 452 | ||||||||||||||||||
Fgold 15Yr Giant | 2.00 | % | 1/1/2032 | 268 | 280 | ||||||||||||||||||
Fgold 15Yr Giant | 2.50 | % | 12/1/2031 | 195 | 205 | ||||||||||||||||||
Fgold 20Yr | 3.00 | % | 1/1/2037 | 230 | 243 | ||||||||||||||||||
Fgold 20Yr | 3.50 | % | 11/1/2037 | 196 | 209 | ||||||||||||||||||
Fgold 20Yr | 3.00 | % | 12/1/2037 | 183 | 193 | ||||||||||||||||||
Fgold 30Yr | 3.00 | % | 12/1/2042 | 419 | 448 | ||||||||||||||||||
Fgold 30Yr | 3.00 | % | 10/1/2042 | 262 | 280 | ||||||||||||||||||
Fgold 30Yr | 3.00 | % | 1/1/2043 | 820 | 877 | ||||||||||||||||||
Fgold 30Yr | 4.00 | % | 11/1/2040 | 163 | 180 | ||||||||||||||||||
Fgold 30Yr | 4.00 | % | 12/1/2040 | 444 | 491 | ||||||||||||||||||
Fgold 30Yr | 5.00 | % | 8/1/2041 | 555 | 633 | ||||||||||||||||||
Fgold 30Yr | 5.00 | % | 7/1/2041 | 123 | 141 | ||||||||||||||||||
Fgold 30Yr Giant | 5.50 | % | 1/1/2035 | 50 | 58 | ||||||||||||||||||
Fgold 30Yr Giant | 4.50 | % | 6/1/2039 | 68 | 76 | ||||||||||||||||||
Fgold 30Yr Giant | 4.00 | % | 11/1/2039 | 219 | 242 | ||||||||||||||||||
Fgold 30Yr Giant | 4.50 | % | 12/1/2039 | 124 | 139 | ||||||||||||||||||
Fgold 30Yr Giant | 5.50 | % | 1/1/2040 | 66 | 78 | ||||||||||||||||||
Fgold 30Yr Giant | 4.00 | % | 12/1/2040 | 183 | 202 | ||||||||||||||||||
Fgold 30Yr Giant | 4.00 | % | 12/1/2040 | 195 | 215 | ||||||||||||||||||
Fgold 30Yr Giant | 4.00 | % | 2/1/2041 | 366 | 404 | ||||||||||||||||||
Fgold 30Yr Giant | 4.50 | % | 4/1/2041 | 530 | 595 | ||||||||||||||||||
Fgold 30Yr Giant | 3.00 | % | 6/1/2042 | 238 | 254 | ||||||||||||||||||
Fgold 30Yr Giant | 3.50 | % | 9/1/2042 | 441 | 484 | ||||||||||||||||||
Fgold 30Yr Giant | 3.50 | % | 7/1/2047 | 620 | 659 | ||||||||||||||||||
Fgold 30Yr Giant | 4.00 | % | 8/1/2047 | 310 | 334 | ||||||||||||||||||
Fgold 30Yr Giant | 4.50 | % | 8/1/2047 | 334 | 365 | ||||||||||||||||||
Fgold 30Yr Giant | 3.50 | % | 10/1/2047 | 305 | 325 | ||||||||||||||||||
Fgold 30Yr Giant | 3.50 | % | 1/1/2048 | 368 | 391 | ||||||||||||||||||
Fgold 30Yr Giant | 5.50 | % | 6/1/2038 | 292 | 344 | ||||||||||||||||||
Fgold 30Yr Giant | 4.50 | % | 10/1/2039 | 294 | 330 | ||||||||||||||||||
Fgold 30Yr Giant | 4.50 | % | 11/1/2039 | 56 | 63 | ||||||||||||||||||
Fgold 30Yr Giant | 3.50 | % | 5/1/2045 | 726 | 781 | ||||||||||||||||||
Fgold 30Yr Giant | 4.00 | % | 11/1/2045 | 459 | 502 | ||||||||||||||||||
Fgold 30Yr Giant | 3.50 | % | 12/1/2045 | 1,169 | 1,258 | ||||||||||||||||||
Fgold 30Yr Giant | 4.00 | % | 12/1/2046 | 353 | 385 | ||||||||||||||||||
Fgold 30Yr Giant | 3.00 | % | 1/1/2047 | 627 | 665 | ||||||||||||||||||
Fgold 30Yr Giant | 3.00 | % | 2/1/2047 | 1,324 | 1,403 | ||||||||||||||||||
Fhlmc 30Yr Umbs | 3.00 | % | 1/1/2050 | 723 | 758 |
*Party-in-interest, as defined by ERISA
**The cost of participant-directed investments is not required to be disclosed
See accompanying Report of Independent Registered Public Accounting Firm
55
CITI RETIREMENT SAVINGS PLAN FOR PUERTO RICO
Schedule H, Line 4i – Schedule of Assets (Held at End of Year)
EIN: 66-0177415 Plan No. 002
December 31, 2020
Interest | Maturity | Number of | Cost | Current | |||||||||||||||||||
Identity of issuer | rate | date | shares/units | value** | value | ||||||||||||||||||
Fhlmc 30Yr Umbs Mirror | 2.50 | % | 10/1/2046 | 152 | 161 | ||||||||||||||||||
Fhlmc 30Yr Umbs Mirror | 4.00 | % | 7/1/2048 | 71 | 76 | ||||||||||||||||||
Fhlmc 30Yr Umbs Mirror | 4.50 | % | 12/1/2048 | 491 | 534 | ||||||||||||||||||
Fhlmc Gold 15Yr Cash Issuance | 3.00 | % | 6/1/2029 | 387 | 413 | ||||||||||||||||||
Fhlmc Gold 15Yr Cash Issuance | 3.00 | % | 6/1/2029 | 570 | 607 | ||||||||||||||||||
Fhlmc Gold 30Yr | 2.50 | % | 1/1/2043 | 285 | 305 | ||||||||||||||||||
Fhlmc Gold 30Yr | 3.00 | % | 2/1/2043 | 533 | 580 | ||||||||||||||||||
Fhlmc Gold 30Yr | 3.50 | % | 9/1/2043 | 594 | 646 | ||||||||||||||||||
Fhlmc Gold 30Yr | 3.50 | % | 12/1/2046 | 235 | 254 | ||||||||||||||||||
Fhlmc Gold 30Yr | 4.50 | % | 7/1/2047 | 170 | 186 | ||||||||||||||||||
Fhlmc Gold 30Yr | 4.00 | % | 1/1/2048 | 773 | 833 | ||||||||||||||||||
Fhms_K077 | 3.85 | % | 5/25/2028 | 112 | 134 | ||||||||||||||||||
Fhms_K083 | 4.03 | % | 10/25/2028 | 211 | 254 | ||||||||||||||||||
Fhms_K104 | 1.96 | % | 1/25/2030 | 1,615 | 1,721 | ||||||||||||||||||
Fidelity Natl Information Svcs Inc | 3.88 | % | 6/5/2024 | 53 | 59 | ||||||||||||||||||
Fiserv Inc | 3.50 | % | 10/1/2022 | 111 | 117 | ||||||||||||||||||
Fiserv Inc | 3.85 | % | 6/1/2025 | 218 | 246 | ||||||||||||||||||
Fiserv Inc | 2.75 | % | 7/1/2024 | 28 | 31 | ||||||||||||||||||
Fnma | 0.50 | % | 6/17/2025 | 625 | 628 | ||||||||||||||||||
Fnma | 2.00 | % | 10/5/2022 | 548 | 568 | ||||||||||||||||||
Fnma | 1.63 | % | 1/7/2025 | 548 | 581 | ||||||||||||||||||
Fnma 15Yr | 3.50 | % | 9/1/2026 | 90 | 96 | ||||||||||||||||||
Fnma 15Yr | 3.00 | % | 5/1/2027 | 355 | 375 | ||||||||||||||||||
Fnma 20Yr | 4.50 | % | 6/1/2031 | 161 | 177 | ||||||||||||||||||
Fnma 30Yr | 5.50 | % | 5/1/2037 | 74 | 86 | ||||||||||||||||||
Fnma 30Yr | 5.50 | % | 6/1/2033 | 97 | 112 | ||||||||||||||||||
Fnma 30Yr | 5.50 | % | 10/1/2033 | 123 | 143 | ||||||||||||||||||
Fnma 30Yr | 4.00 | % | 12/1/2040 | 271 | 300 | ||||||||||||||||||
Fnma 30Yr | 4.00 | % | 1/1/2041 | 410 | 453 | ||||||||||||||||||
Fnma 30Yr | 4.50 | % | 2/1/2041 | 755 | 847 | ||||||||||||||||||
Fnma 30Yr | 4.00 | % | 2/1/2041 | 170 | 189 | ||||||||||||||||||
Fnma 30Yr | 4.00 | % | 1/1/2042 | 395 | 437 | ||||||||||||||||||
Fnma 30Yr | 5.00 | % | 12/1/2034 | 239 | 274 | ||||||||||||||||||
Fnma 30Yr | 4.50 | % | 5/1/2039 | 84 | 94 | ||||||||||||||||||
Fnma 30Yr | 5.50 | % | 4/1/2034 | 103 | 121 | ||||||||||||||||||
Fnma 30Yr | 5.00 | % | 4/1/2034 | 494 | 566 | ||||||||||||||||||
Fnma 30Yr | 5.50 | % | 9/1/2034 | 100 | 116 | ||||||||||||||||||
Fnma 30Yr | 5.00 | % | 7/1/2035 | 145 | 166 | ||||||||||||||||||
Fnma 30Yr | 5.50 | % | 2/1/2035 | 180 | 210 | ||||||||||||||||||
Fnma 30Yr | 6.50 | % | 12/1/2037 | 66 | 78 | ||||||||||||||||||
Fnma 30Yr | 6.00 | % | 5/1/2038 | 291 | 344 | ||||||||||||||||||
Fnma 30Yr | 4.00 | % | 9/1/2040 | 154 | 170 |
*Party-in-interest, as defined by ERISA
**The cost of participant-directed investments is not required to be disclosed
See accompanying Report of Independent Registered Public Accounting Firm
56
CITI RETIREMENT SAVINGS PLAN FOR PUERTO RICO
Schedule H, Line 4i – Schedule of Assets (Held at End of Year)
EIN: 66-0177415 Plan No. 002
December 31, 2020
Interest | Maturity | Number of | Cost | Current | |||||||||||||||||||
Identity of issuer | rate | date | shares/units | value** | value | ||||||||||||||||||
Fnma 30Yr | 5.50 | % | 3/1/2038 | 103 | 121 | ||||||||||||||||||
Fnma 30Yr | 4.00 | % | 3/1/2039 | 53 | 58 | ||||||||||||||||||
Fnma 30Yr | 4.50 | % | 2/1/2041 | 670 | 752 | ||||||||||||||||||
Fnma 30Yr | 4.50 | % | 3/1/2041 | 223 | 251 | ||||||||||||||||||
Fnma 30Yr | 3.50 | % | 5/1/2042 | 527 | 582 | ||||||||||||||||||
Fnma 30Yr | 4.50 | % | 9/1/2039 | 94 | 106 | ||||||||||||||||||
Fnma 30Yr | 4.00 | % | 7/1/2040 | 83 | 92 | ||||||||||||||||||
Fnma 30Yr | 3.50 | % | 6/1/2039 | 146 | 158 | ||||||||||||||||||
Fnma 30Yr | 4.00 | % | 10/1/2040 | 61 | 68 | ||||||||||||||||||
Fnma 15Yr | 2.50 | % | 4/1/2028 | 59 | 62 | ||||||||||||||||||
Fnma 15Yr | 3.00 | % | 8/1/2028 | 272 | 287 | ||||||||||||||||||
Fnma 15Yr | 3.00 | % | 12/1/2030 | 184 | 196 | ||||||||||||||||||
Fnma 15Yr | 2.00 | % | 8/1/2031 | 296 | 310 | ||||||||||||||||||
Fnma 15Yr | 2.50 | % | 7/1/2028 | 207 | 217 | ||||||||||||||||||
Fnma 15Yr | 2.50 | % | 8/1/2028 | 193 | 202 | ||||||||||||||||||
Fnma 15Yr | 2.50 | % | 8/1/2028 | 16 | 17 | ||||||||||||||||||
Fnma 15Yr | 3.00 | % | 11/1/2028 | 149 | 157 | ||||||||||||||||||
Fnma 15Yr | 2.50 | % | 2/1/2029 | 130 | 136 | ||||||||||||||||||
Fnma 15Yr | 3.50 | % | 7/1/2027 | 334 | 356 | ||||||||||||||||||
Fnma 15Yr | 2.50 | % | 7/1/2030 | 131 | 138 | ||||||||||||||||||
Fnma 15Yr | 3.50 | % | 12/1/2030 | 105 | 114 | ||||||||||||||||||
Fnma 15Yr | 2.50 | % | 9/1/2027 | 656 | 688 | ||||||||||||||||||
Fnma 15Yr | 3.50 | % | 3/1/2033 | 175 | 186 | ||||||||||||||||||
Fnma 15Yr | 3.50 | % | 5/1/2033 | 442 | 470 | ||||||||||||||||||
Fnma 15Yr Umbs | 2.00 | % | 10/1/2034 | 797 | 834 | ||||||||||||||||||
Fnma 15Yr Umbs | 2.50 | % | 4/1/2035 | 660 | 692 | ||||||||||||||||||
Fnma 20Yr | 3.00 | % | 11/1/2036 | 624 | 661 | ||||||||||||||||||
Fnma 30Yr | 3.00 | % | 10/1/2043 | 36 | 39 | ||||||||||||||||||
Fnma 30Yr | 3.50 | % | 8/1/2042 | 563 | 610 | ||||||||||||||||||
Fnma 30Yr | 3.50 | % | 5/1/2042 | 1,218 | 1,322 | ||||||||||||||||||
Fnma 30Yr | 3.00 | % | 12/1/2042 | 325 | 355 | ||||||||||||||||||
Fnma 30Yr | 3.00 | % | 1/1/2043 | 590 | 642 | ||||||||||||||||||
Fnma 30Yr | 3.00 | % | 2/1/2043 | 582 | 622 | ||||||||||||||||||
Fnma 30Yr | 3.00 | % | 7/1/2043 | 378 | 404 | ||||||||||||||||||
Fnma 30Yr | 3.50 | % | 3/1/2043 | 505 | 555 | ||||||||||||||||||
Fnma 30Yr | 3.00 | % | 10/1/2043 | 154 | 165 | ||||||||||||||||||
Fnma 30Yr | 4.00 | % | 9/1/2044 | 287 | 313 | ||||||||||||||||||
Fnma 30Yr | 4.00 | % | 7/1/2045 | 262 | 286 | ||||||||||||||||||
Fnma 30Yr | 3.50 | % | 5/1/2045 | 626 | 681 | ||||||||||||||||||
Fnma 30Yr | 3.50 | % | 6/1/2045 | 926 | 997 | ||||||||||||||||||
Fnma 30Yr | 4.00 | % | 12/1/2045 | 500 | 546 | ||||||||||||||||||
Fnma 30Yr | 3.50 | % | 4/1/2046 | 492 | 524 |
*Party-in-interest, as defined by ERISA
**The cost of participant-directed investments is not required to be disclosed
See accompanying Report of Independent Registered Public Accounting Firm
57
CITI RETIREMENT SAVINGS PLAN FOR PUERTO RICO
Schedule H, Line 4i – Schedule of Assets (Held at End of Year)
EIN: 66-0177415 Plan No. 002
December 31, 2020
Interest | Maturity | Number of | Cost | Current | |||||||||||||||||||
Identity of issuer | rate | date | shares/units | value** | value | ||||||||||||||||||
Fnma 30Yr | 4.00 | % | 7/1/2046 | 116 | 127 | ||||||||||||||||||
Fnma 30Yr | 2.50 | % | 9/1/2046 | 415 | 439 | ||||||||||||||||||
Fnma 30Yr | 3.00 | % | 11/1/2046 | 561 | 594 | ||||||||||||||||||
Fnma 30Yr | 3.00 | % | 12/1/2046 | 157 | 167 | ||||||||||||||||||
Fnma 30Yr | 3.50 | % | 12/1/2046 | 661 | 705 | ||||||||||||||||||
Fnma 30Yr | 3.00 | % | 1/1/2047 | 1,657 | 1,755 | ||||||||||||||||||
Fnma 30Yr | 4.00 | % | 2/1/2047 | 1,067 | 1,163 | ||||||||||||||||||
Fnma 30Yr | 3.00 | % | 9/1/2043 | 108 | 115 | ||||||||||||||||||
Fnma 30Yr | 4.00 | % | 10/1/2043 | 130 | 143 | ||||||||||||||||||
Fnma 30Yr | 3.50 | % | 9/1/2047 | 532 | 571 | ||||||||||||||||||
Fnma 30Yr | 4.00 | % | 1/1/2048 | 350 | 377 | ||||||||||||||||||
Fnma 30Yr | 4.50 | % | 11/1/2048 | 273 | 296 | ||||||||||||||||||
Fnma 30Yr | 3.50 | % | 8/1/2048 | 286 | 304 | ||||||||||||||||||
Fnma 30Yr | 3.50 | % | 9/1/2042 | 211 | 229 | ||||||||||||||||||
Fnma 30Yr | 3.50 | % | 6/1/2042 | 1,613 | 1,764 | ||||||||||||||||||
Fnma 30Yr | 3.00 | % | 10/1/2042 | 329 | 352 | ||||||||||||||||||
Fnma 30Yr | 3.50 | % | 11/1/2042 | 828 | 899 | ||||||||||||||||||
Fnma 30Yr | 3.00 | % | 12/1/2042 | 685 | 732 | ||||||||||||||||||
Fnma 30Yr | 3.00 | % | 1/1/2043 | 148 | 160 | ||||||||||||||||||
Fnma 30Yr | 3.00 | % | 1/1/2043 | 420 | 454 | ||||||||||||||||||
Fnma 30Yr | 3.00 | % | 1/1/2043 | 532 | 569 | ||||||||||||||||||
Fnma 30Yr | 3.00 | % | 3/1/2043 | 649 | 711 | ||||||||||||||||||
Fnma 30Yr | 3.50 | % | 1/1/2046 | 311 | 335 | ||||||||||||||||||
Fnma 30Yr | 4.50 | % | 12/1/2048 | 191 | 207 | ||||||||||||||||||
Fnma 30Yr | 3.00 | % | 11/1/2046 | 526 | 557 | ||||||||||||||||||
Fnma 30Yr | 3.00 | % | 1/1/2047 | 649 | 688 | ||||||||||||||||||
Fnma 30Yr | 3.50 | % | 8/1/2047 | 452 | 480 | ||||||||||||||||||
Fnma 30Yr | 4.00 | % | 10/1/2047 | 1,384 | 1,492 | ||||||||||||||||||
Fnma 30Yr | 3.50 | % | 11/1/2047 | 1,071 | 1,138 | ||||||||||||||||||
Fnma 30Yr | 4.50 | % | 3/1/2048 | 216 | 236 | ||||||||||||||||||
Fnma 30Yr | 4.00 | % | 2/1/2048 | 322 | 347 | ||||||||||||||||||
Fnma 30Yr | 4.00 | % | 4/1/2048 | 695 | 744 | ||||||||||||||||||
Fnma 30Yr Umbs | 3.00 | % | 6/1/2050 | 755 | 793 | ||||||||||||||||||
Fnma 30Yr Umbs | 2.00 | % | 12/1/2050 | 538 | 561 | ||||||||||||||||||
Fnma 30Yr Umbs | 2.50 | % | 9/1/2050 | 2,891 | 3,053 | ||||||||||||||||||
Fnma 30Yr Umbs | 2.50 | % | 10/1/2050 | 4,498 | 4,750 | ||||||||||||||||||
Fnma 30Yr Umbs Super | 3.50 | % | 11/1/2048 | 1,116 | 1,186 | ||||||||||||||||||
Fortis Inc | 3.06 | % | 10/4/2026 | 58 | 64 | ||||||||||||||||||
General Dynamics Corp | 2.25 | % | 11/15/2022 | 253 | 262 | ||||||||||||||||||
General Motors Fin Co Inc | 4.00 | % | 1/15/2025 | 358 | 401 | ||||||||||||||||||
General Motors Fin Co Inc | 3.60 | % | 6/21/2030 | 772 | 860 | ||||||||||||||||||
Georgia Pwr Co | 2.85 | % | 5/15/2022 | 246 | 255 |
*Party-in-interest, as defined by ERISA
**The cost of participant-directed investments is not required to be disclosed
See accompanying Report of Independent Registered Public Accounting Firm
58
CITI RETIREMENT SAVINGS PLAN FOR PUERTO RICO
Schedule H, Line 4i – Schedule of Assets (Held at End of Year)
EIN: 66-0177415 Plan No. 002
December 31, 2020
Interest | Maturity | Number of | Cost | Current | |||||||||||||||||||
Identity of issuer | rate | date | shares/units | value** | value | ||||||||||||||||||
Georgia Pwr Co | 2.65 | % | 9/15/2029 | 225 | 249 | ||||||||||||||||||
Glaxosmithkline Cap Inc | 2.80 | % | 3/18/2023 | 21 | 22 | ||||||||||||||||||
Gnma 30Yr | 3.50 | % | 1/15/2042 | 321 | 350 | ||||||||||||||||||
Gnma 30Yr | 4.50 | % | 11/15/2039 | 114 | 129 | ||||||||||||||||||
Gnma 30Yr | 4.50 | % | 4/15/2040 | 235 | 265 | ||||||||||||||||||
Gnma 30Yr | 5.00 | % | 5/15/2035 | 77 | 86 | ||||||||||||||||||
Gnma 30Yr | 5.50 | % | 4/15/2038 | 80 | 90 | ||||||||||||||||||
Gnma 30Yr | 5.50 | % | 6/15/2038 | 116 | 131 | ||||||||||||||||||
Gnma 30Yr Platinum | 5.00 | % | 7/15/2039 | 117 | 131 | ||||||||||||||||||
Gnma 30Yr | 3.00 | % | 11/15/2042 | 467 | 512 | ||||||||||||||||||
Gnma 30Yr | 3.00 | % | 12/20/2049 | 785 | 824 | ||||||||||||||||||
Gnma 30Yr | 3.50 | % | 5/15/2043 | 207 | 225 | ||||||||||||||||||
Gnma 30Yr | 3.00 | % | 3/15/2043 | 293 | 307 | ||||||||||||||||||
Gnma2 15Yr | 3.00 | % | 3/20/2027 | 84 | 89 | ||||||||||||||||||
Gnma2 30Yr | 4.00 | % | 4/20/2042 | 98 | 109 | ||||||||||||||||||
Gnma2 30Yr | 3.00 | % | 8/20/2042 | 186 | 199 | ||||||||||||||||||
Gnma2 30Yr | 3.50 | % | 8/20/2042 | 571 | 625 | ||||||||||||||||||
Gnma2 30Yr | 3.00 | % | 9/20/2042 | 379 | 406 | ||||||||||||||||||
Gnma2 30Yr | 3.50 | % | 9/20/2042 | 458 | 501 | ||||||||||||||||||
Gnma2 30Yr | 3.50 | % | 10/20/2042 | 459 | 503 | ||||||||||||||||||
Gnma2 30Yr | 3.00 | % | 12/20/2042 | 195 | 209 | ||||||||||||||||||
Gnma2 30Yr | 3.00 | % | 1/20/2043 | 273 | 292 | ||||||||||||||||||
Gnma2 30Yr | 3.50 | % | 5/20/2043 | 574 | 626 | ||||||||||||||||||
Gnma2 30Yr | 4.50 | % | 6/20/2044 | 298 | 335 | ||||||||||||||||||
Gnma2 30Yr | 3.50 | % | 10/20/2044 | 536 | 584 | ||||||||||||||||||
Gnma2 30Yr | 4.00 | % | 10/20/2044 | 384 | 425 | ||||||||||||||||||
Gnma2 30Yr | 3.00 | % | 12/20/2044 | 130 | 139 | ||||||||||||||||||
Gnma2 30Yr | 3.50 | % | 4/20/2046 | 400 | 433 | ||||||||||||||||||
Gnma2 30Yr | 3.50 | % | 4/20/2045 | 666 | 724 | ||||||||||||||||||
Gnma2 30Yr | 3.50 | % | 6/20/2045 | 265 | 288 | ||||||||||||||||||
Gnma2 30Yr | 3.00 | % | 8/20/2045 | 309 | 330 | ||||||||||||||||||
Gnma2 30Yr | 3.00 | % | 9/20/2045 | 300 | 320 | ||||||||||||||||||
Gnma2 30Yr | 4.00 | % | 12/20/2045 | 686 | 753 | ||||||||||||||||||
Gnma2 30Yr | 3.00 | % | 5/20/2046 | 474 | 504 | ||||||||||||||||||
Gnma2 30Yr | 4.00 | % | 5/20/2046 | 342 | 376 | ||||||||||||||||||
Gnma2 30Yr | 3.00 | % | 7/20/2046 | 1,086 | 1,156 | ||||||||||||||||||
Gnma2 30Yr | 3.50 | % | 7/20/2046 | 319 | 346 | ||||||||||||||||||
Gnma2 30Yr | 3.50 | % | 8/20/2046 | 360 | 390 | ||||||||||||||||||
Gnma2 30Yr | 3.50 | % | 9/20/2046 | 368 | 399 | ||||||||||||||||||
Gnma2 30Yr | 3.00 | % | 10/20/2046 | 907 | 965 | ||||||||||||||||||
Gnma2 30Yr | 4.00 | % | 10/20/2046 | 136 | 148 | ||||||||||||||||||
Gnma2 30Yr | 3.50 | % | 11/20/2046 | 117 | 127 |
*Party-in-interest, as defined by ERISA
**The cost of participant-directed investments is not required to be disclosed
See accompanying Report of Independent Registered Public Accounting Firm
59
CITI RETIREMENT SAVINGS PLAN FOR PUERTO RICO
Schedule H, Line 4i – Schedule of Assets (Held at End of Year)
EIN: 66-0177415 Plan No. 002
December 31, 2020
Interest | Maturity | Number of | Cost | Current | |||||||||||||||||||
Identity of issuer | rate | date | shares/units | value** | value | ||||||||||||||||||
Gnma2 30Yr | 4.00 | % | 11/20/2046 | 165 | 179 | ||||||||||||||||||
Gnma2 30Yr | 2.50 | % | 12/20/2046 | 210 | 224 | ||||||||||||||||||
Gnma2 30Yr | 3.00 | % | 12/20/2046 | 944 | 1,005 | ||||||||||||||||||
Gnma2 30Yr | 3.50 | % | 12/20/2046 | 1,202 | 1,303 | ||||||||||||||||||
Gnma2 30Yr | 4.00 | % | 3/20/2047 | 398 | 431 | ||||||||||||||||||
Gnma2 30Yr | 3.50 | % | 8/20/2048 | 240 | 258 | ||||||||||||||||||
Gnma2 30Yr | 3.50 | % | 6/20/2047 | 173 | 186 | ||||||||||||||||||
Gnma2 30Yr | 3.50 | % | 7/20/2047 | 513 | 551 | ||||||||||||||||||
Gnma2 30Yr | 4.00 | % | 8/20/2047 | 503 | 544 | ||||||||||||||||||
Gnma2 30Yr | 3.50 | % | 8/20/2047 | 356 | 382 | ||||||||||||||||||
Gnma2 30Yr | 4.00 | % | 9/20/2047 | 608 | 656 | ||||||||||||||||||
Gnma2 30Yr | 3.50 | % | 11/20/2047 | 981 | 1,054 | ||||||||||||||||||
Gnma2 30Yr | 4.00 | % | 12/20/2047 | 259 | 280 | ||||||||||||||||||
Gnma2 30Yr | 3.00 | % | 1/20/2048 | 436 | 463 | ||||||||||||||||||
Gnma2 30Yr | 4.00 | % | 1/20/2048 | 395 | 426 | ||||||||||||||||||
Gnma2 30Yr | 4.50 | % | 1/20/2048 | 250 | 274 | ||||||||||||||||||
Gnma2 30Yr | 4.50 | % | 2/20/2048 | 257 | 281 | ||||||||||||||||||
Gnma2 30Yr | 3.00 | % | 10/20/2049 | 182 | 191 | ||||||||||||||||||
Gnma2 30Yr | 3.50 | % | 12/20/2048 | 541 | 580 | ||||||||||||||||||
Gnma2 30Yr | 3.00 | % | 7/20/2049 | 583 | 612 | ||||||||||||||||||
Gnma2 30Yr | 3.00 | % | 9/20/2049 | 658 | 691 | ||||||||||||||||||
Gnma2 30Yr | 3.50 | % | 12/20/2049 | 498 | 529 | ||||||||||||||||||
Gnma2 30Yr | 3.00 | % | 4/20/2050 | 702 | 739 | ||||||||||||||||||
Gnma2 30Yr | 2.00 | % | 12/20/2050 | 702 | 736 | ||||||||||||||||||
Gnma2 30Yr | 5.00 | % | 8/20/2039 | 62 | 69 | ||||||||||||||||||
Gnma2 30Yr | 4.50 | % | 5/20/2040 | 251 | 283 | ||||||||||||||||||
Gnma2 30Yr | 4.50 | % | 7/20/2040 | 157 | 177 | ||||||||||||||||||
Gnma2 30Yr | 4.00 | % | 9/20/2040 | 188 | 209 | ||||||||||||||||||
Gnma2 30Yr | 4.00 | % | 10/20/2040 | 293 | 325 | ||||||||||||||||||
Gnma2 30Yr | 4.50 | % | 10/20/2040 | 171 | 193 | ||||||||||||||||||
Gnma2 30Yr | 4.50 | % | 12/20/2040 | 249 | 281 | ||||||||||||||||||
Gnma2 30Yr | 4.00 | % | 2/20/2041 | 64 | 71 | ||||||||||||||||||
Gnma2 30Yr | 4.00 | % | 1/20/2041 | 119 | 132 | ||||||||||||||||||
Gnma2 30Yr | 4.00 | % | 3/20/2041 | 189 | 210 | ||||||||||||||||||
Gnma2 30Yr | 5.00 | % | 4/20/2041 | 222 | 254 | ||||||||||||||||||
Gnma2 30Yr | 4.50 | % | 8/20/2041 | 214 | 241 | ||||||||||||||||||
Gnma2 30Yr | 4.50 | % | 7/20/2041 | 71 | 80 | ||||||||||||||||||
Gnma2 30Yr Tba(Reg C) | 2.50 | % | 2/18/2021 | 2,809 | 2,970 | ||||||||||||||||||
Goldman Sachs Grp Inc | 3.85 | % | 1/26/2027 | 709 | 822 | ||||||||||||||||||
Goldman Sachs Grp Inc | 3.69 | % | 6/5/2028 | 765 | 884 | ||||||||||||||||||
Goldman Sachs Grp Inc | 3.50 | % | 11/16/2026 | 239 | 269 | ||||||||||||||||||
Halliburton Co | 3.80 | % | 11/15/2025 | 126 | 142 |
*Party-in-interest, as defined by ERISA
**The cost of participant-directed investments is not required to be disclosed
See accompanying Report of Independent Registered Public Accounting Firm
60
CITI RETIREMENT SAVINGS PLAN FOR PUERTO RICO
Schedule H, Line 4i – Schedule of Assets (Held at End of Year)
EIN: 66-0177415 Plan No. 002
December 31, 2020
Interest | Maturity | Number of | Cost | Current | |||||||||||||||||||
Identity of issuer | rate | date | shares/units | value** | value | ||||||||||||||||||
Hcp Inc | 3.00 | % | 1/15/2030 | 169 | 187 | ||||||||||||||||||
Hormel Foods Corp | 1.80 | % | 6/11/2030 | 576 | 596 | ||||||||||||||||||
Hsbc Hldgs Plc | 4.58 | % | 6/19/2029 | 513 | 607 | ||||||||||||||||||
Hsbc Hldgs Plc | 2.63 | % | 11/7/2025 | 154 | 165 | ||||||||||||||||||
Husky Energy Inc | 4.00 | % | 4/15/2024 | 105 | 114 | ||||||||||||||||||
Hydro Quebec | 8.05 | % | 7/7/2024 | 98 | 127 | ||||||||||||||||||
Ibm Corp | 3.63 | % | 2/12/2024 | 281 | 312 | ||||||||||||||||||
Indonesia Republic | 3.50 | % | 1/11/2028 | 632 | 719 | ||||||||||||||||||
Ingersoll Rand Global Hldg Co Ltd | 4.25 | % | 6/15/2023 | 197 | 215 | ||||||||||||||||||
Intuit Inc | 0.95 | % | 7/15/2025 | 183 | 186 | ||||||||||||||||||
Intuit Inc | 1.35 | % | 7/15/2027 | 42 | 43 | ||||||||||||||||||
Israel State | 4.00 | % | 6/30/2022 | 281 | 296 | ||||||||||||||||||
Italy Republic | 2.38 | % | 10/17/2024 | 562 | 594 | ||||||||||||||||||
Jm Smucker Co | 3.50 | % | 3/15/2025 | 126 | 142 | ||||||||||||||||||
Jp Morgan Chase & Co | 4.45 | % | 12/5/2029 | 351 | 430 | ||||||||||||||||||
Jpmbb_15-C30 | 3.55 | % | 7/15/2048 | 1,123 | 1,233 | ||||||||||||||||||
Jpmcc_19-Cor4 | 3.76 | % | 3/10/2052 | 1,123 | 1,290 | ||||||||||||||||||
Jpmorgan Chase & Co | 3.88 | % | 9/10/2024 | 274 | 310 | ||||||||||||||||||
Jpmorgan Chase & Co | 3.51 | % | 1/23/2029 | 2,078 | 2,401 | ||||||||||||||||||
Jpmorgan Chase & Co | 2.52 | % | 4/22/2031 | 562 | 606 | ||||||||||||||||||
Keybank Na | 3.90 | % | 4/13/2029 | 702 | 819 | ||||||||||||||||||
Keycorp | 5.10 | % | 3/24/2021 | 98 | 101 | ||||||||||||||||||
Kinder Morgan Energy Partners Lp | 4.15 | % | 2/1/2024 | 112 | 125 | ||||||||||||||||||
Laboratory Corp Of Amer | 3.60 | % | 2/1/2025 | 295 | 331 | ||||||||||||||||||
Laboratory Corp Of Amer | 3.25 | % | 9/1/2024 | 56 | 62 | ||||||||||||||||||
Lincoln Natl Corp | 3.05 | % | 1/15/2030 | 63 | 71 | ||||||||||||||||||
Lloyds Bkg Grp Plc | 4.38 | % | 3/22/2028 | 281 | 337 | ||||||||||||||||||
Lockheed Martin Corp | 2.90 | % | 3/1/2025 | 470 | 517 | ||||||||||||||||||
Lockheed Martin Corp | 3.10 | % | 1/15/2023 | 225 | 239 | ||||||||||||||||||
Lyb Intl Fin Iii Llc | 3.38 | % | 5/1/2030 | 49 | 55 | ||||||||||||||||||
Lyondellbasell Inds Nv | 5.75 | % | 4/15/2024 | 232 | 270 | ||||||||||||||||||
Markel Corp | 3.35 | % | 9/17/2029 | 295 | 333 | ||||||||||||||||||
Marriott Intl Inc | 3.13 | % | 6/15/2026 | 211 | 225 | ||||||||||||||||||
Marsh & Mclennan Cos Inc | 3.50 | % | 6/3/2024 | 176 | 192 | ||||||||||||||||||
Martin Marietta Materials Inc | 2.50 | % | 3/15/2030 | 84 | 90 | ||||||||||||||||||
Mcdonalds Corp | 3.70 | % | 1/30/2026 | 246 | 283 | ||||||||||||||||||
Mexico United Mexican States | 4.00 | % | 10/2/2023 | 135 | 149 | ||||||||||||||||||
Microsoft Corp | 2.40 | % | 8/8/2026 | 225 | 247 | ||||||||||||||||||
Morgan Stanley | 4.00 | % | 7/23/2025 | 274 | 318 | ||||||||||||||||||
Morgan Stanley | 4.43 | % | 1/23/2030 | 646 | 799 | ||||||||||||||||||
Morgan Stanley | 3.77 | % | 1/24/2029 | 379 | 445 | ||||||||||||||||||
Morgan Stanley | 3.88 | % | 1/27/2026 | 569 | 662 |
*Party-in-interest, as defined by ERISA
**The cost of participant-directed investments is not required to be disclosed
See accompanying Report of Independent Registered Public Accounting Firm
61
CITI RETIREMENT SAVINGS PLAN FOR PUERTO RICO
Schedule H, Line 4i – Schedule of Assets (Held at End of Year)
EIN: 66-0177415 Plan No. 002
December 31, 2020
Interest | Maturity | Number of | Cost | Current | |||||||||||||||||||
Identity of issuer | rate | date | shares/units | value** | value | ||||||||||||||||||
Morgan Stanley | 2.63 | % | 11/17/2021 | 112 | 115 | ||||||||||||||||||
Mplx Lp | 4.50 | % | 7/15/2023 | 281 | 312 | ||||||||||||||||||
Mplx Lp | 4.13 | % | 3/1/2027 | 133 | 156 | ||||||||||||||||||
Mplx Lp | 4.00 | % | 3/15/2028 | 119 | 139 | ||||||||||||||||||
Mplx Lp | 4.80 | % | 2/15/2029 | 176 | 214 | ||||||||||||||||||
Mplx Lp | 4.25 | % | 12/1/2027 | 260 | 305 | ||||||||||||||||||
Msbam_15-C23 | 3.45 | % | 7/15/2050 | 1,366 | 1,491 | ||||||||||||||||||
Msbam_15-C24 | 3.73 | % | 5/15/2048 | 1,404 | 1,577 | ||||||||||||||||||
Msbam_15-C25 | 3.37 | % | 10/15/2048 | 983 | 1,084 | ||||||||||||||||||
Msbam_15-C26 | 3.21 | % | 10/15/2048 | 1,559 | 1,666 | ||||||||||||||||||
Mylan Inc | 4.55 | % | 4/15/2028 | 1,074 | 1,290 | ||||||||||||||||||
Natwest Grp Plc | 4.27 | % | 3/22/2025 | 576 | 643 | ||||||||||||||||||
Newmont Corp | 2.25 | % | 10/1/2030 | 63 | 67 | ||||||||||||||||||
Nutrien Ltd | 3.50 | % | 6/1/2023 | 225 | 239 | ||||||||||||||||||
O Reilly Automotive Inc | 1.75 | % | 3/15/2031 | 70 | 71 | ||||||||||||||||||
Oncor Elec Delivery Co Llc | 2.95 | % | 4/1/2025 | 169 | 185 | ||||||||||||||||||
Oneok Inc | 3.10 | % | 3/15/2030 | 836 | 895 | ||||||||||||||||||
Oneok Partners Lp | 3.38 | % | 10/1/2022 | 70 | 74 | ||||||||||||||||||
Pacific Gas & Elec Co | 1.75 | % | 6/16/2022 | 211 | 211 | ||||||||||||||||||
Panama Republic | 7.13 | % | 1/29/2026 | 421 | 551 | ||||||||||||||||||
Panama Republic | 3.16 | % | 1/23/2030 | 281 | 316 | ||||||||||||||||||
Peacehealth Obligated Grp | 1.38 | % | 11/15/2025 | 35 | 36 | ||||||||||||||||||
Pefco | 4.30 | % | 12/15/2021 | 225 | 233 | ||||||||||||||||||
Pefco | 3.55 | % | 1/15/2024 | 204 | 225 | ||||||||||||||||||
Pepsico Inc | 3.60 | % | 3/1/2024 | 197 | 217 | ||||||||||||||||||
Philip Morris Intl Inc | 2.63 | % | 3/6/2023 | 239 | 253 | ||||||||||||||||||
Plains All Amern Pipeline Lp | 3.55 | % | 12/15/2029 | 112 | 118 | ||||||||||||||||||
Plains All Amern Pipeline Lp | 3.80 | % | 9/15/2030 | 56 | 61 | ||||||||||||||||||
Pnc Bk Na | 3.25 | % | 6/1/2025 | 351 | 391 | ||||||||||||||||||
Pnc Finl Svcs Grp Inc | 3.90 | % | 4/29/2024 | 77 | 86 | ||||||||||||||||||
Ppl Cap Fdg Inc | 4.13 | % | 4/15/2030 | 281 | 337 | ||||||||||||||||||
Pseg Pwr Llc | 3.00 | % | 6/15/2021 | 253 | 255 | ||||||||||||||||||
Puget Energy Inc | 3.65 | % | 5/15/2025 | 119 | 132 | ||||||||||||||||||
Puget Energy Inc | 4.10 | % | 6/15/2030 | 197 | 225 | ||||||||||||||||||
Quebec Province | 7.13 | % | 2/9/2024 | 225 | 276 | ||||||||||||||||||
Raytheon Tech Corp | 4.13 | % | 11/16/2028 | 126 | 151 | ||||||||||||||||||
Rock Tenn Co | 4.90 | % | 3/1/2022 | 91 | 98 | ||||||||||||||||||
Rogers Comm Inc | 3.00 | % | 3/15/2023 | 98 | 104 | ||||||||||||||||||
Royal Bk Of Canada | 1.15 | % | 6/10/2025 | 597 | 610 | ||||||||||||||||||
San Diego Gas & Elec Co | 3.60 | % | 9/1/2023 | 169 | 183 | ||||||||||||||||||
Schlumberger Investment Sa | 3.65 | % | 12/1/2023 | 98 | 107 | ||||||||||||||||||
Sempra Energy | 3.40 | % | 2/1/2028 | 204 | 235 |
*Party-in-interest, as defined by ERISA
**The cost of participant-directed investments is not required to be disclosed
See accompanying Report of Independent Registered Public Accounting Firm
62
CITI RETIREMENT SAVINGS PLAN FOR PUERTO RICO
Schedule H, Line 4i – Schedule of Assets (Held at End of Year)
EIN: 66-0177415 Plan No. 002
December 31, 2020
Interest | Maturity | Number of | Cost | Current | |||||||||||||||||||
Identity of issuer | rate | date | shares/units | value** | value | ||||||||||||||||||
Simon Property Grp Lp | 3.75 | % | 2/1/2024 | 555 | 610 | ||||||||||||||||||
Simon Property Grp Lp | 3.50 | % | 9/1/2025 | 112 | 125 | ||||||||||||||||||
Southern Ca Edison Co | 3.50 | % | 10/1/2023 | 730 | 791 | ||||||||||||||||||
Southwest Airlines Co | 2.63 | % | 2/10/2030 | 211 | 217 | ||||||||||||||||||
Southwest Airlines Co | 4.75 | % | 5/4/2023 | 105 | 115 | ||||||||||||||||||
Southwest Airlines Co | 5.13 | % | 6/15/2027 | 169 | 200 | ||||||||||||||||||
Stanford University | 1.29 | % | 6/1/2027 | 562 | 576 | ||||||||||||||||||
Stryker Corp | 3.38 | % | 5/15/2024 | 112 | 123 | ||||||||||||||||||
Stryker Corp | 3.38 | % | 11/1/2025 | 98 | 111 | ||||||||||||||||||
Sutter Health | 3.70 | % | 8/15/2028 | 407 | 464 | ||||||||||||||||||
T Mobile Usa Inc | 3.88 | % | 4/15/2030 | 239 | 278 | ||||||||||||||||||
T Mobile Usa Inc | 2.05 | % | 2/15/2028 | 913 | 960 | ||||||||||||||||||
Takeda Pharmaceutical Co Ltd | 2.05 | % | 3/31/2030 | 337 | 348 | ||||||||||||||||||
Thermo Fisher Scientific Inc | 4.15 | % | 2/1/2024 | 56 | 63 | ||||||||||||||||||
Thermo Fisher Scientific Inc | 4.13 | % | 3/25/2025 | 70 | 81 | ||||||||||||||||||
Total Cap Intl Sa | 2.70 | % | 1/25/2023 | 119 | 127 | ||||||||||||||||||
Total Cap Intl Sa | 2.83 | % | 1/10/2030 | 176 | 199 | ||||||||||||||||||
Treasury Bond | 6.25 | % | 8/15/2023 | 5,519 | 6,526 | ||||||||||||||||||
Treasury Note | 2.13 | % | 7/31/2024 | 8,328 | 8,969 | ||||||||||||||||||
Treasury Note | 1.88 | % | 9/30/2022 | 2,293 | 2,374 | ||||||||||||||||||
Treasury Note | 2.00 | % | 10/31/2022 | 21 | 22 | ||||||||||||||||||
Treasury Note | 2.88 | % | 5/15/2028 | 2,486 | 2,889 | ||||||||||||||||||
Treasury Note | 2.88 | % | 11/15/2021 | 7,576 | 7,785 | ||||||||||||||||||
Treasury Note | 3.13 | % | 11/15/2028 | 11,452 | 13,605 | ||||||||||||||||||
Treasury Note | 2.63 | % | 2/15/2029 | 2,451 | 2,837 | ||||||||||||||||||
Treasury Note | 2.00 | % | 2/15/2025 | 4,290 | 4,626 | ||||||||||||||||||
Treasury Note | 2.00 | % | 8/15/2025 | 6,151 | 6,673 | ||||||||||||||||||
Treasury Note | 1.75 | % | 9/30/2022 | 1,769 | 1,827 | ||||||||||||||||||
Treasury Note | 2.25 | % | 11/15/2025 | 3,595 | 3,937 | ||||||||||||||||||
Treasury Note | 1.63 | % | 4/30/2023 | 11,768 | 12,206 | ||||||||||||||||||
Treasury Note | 1.63 | % | 11/15/2022 | 22 | 23 | ||||||||||||||||||
Treasury Note | 1.88 | % | 4/30/2022 | 11,326 | 11,625 | ||||||||||||||||||
Treasury Note | 2.13 | % | 5/15/2025 | 7,057 | 7,636 | ||||||||||||||||||
Treasury Note | 2.13 | % | 6/30/2022 | 3,602 | 3,710 | ||||||||||||||||||
Treasury Note | 1.38 | % | 2/15/2023 | 5,989 | 6,178 | ||||||||||||||||||
Treasury Note | 0.50 | % | 3/15/2023 | 15,644 | 15,794 | ||||||||||||||||||
Treasury Note | 0.38 | % | 4/30/2025 | 7,141 | 7,172 | ||||||||||||||||||
Treasury Note | 0.13 | % | 9/15/2023 | 8,595 | 8,591 | ||||||||||||||||||
Treasury Note | 0.25 | % | 9/30/2025 | 6,214 | 6,194 | ||||||||||||||||||
Treasury Note | 0.13 | % | 9/30/2022 | 4,473 | 4,474 | ||||||||||||||||||
Treasury Note | 0.88 | % | 11/15/2030 | 4,641 | 4,631 | ||||||||||||||||||
Treasury Note | 0.13 | % | 11/30/2022 | 225 | 225 |
*Party-in-interest, as defined by ERISA
**The cost of participant-directed investments is not required to be disclosed
See accompanying Report of Independent Registered Public Accounting Firm
63
CITI RETIREMENT SAVINGS PLAN FOR PUERTO RICO
Schedule H, Line 4i – Schedule of Assets (Held at End of Year)
EIN: 66-0177415 Plan No. 002
December 31, 2020
Interest | Maturity | Number of | Cost | Current | |||||||||||||||||||
Identity of issuer | rate | date | shares/units | value** | value | ||||||||||||||||||
Treasury Note | 0.63 | % | 11/30/2027 | 77 | 77 | ||||||||||||||||||
Treasury Note | 0.38 | % | 11/30/2025 | 1,362 | 1,365 | ||||||||||||||||||
Treasury Note | 0.13 | % | 12/15/2023 | 400 | 400 | ||||||||||||||||||
Treasury Note | 0.63 | % | 12/31/2027 | 1,123 | 1,122 | ||||||||||||||||||
Treasury Note | 0.38 | % | 12/31/2025 | 2,324 | 2,326 | ||||||||||||||||||
Treasury Strip (Int) | — | % | 2/15/2029 | 2,472 | 2,298 | ||||||||||||||||||
Truist Bk | 2.75 | % | 5/1/2023 | 281 | 297 | ||||||||||||||||||
Tyson Foods Inc | 4.00 | % | 3/1/2026 | 358 | 416 | ||||||||||||||||||
Ubscm_18-C11 | 4.31 | % | 6/15/2051 | 737 | 830 | ||||||||||||||||||
Ubscm_18-C13 | 4.07 | % | 10/15/2051 | 1,123 | 1,315 | ||||||||||||||||||
Ubscm_18-C8 | 3.72 | % | 2/15/2051 | 1,404 | 1,612 | ||||||||||||||||||
Umbs 30Yr Tba(Reg A) | 2.50 | % | 1/14/2021 | 1,404 | 1,481 | ||||||||||||||||||
Umbs 30Yr Tba(Reg A) | 2.00 | % | 1/14/2021 | 4,213 | 4,379 | ||||||||||||||||||
Umbs 30Yr Tba(Reg A) | 3.00 | % | 1/14/2021 | 702 | 736 | ||||||||||||||||||
Umbs 30Yr Tba(Reg A) | 3.50 | % | 1/14/2021 | (702) | (743) | ||||||||||||||||||
Umbs 30Yr Tba(Reg A) | 2.00 | % | 2/11/2021 | 11,937 | 12,385 | ||||||||||||||||||
Umbs 30Yr Tba(Reg A) | 2.50 | % | 2/11/2021 | 1,404 | 1,479 | ||||||||||||||||||
Unitedhealth Grp Inc | 4.70 | % | 2/15/2021 | 169 | 172 | ||||||||||||||||||
Unitedhealth Grp Inc | 3.75 | % | 7/15/2025 | 407 | 471 | ||||||||||||||||||
University of California | 3.06 | % | 7/1/2025 | 667 | 743 | ||||||||||||||||||
Upjohn Inc | 2.70 | % | 6/22/2030 | 295 | 313 | ||||||||||||||||||
Uruguay Republic | 4.38 | % | 10/27/2027 | 744 | 886 | ||||||||||||||||||
Us Bk Na Cincinnati | 3.40 | % | 7/24/2023 | 176 | 191 | ||||||||||||||||||
Us Bk Na Cincinnati | 2.65 | % | 5/23/2022 | 351 | 363 | ||||||||||||||||||
Valero Energy Corp | 4.00 | % | 4/1/2029 | 140 | 159 | ||||||||||||||||||
Ventas Realty Lp | 3.85 | % | 4/1/2027 | 176 | 198 | ||||||||||||||||||
Verisk Analytics Inc | 4.13 | % | 9/12/2022 | 140 | 150 | ||||||||||||||||||
Verizon Comms Inc | 4.02 | % | 12/3/2029 | 657 | 782 | ||||||||||||||||||
Verizon Communications Inc | 4.33 | % | 9/21/2028 | 386 | 469 | ||||||||||||||||||
Viacomcbs Inc | 3.13 | % | 6/15/2022 | 140 | 143 | ||||||||||||||||||
Viacomcbs Inc | 3.88 | % | 4/1/2024 | 98 | 108 | ||||||||||||||||||
Virginia Elec & Pwr Co | 3.15 | % | 1/15/2026 | 337 | 379 | ||||||||||||||||||
Wabtec Corp | 3.45 | % | 11/15/2026 | 281 | 309 | ||||||||||||||||||
Walt Disney Co | 1.85 | % | 7/30/2026 | 190 | 201 | ||||||||||||||||||
Waste Mgmt Inc | 2.90 | % | 9/15/2022 | 105 | 110 | ||||||||||||||||||
Wells Fargo & Co | 3.00 | % | 10/23/2026 | 969 | 1,079 | ||||||||||||||||||
Wells Fargo & Co | 4.13 | % | 8/15/2023 | 21 | 23 | ||||||||||||||||||
Wells Fargo & Co | 2.57 | % | 2/11/2031 | 632 | 678 | ||||||||||||||||||
Wfcm_16-C37 | 3.79 | % | 12/15/2049 | 850 | 976 | ||||||||||||||||||
Williams Partners Lp | 3.75 | % | 6/15/2027 | 211 | 241 | ||||||||||||||||||
Williams Partners Lp | 4.30 | % | 3/4/2024 | 274 | 306 | ||||||||||||||||||
Xcel Energy Inc | 3.30 | % | 6/1/2025 | 225 | 248 |
*Party-in-interest, as defined by ERISA
**The cost of participant-directed investments is not required to be disclosed
See accompanying Report of Independent Registered Public Accounting Firm
64
CITI RETIREMENT SAVINGS PLAN FOR PUERTO RICO
Schedule H, Line 4i – Schedule of Assets (Held at End of Year)
EIN: 66-0177415 Plan No. 002
December 31, 2020
Interest | Maturity | Number of | Cost | Current | |||||||||||||||||||
Identity of issuer | rate | date | shares/units | value** | value | ||||||||||||||||||
Xylem Inc | 4.88 | % | 10/1/2021 | 239 | 249 | ||||||||||||||||||
Yale University | 1.48 | % | 4/15/2030 | 499 | 511 | ||||||||||||||||||
Total Prudential GA-62194 | $ | 400,963 | |||||||||||||||||||||
American General Life Contract No. 725840 | |||||||||||||||||||||||
American Intl Group Sr Unsec | 4.20 | % | 4/1/2028 | 702 | $ | 835 | |||||||||||||||||
Andrew W Mellon Foundati Unsec | 0.95 | % | 8/1/2027 | 843 | 843 | ||||||||||||||||||
Apple Inc Sr Unsec | 1.70 | % | 9/11/2022 | 913 | 936 | ||||||||||||||||||
Arrow Electronics Inc Sr Unsec | 3.25 | % | 9/8/2024 | 702 | 760 | ||||||||||||||||||
Barclays Plc Sr Unsec | 2.85 | % | 5/7/2026 | 913 | 981 | ||||||||||||||||||
Barclays Plc Sr Unsec | 3.65 | % | 3/16/2025 | 702 | 775 | ||||||||||||||||||
Bay Area Ca Toll Authority | 2.57 | % | 4/1/2031 | 843 | 909 | ||||||||||||||||||
Bnp Paribas Sr Non-Prefer 144A | 3.05 | % | 1/13/2031 | 843 | 921 | ||||||||||||||||||
Bp Cap Markets America Sr Unsec | 4.74 | % | 3/11/2021 | 1,755 | 1,770 | ||||||||||||||||||
Brookfield Finance Inc Sr Unsec | 4.35 | % | 4/15/2030 | 1,053 | 1,263 | ||||||||||||||||||
Cobb-Marietta Coliseum | 2.55 | % | 7/1/2021 | 878 | 887 | ||||||||||||||||||
* | Collective Us Govt Stif 15 Bps | — | % | 12/1/2030 | 356 | 356 | |||||||||||||||||
Cooperatieve Rabobank Ua Sr Unsec 144A | 3.88 | % | 9/26/2023 | 3,651 | 3,985 | ||||||||||||||||||
Daimler Finance Na Llc | 3.75 | % | 11/5/2021 | 492 | 505 | ||||||||||||||||||
Daimler Finance Na Llc Sr Unsec 144A Frn | 1.12 | % | 2/15/2022 | 702 | 708 | ||||||||||||||||||
Dell Int Llc / Emc Corp Sr Sec 144A | 4.90 | % | 10/1/2026 | 351 | 415 | ||||||||||||||||||
Dell Intl Llc / Emc 144A Smr | 6.02 | % | 6/15/2026 | 351 | 429 | ||||||||||||||||||
Deutsche Bank Ny Sr Unsec | 4.25 | % | 10/14/2021 | 983 | 1,008 | ||||||||||||||||||
Emory University Unsec | 2.14 | % | 9/1/2030 | 913 | 961 | ||||||||||||||||||
Enbridge Inc Sr Unsec | 0.72 | % | 2/18/2022 | 913 | 913 | ||||||||||||||||||
Entergy Louisiana Llc 1St Mtge Sec | 0.62 | % | 11/17/2023 | 702 | 705 | ||||||||||||||||||
European Investment Bank Sr Unsec | 2.00 | % | 3/15/2021 | 1,580 | 1,586 | ||||||||||||||||||
Fed Home Ln Bk Bd (1.331Mmm) | 3.38 | % | 12/8/2023 | 1,194 | 1,304 | ||||||||||||||||||
Fed Home Ln Mtge Glbl Nt (1.035Mmm) | 0.80 | % | 10/28/2026 | 1,896 | 1,897 | ||||||||||||||||||
Fed Home Ln Mtge Glbl Nt (3.5Mmm) | 0.25 | % | 9/8/2023 | 2,738 | 2,745 | ||||||||||||||||||
Fed Home Ln Mtge Glbl Nt (850Mm) | 0.65 | % | 10/27/2025 | 2,738 | 2,740 | ||||||||||||||||||
Fh Arm 1Q1534 H15T1Y+223.1 10.261 | 3.23 | % | 6/1/2037 | 227 | 240 | ||||||||||||||||||
Fhlmc Gold 30Yr #Q3-7305 | 3.00 | % | 11/1/2045 | 1,182 | 1,262 | ||||||||||||||||||
Fhlmc Gold 30Yr Gnt #G0-8687 | 3.50 | % | 1/1/2046 | 1,954 | 2,105 | ||||||||||||||||||
Fhlmc Gold 30Yr Gnt #G0-8693 | 3.50 | % | 3/1/2046 | 45 | 48 | ||||||||||||||||||
Fhlmc Gold 30Yr Gnt #G0-8823 | 3.50 | % | 7/1/2048 | 1,024 | 1,082 | ||||||||||||||||||
Fhlmc Gold 30Yr Gnt #G6-1040 | 3.50 | % | 6/1/2047 | 6,184 | 6,705 | ||||||||||||||||||
Fn Arm 793029 Us0006M+158.2 10.869 | 1.99 | % | 7/1/2034 | 193 | 200 | ||||||||||||||||||
Fnma Nt (3Mmm) | 2.00 | % | 1/5/2022 | 4,985 | 5,081 | ||||||||||||||||||
Fnma Pass Thru 15Yr #Al2222 | 3.00 | % | 8/1/2027 | 101 | 107 |
*Party-in-interest, as defined by ERISA
**The cost of participant-directed investments is not required to be disclosed
See accompanying Report of Independent Registered Public Accounting Firm
65
CITI RETIREMENT SAVINGS PLAN FOR PUERTO RICO
Schedule H, Line 4i – Schedule of Assets (Held at End of Year)
EIN: 66-0177415 Plan No. 002
December 31, 2020
Interest | Maturity | Number of | Cost | Current | |||||||||||||||||||
Identity of issuer | rate | date | shares/units | value** | value | ||||||||||||||||||
Fnma Pass Thru 15Yr #Fm1796 | 3.50 | % | 10/1/2034 | 1,501 | 1,609 | ||||||||||||||||||
Fnma Pass Thru 15Yr #Fm1843 | 3.50 | % | 11/1/2034 | 1,232 | 1,319 | ||||||||||||||||||
Fnma Pass Thru 15Yr #Fm3869 | 3.00 | % | 6/1/2035 | 242 | 253 | ||||||||||||||||||
Fnma Pass Thru 15Yr #Fm4457 | 3.00 | % | 7/1/2035 | 2,346 | 2,459 | ||||||||||||||||||
Fnma Pass Thru 20Yr #255075 | 5.50 | % | 2/1/2024 | 121 | 135 | ||||||||||||||||||
Fnma Pass Thru 20Yr #256600 | 5.50 | % | 2/1/2027 | 1 | 1 | ||||||||||||||||||
Fnma Pass Thru 20Yr #257047 | 5.50 | % | 1/1/2028 | 30 | 33 | ||||||||||||||||||
Fnma Pass Thru 20Yr #310164 | 5.50 | % | 1/1/2026 | 60 | 67 | ||||||||||||||||||
Fnma Pass Thru 20Yr #888843 | 5.50 | % | 3/1/2027 | 33 | 37 | ||||||||||||||||||
Fnma Pass Thru 20Yr #Ad0912 | 5.50 | % | 4/1/2029 | 98 | 110 | ||||||||||||||||||
Fnma Pass Thru 20Yr #Ae0787 | 5.50 | % | 5/1/2028 | 37 | 42 | ||||||||||||||||||
Fnma Pass Thru 20Yr #Al6938 | 5.50 | % | 4/1/2030 | 54 | 60 | ||||||||||||||||||
Fnma Pass Thru 30Yr #357908 | 5.50 | % | 7/1/2035 | 12 | 14 | ||||||||||||||||||
Fnma Pass Thru 30Yr #756202 | 5.50 | % | 12/1/2033 | 11 | 13 | ||||||||||||||||||
Fnma Pass Thru 30Yr #802316 | 5.50 | % | 11/1/2034 | 8 | 10 | ||||||||||||||||||
Fnma Pass Thru 30Yr #808040 | 5.50 | % | 2/1/2035 | 181 | 212 | ||||||||||||||||||
Fnma Pass Thru 30Yr #817640 | 5.50 | % | 11/1/2035 | 103 | 115 | ||||||||||||||||||
Fnma Pass Thru 30Yr #831356 | 5.50 | % | 3/1/2036 | 85 | 100 | ||||||||||||||||||
Fnma Pass Thru 30Yr #849299 | 5.50 | % | 1/1/2036 | 170 | 200 | ||||||||||||||||||
Fnma Pass Thru 30Yr #865433 | 5.50 | % | 2/1/2036 | 6 | 6 | ||||||||||||||||||
Fnma Pass Thru 30Yr #889561 | 5.50 | % | 6/1/2038 | 110 | 129 | ||||||||||||||||||
Fnma Pass Thru 30Yr #940765 | 5.50 | % | 6/1/2037 | 71 | 84 | ||||||||||||||||||
Fnma Pass Thru 30Yr #995759 | 5.50 | % | 11/1/2038 | 335 | 392 | ||||||||||||||||||
Fnma Pass Thru 30Yr #Ad0963 | 5.50 | % | 9/1/2038 | 42 | 50 | ||||||||||||||||||
Fnma Pass Thru 30Yr #Al7579 | 5.50 | % | 2/1/2042 | 101 | 118 | ||||||||||||||||||
Fnma Pass Thru 30Yr #As0924 | 5.00 | % | 11/1/2043 | 867 | 977 | ||||||||||||||||||
Fnma Pass Thru 30Yr #Au5386 | 3.00 | % | 6/1/2043 | 1,832 | 1,942 | ||||||||||||||||||
Fnma Pass Thru 30Yr #Fm3241 | 3.00 | % | 3/1/2050 | 2,197 | 2,335 | ||||||||||||||||||
Fnma Pass Thru 30Yr #Ma3495 | 4.00 | % | 10/1/2048 | 3,104 | 3,315 | ||||||||||||||||||
Fnma Pass Thru 30Yr #Zt1594 | 4.00 | % | 1/1/2049 | 1,828 | 1,950 | ||||||||||||||||||
Fnma Tba 2.0% Mar 30Yr | 2.00 | % | 3/11/2051 | 4,353 | 4,508 | ||||||||||||||||||
Fnma Tba 2.5% Mar 30Yr | 2.50 | % | 3/11/2051 | 30,685 | 32,249 | ||||||||||||||||||
Gnma Ii Multpl Sgl 30Yr #Ma4587M | 4.00 | % | 7/20/2047 | 968 | 1,043 | ||||||||||||||||||
Gnma Ii Multpl Sgl 30Yr #Ma4720M | 4.00 | % | 9/20/2047 | 2,045 | 2,205 | ||||||||||||||||||
Gnma Ii Tba 2.0% Mar 30Yr Jmbo | 2.00 | % | 3/18/2051 | 7,443 | 7,759 | ||||||||||||||||||
Gnma Ii Tba 2.5% Mar 30Yr Jmbo | 2.50 | % | 3/18/2051 | 1,826 | 1,926 | ||||||||||||||||||
Goldman Sachs Group Inc Sr Unsec | 3.85 | % | 1/26/2027 | 3,511 | 4,008 | ||||||||||||||||||
Guardian Life Glob Sec 144A | 2.00 | % | 4/26/2021 | 1,404 | 1,412 | ||||||||||||||||||
Hsbc Holdings Plc Sr Unsec | 4.58�� | % | 6/19/2029 | 2,668 | 3,159 | ||||||||||||||||||
Industry Pub Facs-A | 4.34 | % | 7/1/2024 | 702 | 777 | ||||||||||||||||||
Ing Bank Nv Covered Sec 144A | 2.63 | % | 12/5/2022 | 948 | 990 | ||||||||||||||||||
Jackson Natl Life Global Sec 144A | 2.25 | % | 4/29/2021 | 351 | 353 |
*Party-in-interest, as defined by ERISA
**The cost of participant-directed investments is not required to be disclosed
See accompanying Report of Independent Registered Public Accounting Firm
66
CITI RETIREMENT SAVINGS PLAN FOR PUERTO RICO
Schedule H, Line 4i – Schedule of Assets (Held at End of Year)
EIN: 66-0177415 Plan No. 002
December 31, 2020
Interest | Maturity | Number of | Cost | Current | |||||||||||||||||||
Identity of issuer | rate | date | shares/units | value** | value | ||||||||||||||||||
Jpmorgan Chase & Co Sr Unsec | 4.01 | % | 4/23/2029 | 2,107 | 2,476 | ||||||||||||||||||
Kinder Morgan Ener Part Sr Unsec | 4.25 | % | 9/1/2024 | 1,194 | 1,334 | ||||||||||||||||||
Lloyds Banking Group Plc Sr Unsec | 4.55 | % | 8/16/2028 | 983 | 1,187 | ||||||||||||||||||
Lloyds Banking Group Plc Sr Unsec | 3.57 | % | 11/7/2028 | 351 | 397 | ||||||||||||||||||
Met Tow Gl Funding Sofr Sec 144A | 0.64 | % | 1/17/2023 | 1,053 | 1,057 | ||||||||||||||||||
Met Trn Auth-A2-Babs | 5.36 | % | 11/15/2023 | 421 | 468 | ||||||||||||||||||
Mizuho Financial Group Sr Unsec 144A | 3.48 | % | 4/12/2026 | 1,053 | 1,181 | ||||||||||||||||||
Morgan Stanley Sr Unsec | 3.63 | % | 1/20/2027 | 1,826 | 2,092 | ||||||||||||||||||
Morgan Stanley Sr Unsec | 3.59 | % | 7/22/2028 | 702 | 802 | ||||||||||||||||||
New York Life Global Fdg Sec 144A | 0.49 | % | 1/21/2022 | 492 | 493 | ||||||||||||||||||
Nissan Motor Co Sr Unsec 144A | 4.35 | % | 9/17/2027 | 702 | 776 | ||||||||||||||||||
Ny St Urban Dev-B | 2.10 | % | 3/15/2022 | 1,183 | 1,196 | ||||||||||||||||||
Nys Twy-Txb-B-Babs | 5.45 | % | 4/1/2025 | 1,194 | 1,357 | ||||||||||||||||||
Oracle Corp Sr Unsec | 2.95 | % | 11/15/2024 | 1,404 | 1,529 | ||||||||||||||||||
Pacific Gas & Electric | 1.60 | % | 11/15/2021 | 211 | 211 | ||||||||||||||||||
Pacific Gas & Electric Sr Unsec | 4.25 | % | 8/1/2023 | 351 | 377 | ||||||||||||||||||
Pacific Gas & Electric Sr Unsec | 3.85 | % | 11/15/2023 | 562 | 598 | ||||||||||||||||||
Ppl Wem Holdings Plc Sr Unsec 144A | 5.38 | % | 5/1/2021 | 632 | 634 | ||||||||||||||||||
Santander Uk Group Hldgs Sr Unsec | 3.37 | % | 1/5/2024 | 702 | 740 | ||||||||||||||||||
Seven & I Holdings Sr Unsec 144A | 3.35 | % | 9/17/2021 | 702 | 716 | ||||||||||||||||||
Slclt 2007-1 A4 3Mlib+6Bp | 0.28 | % | 5/15/2029 | 591 | 582 | ||||||||||||||||||
Slma 2005-7 A4 3Mlib+15Bp | 0.36 | % | 10/25/2029 | 628 | 623 | ||||||||||||||||||
Slma 2005-8 A4 3Mlib | 0.76 | % | 1/25/2028 | 403 | 403 | ||||||||||||||||||
Slma 2006-5 A5 3Mlib+11Bp | 0.32 | % | 1/25/2027 | 19 | 19 | ||||||||||||||||||
Slma 2006-8 A5 3Mlib+11Bp | 0.32 | % | 1/27/2025 | 255 | 255 | ||||||||||||||||||
Slma 2007-1 A5 3Mlib+9 | 0.30 | % | 1/26/2026 | 84 | 84 | ||||||||||||||||||
Smbc Aviation Capital Fi Sr Unsec 144A | 4.13 | % | 7/15/2023 | 702 | 750 | ||||||||||||||||||
Sprint Spectrum / Spec I Sec 144A | 3.36 | % | 3/20/2023 | 224 | 226 | ||||||||||||||||||
Standard Chartered Pl Sr Unsec 144A Sofr | 1.34 | % | 10/14/2023 | 843 | 848 | ||||||||||||||||||
Stanford University Unsec | 1.29 | % | 6/1/2027 | 492 | 506 | ||||||||||||||||||
Sumitomo Mitsui Finl Grp Sr Unsec | 2.13 | % | 7/8/2030 | 702 | 733 | ||||||||||||||||||
Sutter Health Unsec | 3.70 | % | 8/15/2028 | 843 | 957 | ||||||||||||||||||
Telstra Corp Ltd Nt 144A | 4.80 | % | 10/12/2021 | 211 | 218 | ||||||||||||||||||
U S Treasury Note | 1.50 | % | 11/30/2021 | 17,063 | 17,278 | ||||||||||||||||||
U S Treasury Note | 1.50 | % | 10/31/2021 | 5,407 | 5,469 | ||||||||||||||||||
U S Treasury Note | 2.25 | % | 4/30/2021 | 12,288 | 12,373 | ||||||||||||||||||
U S Treasury Note | 2.13 | % | 12/31/2021 | 1,966 | 2,005 | ||||||||||||||||||
U S Treasury Note | 1.75 | % | 7/31/2021 | 9,479 | 9,569 | ||||||||||||||||||
U S Treasury Note | 2.13 | % | 5/31/2021 | 7,443 | 7,504 | ||||||||||||||||||
U S Treasury Note | 2.88 | % | 11/15/2021 | 2,107 | 2,157 | ||||||||||||||||||
U S Treasury Note | 0.13 | % | 11/30/2022 | 13,903 | 13,909 |
*Party-in-interest, as defined by ERISA
**The cost of participant-directed investments is not required to be disclosed
See accompanying Report of Independent Registered Public Accounting Firm
67
CITI RETIREMENT SAVINGS PLAN FOR PUERTO RICO
Schedule H, Line 4i – Schedule of Assets (Held at End of Year)
EIN: 66-0177415 Plan No. 002
December 31, 2020
Interest | Maturity | Number of | Cost | Current | |||||||||||||||||||
Identity of issuer | rate | date | shares/units | value** | value | ||||||||||||||||||
U S Treasury Note | 0.13 | % | 10/31/2022 | 19,310 | 19,313 | ||||||||||||||||||
U S Treasury Note | 1.38 | % | 1/31/2025 | 2,036 | 2,128 | ||||||||||||||||||
U S Treasury Note | 1.88 | % | 1/31/2022 | 18,959 | 19,319 | ||||||||||||||||||
U S Treasury Note | 1.75 | % | 3/31/2022 | 2,107 | 2,149 | ||||||||||||||||||
U S Treasury Repo | 0.11 | % | 1/5/2021 | 46,554 | 46,554 | ||||||||||||||||||
U S Treasury Repo | 0.12 | % | 1/4/2021 | 46,554 | 46,554 | ||||||||||||||||||
Ubs Group Ag Sr Unsec 144A | 1.36 | % | 1/30/2027 | 1,404 | 1,421 | ||||||||||||||||||
Ubs Group Funding Sr Unsec 144A | 4.13 | % | 9/24/2025 | 246 | 282 | ||||||||||||||||||
Univ Of Pittsburgh Pa | 2.32 | % | 9/15/2021 | 1,615 | 1,638 | ||||||||||||||||||
Ut St-Babs-B | 3.54 | % | 7/1/2025 | 1,439 | 1,566 | ||||||||||||||||||
Wells Fargo & Company Sr Unsec | 2.88 | % | 10/30/2030 | 281 | 307 | ||||||||||||||||||
Wells Fargo & Company Sr Unsec | 3.20 | % | 6/17/2027 | 492 | 545 | ||||||||||||||||||
Wells Fargo & Company Sr Unsec | 3.58 | % | 5/22/2028 | 702 | 796 | ||||||||||||||||||
Wells Fargo & Company Sr Unsec | 3.55 | % | 9/29/2025 | 1,194 | 1,342 | ||||||||||||||||||
Wells Fargo & Company Sr Unsec | 3.00 | % | 4/22/2026 | 878 | 967 | ||||||||||||||||||
Yale University Unsec | 0.87 | % | 4/15/2025 | 1,404 | 1,427 | ||||||||||||||||||
Interest Receivable | 1,046 | ||||||||||||||||||||||
Net Unsettled Trades | (92,381) | ||||||||||||||||||||||
Broker Money | (199) | ||||||||||||||||||||||
Total American General Life Contract No. 725840 | $ | 277,306 | |||||||||||||||||||||
Royal Bank of Canada Contract No. Citigroup01 | |||||||||||||||||||||||
American Intl Group Sr Unsec | 4.20 | % | 4/1/2028 | 702 | $ | 835 | |||||||||||||||||
Andrew W Mellon Foundati Unsec | 0.95 | % | 8/1/2027 | 843 | 843 | ||||||||||||||||||
Apple Inc Sr Unsec | 1.70 | % | 9/11/2022 | 913 | 936 | ||||||||||||||||||
Arrow Electronics Inc Sr Unsec | 3.25 | % | 9/8/2024 | 702 | 760 | ||||||||||||||||||
Barclays Plc Sr Unsec | 2.85 | % | 5/7/2026 | 913 | 981 | ||||||||||||||||||
Barclays Plc Sr Unsec | 3.65 | % | 3/16/2025 | 702 | 775 | ||||||||||||||||||
Bay Area Ca Toll Authority | 2.57 | % | 4/1/2031 | 843 | 909 | ||||||||||||||||||
Bnp Paribas Sr Non-Prefer 144A | 3.05 | % | 1/13/2031 | 843 | 921 | ||||||||||||||||||
Bp Cap Markets America Sr Unsec | 4.74 | % | 3/11/2021 | 1,755 | 1,770 | ||||||||||||||||||
Brookfield Finance Inc Sr Unsec | 4.35 | % | 4/15/2030 | 1,053 | 1,263 | ||||||||||||||||||
Cobb-Marietta Coliseum | 2.55 | % | 7/1/2021 | 878 | 887 | ||||||||||||||||||
* | Collective Us Govt Stif 15 Bps | — | % | 12/1/2030 | 356 | 356 | |||||||||||||||||
Cooperatieve Rabobank Ua Sr Unsec 144A | 3.88 | % | 9/26/2023 | 3,651 | 3,985 | ||||||||||||||||||
Daimler Finance Na Llc | 3.75 | % | 11/5/2021 | 492 | 505 | ||||||||||||||||||
Daimler Finance Na Llc Sr Unsec 144A Frn | 1.12 | % | 2/15/2022 | 702 | 708 | ||||||||||||||||||
Dell Int Llc / Emc Corp Sr Sec 144A | 4.90 | % | 10/1/2026 | 351 | 415 | ||||||||||||||||||
Dell Intl Llc / Emc 144A Smr | 6.02 | % | 6/15/2026 | 351 | 429 | ||||||||||||||||||
Deutsche Bank Ny Sr Unsec | 4.25 | % | 10/14/2021 | 983 | 1,008 |
*Party-in-interest, as defined by ERISA
**The cost of participant-directed investments is not required to be disclosed
See accompanying Report of Independent Registered Public Accounting Firm
68
CITI RETIREMENT SAVINGS PLAN FOR PUERTO RICO
Schedule H, Line 4i – Schedule of Assets (Held at End of Year)
EIN: 66-0177415 Plan No. 002
December 31, 2020
Interest | Maturity | Number of | Cost | Current | |||||||||||||||||||
Identity of issuer | rate | date | shares/units | value** | value | ||||||||||||||||||
Emory University Unsec | 2.14 | % | 9/1/2030 | 913 | 961 | ||||||||||||||||||
Enbridge Inc Sr Unsec | 0.72 | % | 2/18/2022 | 913 | 913 | ||||||||||||||||||
Entergy Louisiana Llc 1St Mtge Sec | 0.62 | % | 11/17/2023 | 702 | 705 | ||||||||||||||||||
European Investment Bank Sr Unsec | 2.00 | % | 3/15/2021 | 1,580 | 1,586 | ||||||||||||||||||
Fed Home Ln Bk Bd (1.331Mmm) | 3.38 | % | 12/8/2023 | 1,194 | 1,304 | ||||||||||||||||||
Fed Home Ln Mtge Glbl Nt (1.035Mmm) | 0.80 | % | 10/28/2026 | 1,896 | 1,897 | ||||||||||||||||||
Fed Home Ln Mtge Glbl Nt (3.5Mmm) | 0.25 | % | 9/8/2023 | 2,738 | 2,745 | ||||||||||||||||||
Fed Home Ln Mtge Glbl Nt (850Mm) | 0.65 | % | 10/27/2025 | 2,738 | 2,740 | ||||||||||||||||||
Fh Arm 1Q1534 H15T1Y+223.1 10.261 | 3.23 | % | 6/1/2037 | 227 | 240 | ||||||||||||||||||
Fhlmc Gold 30Yr #Q3-7305 | 3.00 | % | 11/1/2045 | 1,182 | 1,262 | ||||||||||||||||||
Fhlmc Gold 30Yr Gnt #G0-8687 | 3.50 | % | 1/1/2046 | 1,954 | 2,105 | ||||||||||||||||||
Fhlmc Gold 30Yr Gnt #G0-8693 | 3.50 | % | 3/1/2046 | 45 | 48 | ||||||||||||||||||
Fhlmc Gold 30Yr Gnt #G0-8823 | 3.50 | % | 7/1/2048 | 1,024 | 1,082 | ||||||||||||||||||
Fhlmc Gold 30Yr Gnt #G6-1040 | 3.50 | % | 6/1/2047 | 6,184 | 6,705 | ||||||||||||||||||
Fn Arm 793029 Us0006M+158.2 10.869 | 1.99 | % | 7/1/2034 | 193 | 200 | ||||||||||||||||||
Fnma Nt (3Mmm) | 2.00 | % | 1/5/2022 | 4,985 | 5,081 | ||||||||||||||||||
Fnma Pass Thru 15Yr #Al2222 | 3.00 | % | 8/1/2027 | 101 | 107 | ||||||||||||||||||
Fnma Pass Thru 15Yr #Fm1796 | 3.50 | % | 10/1/2034 | 1,501 | 1,609 | ||||||||||||||||||
Fnma Pass Thru 15Yr #Fm1843 | 3.50 | % | 11/1/2034 | 1,232 | 1,319 | ||||||||||||||||||
Fnma Pass Thru 15Yr #Fm3869 | 3.00 | % | 6/1/2035 | 242 | 253 | ||||||||||||||||||
Fnma Pass Thru 15Yr #Fm4457 | 3.00 | % | 7/1/2035 | 2,346 | 2,459 | ||||||||||||||||||
Fnma Pass Thru 20Yr #255075 | 5.50 | % | 2/1/2024 | 121 | 135 | ||||||||||||||||||
Fnma Pass Thru 20Yr #256600 | 5.50 | % | 2/1/2027 | 1 | 1 | ||||||||||||||||||
Fnma Pass Thru 20Yr #257047 | 5.50 | % | 1/1/2028 | 30 | 33 | ||||||||||||||||||
Fnma Pass Thru 20Yr #310164 | 5.50 | % | 1/1/2026 | 60 | 67 | ||||||||||||||||||
Fnma Pass Thru 20Yr #888843 | 5.50 | % | 3/1/2027 | 33 | 37 | ||||||||||||||||||
Fnma Pass Thru 20Yr #Ad0912 | 5.50 | % | 4/1/2029 | 98 | 110 | ||||||||||||||||||
Fnma Pass Thru 20Yr #Ae0787 | 5.50 | % | 5/1/2028 | 37 | 42 | ||||||||||||||||||
Fnma Pass Thru 20Yr #Al6938 | 5.50 | % | 4/1/2030 | 54 | 60 | ||||||||||||||||||
Fnma Pass Thru 30Yr #357908 | 5.50 | % | 7/1/2035 | 12 | 14 | ||||||||||||||||||
Fnma Pass Thru 30Yr #756202 | 5.50 | % | 12/1/2033 | 11 | 13 | ||||||||||||||||||
Fnma Pass Thru 30Yr #802316 | 5.50 | % | 11/1/2034 | 8 | 10 | ||||||||||||||||||
Fnma Pass Thru 30Yr #808040 | 5.50 | % | 2/1/2035 | 181 | 212 | ||||||||||||||||||
Fnma Pass Thru 30Yr #817640 | 5.50 | % | 11/1/2035 | 103 | 115 | ||||||||||||||||||
Fnma Pass Thru 30Yr #831356 | 5.50 | % | 3/1/2036 | 85 | 100 | ||||||||||||||||||
Fnma Pass Thru 30Yr #849299 | 5.50 | % | 1/1/2036 | 170 | 200 | ||||||||||||||||||
Fnma Pass Thru 30Yr #865433 | 5.50 | % | 2/1/2036 | 6 | 6 | ||||||||||||||||||
Fnma Pass Thru 30Yr #889561 | 5.50 | % | 6/1/2038 | 110 | 129 | ||||||||||||||||||
Fnma Pass Thru 30Yr #940765 | 5.50 | % | 6/1/2037 | 71 | 84 | ||||||||||||||||||
Fnma Pass Thru 30Yr #995759 | 5.50 | % | 11/1/2038 | 335 | 392 | ||||||||||||||||||
Fnma Pass Thru 30Yr #Ad0963 | 5.50 | % | 9/1/2038 | 42 | 50 | ||||||||||||||||||
Fnma Pass Thru 30Yr #Al7579 | 5.50 | % | 2/1/2042 | 101 | 118 |
*Party-in-interest, as defined by ERISA
**The cost of participant-directed investments is not required to be disclosed
See accompanying Report of Independent Registered Public Accounting Firm
69
CITI RETIREMENT SAVINGS PLAN FOR PUERTO RICO
Schedule H, Line 4i – Schedule of Assets (Held at End of Year)
EIN: 66-0177415 Plan No. 002
December 31, 2020
Interest | Maturity | Number of | Cost | Current | |||||||||||||||||||
Identity of issuer | rate | date | shares/units | value** | value | ||||||||||||||||||
Fnma Pass Thru 30Yr #As0924 | 5.00 | % | 11/1/2043 | 867 | 977 | ||||||||||||||||||
Fnma Pass Thru 30Yr #Au5386 | 3.00 | % | 6/1/2043 | 1,832 | 1,942 | ||||||||||||||||||
Fnma Pass Thru 30Yr #Fm3241 | 3.00 | % | 3/1/2050 | 2,197 | 2,335 | ||||||||||||||||||
Fnma Pass Thru 30Yr #Ma3495 | 4.00 | % | 10/1/2048 | 3,104 | 3,315 | ||||||||||||||||||
Fnma Pass Thru 30Yr #Zt1594 | 4.00 | % | 1/1/2049 | 1,828 | 1,950 | ||||||||||||||||||
Fnma Tba 2.0% Mar 30Yr | 2.00 | % | 3/11/2051 | 4,353 | 4,508 | ||||||||||||||||||
Fnma Tba 2.5% Mar 30Yr | 2.50 | % | 3/11/2051 | 30,685 | 32,249 | ||||||||||||||||||
Gnma Ii Multpl Sgl 30Yr #Ma4587M | 4.00 | % | 7/20/2047 | 968 | 1,043 | ||||||||||||||||||
Gnma Ii Multpl Sgl 30Yr #Ma4720M | 4.00 | % | 9/20/2047 | 2,045 | 2,205 | ||||||||||||||||||
Gnma Ii Tba 2.0% Mar 30Yr Jmbo | 2.00 | % | 3/18/2051 | 7,443 | 7,759 | ||||||||||||||||||
Gnma Ii Tba 2.5% Mar 30Yr Jmbo | 2.50 | % | 3/18/2051 | 1,826 | 1,926 | ||||||||||||||||||
Goldman Sachs Group Inc Sr Unsec | 3.85 | % | 1/26/2027 | 3,511 | 4,008 | ||||||||||||||||||
Guardian Life Glob Sec 144A | 2.00 | % | 4/26/2021 | 1,404 | 1,412 | ||||||||||||||||||
Hsbc Holdings Plc Sr Unsec | 4.58 | % | 6/19/2029 | 2,668 | 3,159 | ||||||||||||||||||
Industry Pub Facs-A | 4.34 | % | 7/1/2024 | 702 | 777 | ||||||||||||||||||
Ing Bank Nv Covered Sec 144A | 2.63 | % | 12/5/2022 | 948 | 990 | ||||||||||||||||||
Jackson Natl Life Global Sec 144A | 2.25 | % | 4/29/2021 | 351 | 353 | ||||||||||||||||||
Jpmorgan Chase & Co Sr Unsec | 4.01 | % | 4/23/2029 | 2,107 | 2,476 | ||||||||||||||||||
Kinder Morgan Ener Part Sr Unsec | 4.25 | % | 9/1/2024 | 1,194 | 1,334 | ||||||||||||||||||
Lloyds Banking Group Plc Sr Unsec | 4.55 | % | 8/16/2028 | 983 | 1,187 | ||||||||||||||||||
Lloyds Banking Group Plc Sr Unsec | 3.57 | % | 11/7/2028 | 351 | 397 | ||||||||||||||||||
Met Tow Gl Funding Sofr Sec 144A | 0.64 | % | 1/17/2023 | 1,053 | 1,057 | ||||||||||||||||||
Met Trn Auth-A2-Babs | 5.36 | % | 11/15/2023 | 421 | 468 | ||||||||||||||||||
Mizuho Financial Group Sr Unsec 144A | 3.48 | % | 4/12/2026 | 1,053 | 1,181 | ||||||||||||||||||
Morgan Stanley Sr Unsec | 3.63 | % | 1/20/2027 | 1,826 | 2,092 | ||||||||||||||||||
Morgan Stanley Sr Unsec | 3.59 | % | 7/22/2028 | 702 | 802 | ||||||||||||||||||
New York Life Global Fdg Sec 144A | 0.49 | % | 1/21/2022 | 492 | 493 | ||||||||||||||||||
Nissan Motor Co Sr Unsec 144A | 4.35 | % | 9/17/2027 | 702 | 776 | ||||||||||||||||||
Ny St Urban Dev-B | 2.10 | % | 3/15/2022 | 1,183 | 1,196 | ||||||||||||||||||
Nys Twy-Txb-B-Babs | 5.45 | % | 4/1/2025 | 1,194 | 1,357 | ||||||||||||||||||
Oracle Corp Sr Unsec | 2.95 | % | 11/15/2024 | 1,404 | 1,529 | ||||||||||||||||||
Pacific Gas & Electric | 1.60 | % | 11/15/2021 | 211 | 211 | ||||||||||||||||||
Pacific Gas & Electric Sr Unsec | 4.25 | % | 8/1/2023 | 351 | 377 | ||||||||||||||||||
Pacific Gas & Electric Sr Unsec | 3.85 | % | 11/15/2023 | 562 | 598 | ||||||||||||||||||
Ppl Wem Holdings Plc Sr Unsec 144A | 5.38 | % | 5/1/2021 | 632 | 634 | ||||||||||||||||||
Santander Uk Group Hldgs Sr Unsec | 3.37 | % | 1/5/2024 | 702 | 740 | ||||||||||||||||||
Seven & I Holdings Sr Unsec 144A | 3.35 | % | 9/17/2021 | 702 | 716 | ||||||||||||||||||
Slclt 2007-1 A4 3Mlib+6Bp | 0.28 | % | 5/15/2029 | 591 | 582 | ||||||||||||||||||
Slma 2005-7 A4 3Mlib+15Bp | 0.36 | % | 10/25/2029 | 628 | 623 | ||||||||||||||||||
Slma 2005-8 A4 3Mlib | 0.76 | % | 1/25/2028 | 403 | 403 | ||||||||||||||||||
Slma 2006-5 A5 3Mlib+11Bp | 0.32 | % | 1/25/2027 | 19 | 19 |
*Party-in-interest, as defined by ERISA
**The cost of participant-directed investments is not required to be disclosed
See accompanying Report of Independent Registered Public Accounting Firm
70
CITI RETIREMENT SAVINGS PLAN FOR PUERTO RICO
Schedule H, Line 4i – Schedule of Assets (Held at End of Year)
EIN: 66-0177415 Plan No. 002
December 31, 2020
Interest | Maturity | Number of | Cost | Current | |||||||||||||||||||
Identity of issuer | rate | date | shares/units | value** | value | ||||||||||||||||||
Slma 2006-8 A5 3Mlib+11Bp | 0.32 | % | 1/27/2025 | 255 | 255 | ||||||||||||||||||
Slma 2007-1 A5 3Mlib+9 | 0.30 | % | 1/26/2026 | 84 | 84 | ||||||||||||||||||
Smbc Aviation Capital Fi Sr Unsec 144A | 4.13 | % | 7/15/2023 | 702 | 750 | ||||||||||||||||||
Sprint Spectrum / Spec I Sec 144A | 3.36 | % | 3/20/2023 | 224 | 226 | ||||||||||||||||||
Standard Chartered Pl Sr Unsec 144A Sofr | 1.34 | % | 10/14/2023 | 843 | 848 | ||||||||||||||||||
Stanford University Unsec | 1.29 | % | 6/1/2027 | 492 | 506 | ||||||||||||||||||
Sumitomo Mitsui Finl Grp Sr Unsec | 2.13 | % | 7/8/2030 | 702 | 733 | ||||||||||||||||||
Sutter Health Unsec | 3.70 | % | 8/15/2028 | 843 | 957 | ||||||||||||||||||
Telstra Corp Ltd Nt 144A | 4.80 | % | 10/12/2021 | 211 | 218 | ||||||||||||||||||
U S Treasury Note | 1.50 | % | 11/30/2021 | 17,063 | 17,278 | ||||||||||||||||||
U S Treasury Note | 1.50 | % | 10/31/2021 | 5,407 | 5,469 | ||||||||||||||||||
U S Treasury Note | 2.25 | % | 4/30/2021 | 12,288 | 12,373 | ||||||||||||||||||
U S Treasury Note | 2.13 | % | 12/31/2021 | 1,966 | 2,005 | ||||||||||||||||||
U S Treasury Note | 1.75 | % | 7/31/2021 | 9,479 | 9,569 | ||||||||||||||||||
U S Treasury Note | 2.13 | % | 5/31/2021 | 7,443 | 7,504 | ||||||||||||||||||
U S Treasury Note | 2.88 | % | 11/15/2021 | 2,107 | 2,157 | ||||||||||||||||||
U S Treasury Note | 0.13 | % | 11/30/2022 | 13,903 | 13,909 | ||||||||||||||||||
U S Treasury Note | 0.13 | % | 10/31/2022 | 19,310 | 19,313 | ||||||||||||||||||
U S Treasury Note | 1.38 | % | 1/31/2025 | 2,036 | 2,128 | ||||||||||||||||||
U S Treasury Note | 1.88 | % | 1/31/2022 | 18,959 | 19,319 | ||||||||||||||||||
U S Treasury Note | 1.75 | % | 3/31/2022 | 2,107 | 2,149 | ||||||||||||||||||
U S Treasury Repo | 0.11 | % | 1/5/2021 | 46,554 | 46,554 | ||||||||||||||||||
U S Treasury Repo | 0.12 | % | 1/4/2021 | 46,554 | 46,554 | ||||||||||||||||||
Ubs Group Ag Sr Unsec 144A | 1.36 | % | 1/30/2027 | 1,404 | 1,421 | ||||||||||||||||||
Ubs Group Funding Sr Unsec 144A | 4.13 | % | 9/24/2025 | 246 | 282 | ||||||||||||||||||
Univ Of Pittsburgh Pa | 2.32 | % | 9/15/2021 | 1,615 | 1,638 | ||||||||||||||||||
Ut St-Babs-B | 3.54 | % | 7/1/2025 | 1,439 | 1,566 | ||||||||||||||||||
Wells Fargo & Company Sr Unsec | 2.88 | % | 10/30/2030 | 281 | 307 | ||||||||||||||||||
Wells Fargo & Company Sr Unsec | 3.20 | % | 6/17/2027 | 492 | 545 | ||||||||||||||||||
Wells Fargo & Company Sr Unsec | 3.58 | % | 5/22/2028 | 702 | 796 | ||||||||||||||||||
Wells Fargo & Company Sr Unsec | 3.55 | % | 9/29/2025 | 1,194 | 1,342 | ||||||||||||||||||
Wells Fargo & Company Sr Unsec | 3.00 | % | 4/22/2026 | 878 | 967 | ||||||||||||||||||
Yale University Unsec | 0.87 | % | 4/15/2025 | 1,404 | 1,427 | ||||||||||||||||||
Interest Receivable | 1,046 | ||||||||||||||||||||||
Net Unsettled Trades | (92,381) | ||||||||||||||||||||||
Broker Money | (199) | ||||||||||||||||||||||
Total Royal Bank of Canada Contract No. Citigroup01 | $ | 277,306 | |||||||||||||||||||||
American United Life Insurance Company: S00020 | |||||||||||||||||||||||
Bank 2018-Bn13 A1 | 3.22 | % | 5/15/2023 | 5,968 | $ | 3,222 | |||||||||||||||||
Bank 2017-Bnk4 A1 | 2.00 | % | 12/15/2021 | 2,949 | 730 |
*Party-in-interest, as defined by ERISA
**The cost of participant-directed investments is not required to be disclosed
See accompanying Report of Independent Registered Public Accounting Firm
71
CITI RETIREMENT SAVINGS PLAN FOR PUERTO RICO
Schedule H, Line 4i – Schedule of Assets (Held at End of Year)
EIN: 66-0177415 Plan No. 002
December 31, 2020
Interest | Maturity | Number of | Cost | Current | |||||||||||||||||||
Identity of issuer | rate | date | shares/units | value** | value | ||||||||||||||||||
Cnh 2019-A A3 | 3.01 | % | 2/15/2023 | 2,458 | 2,257 | ||||||||||||||||||
Cnh 2019-C A3 | 2.01 | % | 7/17/2023 | 2,809 | 2,874 | ||||||||||||||||||
Comm 2014-Cr14 A2 | 3.15 | % | 7/10/2023 | 3,476 | 1,090 | ||||||||||||||||||
Cgcmt 2019-C7 A1 | 2.08 | % | 11/15/2024 | 2,809 | 2,548 | ||||||||||||||||||
Comm 2013-Lc6 A4 | 2.94 | % | 12/12/2022 | 4,073 | 3,403 | ||||||||||||||||||
Duk 1.731 09/01/22 | 1.73 | % | 9/1/2022 | 7,724 | 5,623 | ||||||||||||||||||
Fnr 2011-87 Ja | 3.00 | % | 11/25/2022 | 8,180 | 407 | ||||||||||||||||||
Fnr 2011-132 A | 3.00 | % | 2/25/2021 | 11,235 | 78 | ||||||||||||||||||
Fnr 2013-79 Va | 3.50 | % | 7/25/2022 | 10,954 | 4,196 | ||||||||||||||||||
Fnr 2015-48 Db | 3.00 | % | 1/25/2022 | 4,213 | 698 | ||||||||||||||||||
Fnr 2019-66 Kc | 3.00 | % | 4/25/2022 | 5,336 | 1,220 | ||||||||||||||||||
Fnr 2020-47 Ga | 2.00 | % | 11/25/2022 | 4,845 | 4,171 | ||||||||||||||||||
Fhr 3970 Da | 3.00 | % | 1/15/2021 | 7,443 | 12 | ||||||||||||||||||
Fhr 3979 Gd | 3.00 | % | 11/15/2021 | 4,915 | 187 | ||||||||||||||||||
Fhr 4039 Me | 2.00 | % | 10/16/2023 | 7,022 | 574 | ||||||||||||||||||
Fhr 4272 Yg | 2.00 | % | 11/15/2023 | 7,022 | 874 | ||||||||||||||||||
Fhr 4297 Ca | 3.00 | % | 11/15/2022 | 9,128 | 1,497 | ||||||||||||||||||
Fhr 4302 Da | 3.00 | % | 7/15/2022 | 12,288 | 2,005 | ||||||||||||||||||
Fhr 4486 Jn | 2.00 | % | 4/15/2024 | 4,213 | 804 | ||||||||||||||||||
Fhr 4504 Dn | 3.00 | % | 1/18/2022 | 9,269 | 1,166 | ||||||||||||||||||
Fhr 4571 Ca | 2.50 | % | 10/15/2026 | 5,758 | 2,490 | ||||||||||||||||||
Fhr 5057 Ab | 2.50 | % | 11/25/2026 | 3,764 | 3,816 | ||||||||||||||||||
Fnr 2011-24 Ha | 4.00 | % | 5/25/2022 | 23,172 | 1,091 | ||||||||||||||||||
Gnr 2013-41 Pa | 2.50 | % | 6/20/2023 | 8,005 | 1,467 | ||||||||||||||||||
Gnr 2013-124 Cp | 2.50 | % | 4/20/2022 | 5,968 | 337 | ||||||||||||||||||
Gnr 2015-16 Gm | 2.00 | % | 12/20/2024 | 8,707 | 2,061 | ||||||||||||||||||
Gnr 2020-74 Dc | 1.00 | % | 2/22/2028 | 5,617 | 4,462 | ||||||||||||||||||
Mbart 2018-1 A3 | 3.03 | % | 12/15/2021 | 2,879 | 1,370 | ||||||||||||||||||
Narot 2019-C A3 | 1.93 | % | 3/15/2023 | 2,107 | 2,151 | ||||||||||||||||||
Ubscm 2012-C1 A3 | 3.40 | % | 3/10/2022 | 4,845 | 4,475 | ||||||||||||||||||
T 2 1/2 02/28/21 | 2.50 | % | 3/1/2021 | 1,095 | 1,109 | ||||||||||||||||||
T 1 1/2 08/31/21 | 1.50 | % | 8/31/2021 | 9,358 | 9,490 | ||||||||||||||||||
Wfcm 2012-Lc5 A3 | 2.92 | % | 9/15/2022 | 4,494 | 4,093 | ||||||||||||||||||
Woart 2019-B A3 | 2.59 | % | 11/15/2022 | 4,073 | 4,145 | ||||||||||||||||||
Wrapper | 7 | ||||||||||||||||||||||
Total American United Life Insurance Company: S00020 | $ | 82,200 | |||||||||||||||||||||
Reinsurance Group of America Contract No. RGA00084 | |||||||||||||||||||||||
Abbvie, Inc. 3.20 11/21/2029 | 3.20 | % | 11/21/2029 | 4,073 | $ | 4,576 | |||||||||||||||||
American Express Master Trust 2.87 10/15/2024 | 2.87 | % | 10/15/2024 | 4,943 | 5,107 |
*Party-in-interest, as defined by ERISA
**The cost of participant-directed investments is not required to be disclosed
See accompanying Report of Independent Registered Public Accounting Firm
72
CITI RETIREMENT SAVINGS PLAN FOR PUERTO RICO
Schedule H, Line 4i – Schedule of Assets (Held at End of Year)
EIN: 66-0177415 Plan No. 002
December 31, 2020
Interest | Maturity | Number of | Cost | Current | |||||||||||||||||||
Identity of issuer | rate | date | shares/units | value** | value | ||||||||||||||||||
Anheuser-Busch Inbev Sa/Nv 3.65 02/01/2026 | 3.65 | % | 2/1/2026 | 1,369 | 1,568 | ||||||||||||||||||
Anthem, Inc. 2.95 12/01/2022 | 2.95 | % | 12/1/2022 | 1,404 | 1,475 | ||||||||||||||||||
At&T, Inc. 2.75 06/01/2031 | 2.75 | % | 6/1/2031 | 4,424 | 4,736 | ||||||||||||||||||
Bank Of America Corp. 3.004 12/20/2023 | 3.00 | % | 12/20/2023 | 2,323 | 2,448 | ||||||||||||||||||
Bank Of America Corp. 3.593 07/21/2028 | 3.59 | % | 7/21/2028 | 562 | 647 | ||||||||||||||||||
Bank Of America Corp. 4.183 11/25/2027 | 4.18 | % | 11/25/2027 | 632 | 736 | ||||||||||||||||||
Bank Of America Corp. 4.20 08/26/2024 | 4.20 | % | 8/26/2024 | 3,090 | 3,511 | ||||||||||||||||||
Barclays Plc 4.337 01/10/2028 | 4.34 | % | 1/10/2028 | 1,404 | 1,642 | ||||||||||||||||||
Bayer Ag 4.375 12/15/2028 | 4.38 | % | 12/15/2028 | 1,299 | 1,530 | ||||||||||||||||||
Bayerische Motoren Werke Ag 2.80 04/11/2026 | 2.80 | % | 4/11/2026 | 1,404 | 1,529 | ||||||||||||||||||
Bayerische Motoren Werke Ag 3.15 04/18/2024 | 3.15 | % | 4/18/2024 | 737 | 800 | ||||||||||||||||||
Berkshire Hathaway Energy 2.70 09/15/2030 | 2.70 | % | 9/15/2030 | 2,177 | 2,408 | ||||||||||||||||||
Bnp Paribas Sa 4.375 05/12/2026 | 4.38 | % | 5/12/2026 | 878 | 1,014 | ||||||||||||||||||
Bnp Paribas Sa 4.375 09/28/2025 | 4.38 | % | 9/28/2025 | 2,668 | 3,087 | ||||||||||||||||||
Bnp Paribas Sa 4.625 03/13/2027 | 4.63 | % | 3/13/2027 | 316 | 373 | ||||||||||||||||||
Boston Properties, Inc. 3.125 09/01/2023 | 3.13 | % | 9/1/2023 | 2,036 | 2,183 | ||||||||||||||||||
Boston Properties, Inc. 3.25 01/30/2031 | 3.25 | % | 1/30/2031 | 1,053 | 1,175 | ||||||||||||||||||
British American Tobacco Plc 2.726 03/25/2031 | 2.73 | % | 3/25/2031 | 1,088 | 1,135 | ||||||||||||||||||
Burlington Northern Santa Fe Llc 3.442 06/16/2028 | 3.44 | % | 6/16/2028 | 557 | 630 | ||||||||||||||||||
Capital One Financial Corp. 3.50 06/15/2023 | 3.50 | % | 6/15/2023 | 1,334 | 1,434 | ||||||||||||||||||
Capital One Financial Corp. 4.20 10/29/2025 | 4.20 | % | 10/29/2025 | 702 | 806 | ||||||||||||||||||
Cash | 0.01 | % | 7,710 | 7,710 | |||||||||||||||||||
Charter Communications, Inc. 4.20 03/15/2028 | 4.20 | % | 3/15/2028 | 2,036 | 2,374 | ||||||||||||||||||
Charter Communications, Inc. 4.908 07/23/2025 | 4.91 | % | 7/23/2025 | 1,896 | 2,244 | ||||||||||||||||||
Charter Communications, Inc. 5.05 03/30/2029 | 5.05 | % | 3/30/2029 | 351 | 431 | ||||||||||||||||||
Cigna Corp. 4.375 10/15/2028 | 4.38 | % | 10/15/2028 | 772 | 940 | ||||||||||||||||||
Comcast Corp. 3.95 10/15/2025 | 3.95 | % | 10/15/2025 | 772 | 894 | ||||||||||||||||||
Conocophillips 4.95 03/15/2026 | 4.95 | % | 3/15/2026 | 2,458 | 2,986 | ||||||||||||||||||
Cox Enterprises, Inc. 3.25 12/15/2022 | 3.25 | % | 12/15/2022 | 1,404 | 1,481 | ||||||||||||||||||
Cox Enterprises, Inc. 3.85 02/01/2025 | 3.85 | % | 2/1/2025 | 1,966 | 2,224 | ||||||||||||||||||
Crh Plc 3.875 05/18/2025 | 3.88 | % | 5/18/2025 | 1,334 | 1,510 | ||||||||||||||||||
Cvs Health Corp. 4.30 03/25/2028 | 4.30 | % | 3/25/2028 | 1,149 | 1,381 | ||||||||||||||||||
Dominion Energy, Inc. 2.75 03/15/2023 | 2.75 | % | 3/15/2023 | 1,369 | 1,445 |
*Party-in-interest, as defined by ERISA
**The cost of participant-directed investments is not required to be disclosed
See accompanying Report of Independent Registered Public Accounting Firm
73
CITI RETIREMENT SAVINGS PLAN FOR PUERTO RICO
Schedule H, Line 4i – Schedule of Assets (Held at End of Year)
EIN: 66-0177415 Plan No. 002
December 31, 2020
Interest | Maturity | Number of | Cost | Current | |||||||||||||||||||
Identity of issuer | rate | date | shares/units | value** | value | ||||||||||||||||||
Dominion Energy, Inc. 3.375 04/01/2030 | 3.38 | % | 4/1/2030 | 1,615 | 1,852 | ||||||||||||||||||
Dow, Inc. 4.80 11/30/2028 | 4.80 | % | 11/30/2028 | 2,036 | 2,511 | ||||||||||||||||||
Equity Residential 4.625 12/15/2021 | 4.63 | % | 12/15/2021 | 2,107 | 2,172 | ||||||||||||||||||
Exelon Corp. 2.95 08/15/2027 | 2.95 | % | 8/15/2027 | 702 | 787 | ||||||||||||||||||
Exelon Corp. 3.15 10/15/2025 | 3.15 | % | 10/15/2025 | 1,327 | 1,481 | ||||||||||||||||||
Exxon Mobil Corp. 3.482 03/19/2030 | 3.48 | % | 3/19/2030 | 1,615 | 1,895 | ||||||||||||||||||
Fannie Mae 2.00 11/01/2050 | 2.00 | % | 11/1/2050 | 6,354 | 6,629 | ||||||||||||||||||
Fannie Mae 2.50 08/01/2050 | 2.50 | % | 8/1/2050 | 8,829 | 9,418 | ||||||||||||||||||
Fannie Mae 2.50 09/01/2040 | 2.50 | % | 9/1/2040 | 16,263 | 17,407 | ||||||||||||||||||
Fannie Mae 2.50 09/01/2050 | 2.50 | % | 9/1/2050 | 11,677 | 12,400 | ||||||||||||||||||
Fannie Mae 2.887 10/01/2047 | 2.88 | % | 10/1/2047 | 558 | 583 | ||||||||||||||||||
Fannie Mae 2.954 10/01/2047 | 2.95 | % | 10/1/2047 | 378 | 395 | ||||||||||||||||||
Fannie Mae 3.071 07/01/2047 | 3.07 | % | 7/1/2047 | 2,359 | 2,467 | ||||||||||||||||||
Fannie Mae 3.147 07/01/2047 | 3.15 | % | 7/1/2047 | 2,429 | 2,544 | ||||||||||||||||||
Fannie Mae 3.156 06/01/2047 | 3.16 | % | 6/1/2047 | 1,774 | 1,857 | ||||||||||||||||||
Fannie Mae 3.326 10/01/2049 | 3.32 | % | 10/1/2049 | 3,265 | 3,416 | ||||||||||||||||||
Fannie Mae 3.50 02/01/2037 | 3.50 | % | 2/1/2037 | 5,989 | 6,372 | ||||||||||||||||||
Fannie Mae 3.50 10/01/2049 | 3.50 | % | 10/1/2049 | 2,503 | 2,651 | ||||||||||||||||||
Fannie Mae 3.50 11/01/2039 | 3.50 | % | 11/1/2039 | 4,652 | 4,926 | ||||||||||||||||||
Fannie Mae 4.00 03/01/2037 | 4.00 | % | 3/1/2037 | 496 | 537 | ||||||||||||||||||
Fannie Mae 4.50 01/01/2043 | 4.50 | % | 1/1/2043 | 5,525 | 6,185 | ||||||||||||||||||
Fannie Mae 4.50 06/01/2047 | 4.50 | % | 6/1/2047 | 5,248 | 5,770 | ||||||||||||||||||
Fannie Mae 4.50 06/01/2048 | 4.50 | % | 6/1/2048 | 646 | 704 | ||||||||||||||||||
Fannie Mae 4.50 07/01/2048 | 4.50 | % | 7/1/2048 | 1,161 | 1,266 | ||||||||||||||||||
Fannie Mae 4.50 08/01/2040 | 4.50 | % | 8/1/2040 | 2,589 | 2,883 | ||||||||||||||||||
Fannie Mae 5.00 02/01/2049 | 5.00 | % | 2/1/2049 | 565 | 626 | ||||||||||||||||||
Fannie Mae 5.00 03/01/2049 | 5.00 | % | 3/1/2049 | 1,909 | 2,119 | ||||||||||||||||||
Fannie Mae 5.00 12/01/2048 | 5.00 | % | 12/1/2048 | 2,009 | 2,230 | ||||||||||||||||||
Ford Motor Credit Co. Llc 4.063 11/01/2024 | 4.06 | % | 11/1/2024 | 632 | 668 | ||||||||||||||||||
Ford Motor Credit Co. Llc 4.375 08/06/2023 | 4.38 | % | 8/6/2023 | 3,300 | 3,482 | ||||||||||||||||||
Freddie Mac 3.213 05/01/2047 | 3.21 | % | 5/1/2047 | 327 | 341 | ||||||||||||||||||
Freddie Mac 3.272 07/01/2047 | 3.27 | % | 7/1/2047 | 818 | 855 | ||||||||||||||||||
Freddie Mac 3.372 06/01/2048 | 3.37 | % | 6/1/2048 | 488 | 510 | ||||||||||||||||||
Freddie Mac Gold 4.00 02/01/2046 | 4.00 | % | 2/1/2046 | 3,339 | 3,628 | ||||||||||||||||||
Freddie Mac Gold 4.00 11/01/2045 | 4.00 | % | 11/1/2045 | 663 | 722 | ||||||||||||||||||
Freddie Mac Gold 4.50 04/01/2047 | 4.50 | % | 4/1/2047 | 3,390 | 3,720 | ||||||||||||||||||
Freddie Mac Gold 4.50 07/01/2045 | 4.50 | % | 7/1/2045 | 4,106 | 4,607 | ||||||||||||||||||
Freddie Mac Gold 4.50 09/01/2044 | 4.50 | % | 9/1/2044 | 5,479 | 6,155 |
*Party-in-interest, as defined by ERISA
**The cost of participant-directed investments is not required to be disclosed
See accompanying Report of Independent Registered Public Accounting Firm
74
CITI RETIREMENT SAVINGS PLAN FOR PUERTO RICO
Schedule H, Line 4i – Schedule of Assets (Held at End of Year)
EIN: 66-0177415 Plan No. 002
December 31, 2020
Interest | Maturity | Number of | Cost | Current | |||||||||||||||||||
Identity of issuer | rate | date | shares/units | value** | value | ||||||||||||||||||
Freddie Mac Gold 4.50 10/01/2047 | 4.50 | % | 10/1/2047 | 899 | 984 | ||||||||||||||||||
Freddie Mac Pool 2.00 08/01/2050 | 2.00 | % | 8/1/2050 | 7,849 | 8,193 | ||||||||||||||||||
Freddie Mac Pool 2.50 07/01/2050 | 2.50 | % | 7/1/2050 | 7,489 | 7,953 | ||||||||||||||||||
Freddie Mac Pool 2.50 08/01/2040 | 2.50 | % | 8/1/2040 | 918 | 985 | ||||||||||||||||||
Freddie Mac Pool 2.50 10/01/2040 | 2.50 | % | 10/1/2040 | 1,932 | 2,068 | ||||||||||||||||||
Freddie Mac Pool 2.50 10/01/2040 | 2.50 | % | 10/1/2040 | 5,091 | 5,442 | ||||||||||||||||||
Home Depot, Inc. 2.50 04/15/2027 | 2.50 | % | 4/15/2027 | 948 | 1,045 | ||||||||||||||||||
Hsbc Holdings Plc 2.848 06/04/2031 | 2.85 | % | 6/4/2031 | 1,404 | 1,511 | ||||||||||||||||||
Hsbc Holdings Plc 4.25 08/18/2025 | 4.25 | % | 8/18/2025 | 2,668 | 3,073 | ||||||||||||||||||
Imperial Brands Plc 3.875 07/26/2029 | 3.88 | % | 7/26/2029 | 1,404 | 1,592 | ||||||||||||||||||
Jpmorgan Chase & Co. 2.522 04/22/2031 | 2.52 | % | 4/22/2031 | 1,159 | 1,250 | ||||||||||||||||||
Jpmorgan Chase & Co. 2.956 05/13/2031 | 2.96 | % | 5/13/2031 | 772 | 850 | ||||||||||||||||||
Jpmorgan Chase & Co. 3.375 05/01/2023 | 3.38 | % | 5/1/2023 | 2,107 | 2,263 | ||||||||||||||||||
Jpmorgan Chase & Co. 3.625 12/01/2027 | 3.63 | % | 12/1/2027 | 492 | 560 | ||||||||||||||||||
Jpmorgan Chase & Co. 4.493 03/24/2031 | 4.49 | % | 3/24/2031 | 1,966 | 2,441 | ||||||||||||||||||
Kinder Morgan, Inc. 4.30 06/01/2025 | 4.30 | % | 6/1/2025 | 3,300 | 3,777 | ||||||||||||||||||
Lloyds Banking Group Plc 4.582 12/10/2025 | 4.58 | % | 12/10/2025 | 2,107 | 2,414 | ||||||||||||||||||
Nextera Energy, Inc. 2.85 04/01/2025 | 2.85 | % | 4/1/2025 | 632 | 692 | ||||||||||||||||||
Nextera Energy, Inc. 3.15 04/01/2024 | 3.15 | % | 4/1/2024 | 1,369 | 1,491 | ||||||||||||||||||
Occidental Petroleum Corp. 3.20 08/15/2026 | 3.20 | % | 8/15/2026 | 1,475 | 1,397 | ||||||||||||||||||
Oracle Corp. 2.95 04/01/2030 | 2.95 | % | 4/1/2030 | 351 | 395 | ||||||||||||||||||
Philip Morris International, Inc. 2.10 05/01/2030 | 2.10 | % | 5/1/2030 | 3,581 | 3,745 | ||||||||||||||||||
Prosus Nv 3.68 01/21/2030 | 3.68 | % | 1/21/2030 | 421 | 465 | ||||||||||||||||||
Prosus Nv 5.50 07/21/2025 | 5.50 | % | 7/21/2025 | 1,088 | 1,275 | ||||||||||||||||||
Relx Plc 3.00 05/22/2030 | 3.00 | % | 5/22/2030 | 1,404 | 1,563 | ||||||||||||||||||
Slm Student Loan Trust 0.38475 01/25/2041 | 0.38 | % | 1/25/2041 | 3,892 | 3,756 | ||||||||||||||||||
Slm Student Loan Trust 0.38475 07/25/2040 | 0.38 | % | 7/25/2040 | 3,637 | 3,471 | ||||||||||||||||||
Slm Student Loan Trust 0.81475 01/25/2041 | 0.81 | % | 1/25/2041 | 990 | 977 | ||||||||||||||||||
Slm Student Loan Trust 0.84475 01/25/2040 | 0.84 | % | 1/25/2040 | 4,385 | 4,312 | ||||||||||||||||||
State Street Corp. 2.901 03/30/2026 | 2.90 | % | 3/30/2026 | 421 | 462 | ||||||||||||||||||
State Street Corp. 3.152 03/30/2031 | 3.15 | % | 3/30/2031 | 3,125 | 3,584 | ||||||||||||||||||
Target Corp. 2.65 09/15/2030 | 2.65 | % | 9/15/2030 | 1,475 | 1,667 | ||||||||||||||||||
The Sherwin-Williams Co. 3.45 06/01/2027 | 3.45 | % | 6/1/2027 | 1,404 | 1,597 | ||||||||||||||||||
The Southern Co. 3.70 04/30/2030 | 3.70 | % | 4/30/2030 | 1,545 | 1,798 | ||||||||||||||||||
The Williams Companies, Inc. 3.25 05/15/2030 | 3.25 | % | 5/15/2030 | 1,685 | 1,894 |
*Party-in-interest, as defined by ERISA
**The cost of participant-directed investments is not required to be disclosed
See accompanying Report of Independent Registered Public Accounting Firm
75
CITI RETIREMENT SAVINGS PLAN FOR PUERTO RICO
Schedule H, Line 4i – Schedule of Assets (Held at End of Year)
EIN: 66-0177415 Plan No. 002
December 31, 2020
Interest | Maturity | Number of | Cost | Current | |||||||||||||||||||
Identity of issuer | rate | date | shares/units | value** | value | ||||||||||||||||||
T-Mobile U.S., Inc. 2.55 02/15/2031 | 2.55 | % | 2/15/2031 | 1,826 | 1,941 | ||||||||||||||||||
T-Mobile U.S., Inc. 3.75 04/15/2027 | 3.75 | % | 4/15/2027 | 737 | 845 | ||||||||||||||||||
Toyota Auto Receivables Owner Trust 1.66 09/15/2025 | 1.66 | % | 9/15/2025 | 1,524 | 1,576 | ||||||||||||||||||
U.S. Treasury Note/Bond 0.125 04/30/2022 | 0.13 | % | 4/30/2022 | 5,617 | 5,620 | ||||||||||||||||||
U.S. Treasury Note/Bond 0.125 05/31/2022 | 0.13 | % | 5/31/2022 | 5,484 | 5,486 | ||||||||||||||||||
U.S. Treasury Note/Bond 0.125 06/30/2022 | 0.13 | % | 6/30/2022 | 14,535 | 14,537 | ||||||||||||||||||
U.S. Treasury Note/Bond 0.125 09/30/2022 | 0.13 | % | 9/30/2022 | 2,408 | 2,409 | ||||||||||||||||||
U.S. Treasury Note/Bond 0.125 10/15/2023 | 0.13 | % | 10/15/2023 | 2,085 | 2,084 | ||||||||||||||||||
U.S. Treasury Note/Bond 0.125 11/30/2022 | 0.13 | % | 11/30/2022 | 18,081 | 18,084 | ||||||||||||||||||
U.S. Treasury Note/Bond 0.25 10/31/2025 | 0.25 | % | 10/31/2025 | 1,917 | 1,909 | ||||||||||||||||||
U.S. Treasury Note/Bond 0.375 03/31/2022 | 0.38 | % | 3/31/2022 | 7,022 | 7,051 | ||||||||||||||||||
U.S. Treasury Note/Bond 1.50 10/31/2021 | 1.50 | % | 10/31/2021 | 1,538 | 1,559 | ||||||||||||||||||
U.S. Treasury Note/Bond 2.375 04/15/2021 | 2.38 | % | 4/15/2021 | 2,809 | 2,841 | ||||||||||||||||||
U.S. Treasury Note/Bond 2.625 12/15/2021 | 2.63 | % | 12/15/2021 | 9,128 | 9,357 | ||||||||||||||||||
United Parcel Service, Inc. 4.45 04/01/2030 | 4.45 | % | 4/1/2030 | 1,369 | 1,727 | ||||||||||||||||||
Unitedhealth Group, Inc. 2.95 10/15/2027 | 2.95 | % | 10/15/2027 | 1,404 | 1,586 | ||||||||||||||||||
Verizon Communications, Inc. 3.376 02/15/2025 | 3.38 | % | 2/15/2025 | 1,392 | 1,563 | ||||||||||||||||||
Wells Fargo & Co. 2.879 10/30/2030 | 2.88 | % | 10/30/2030 | 351 | 385 | ||||||||||||||||||
Wells Fargo & Co. 3.45 02/13/2023 | 3.45 | % | 2/13/2023 | 1,334 | 1,431 | ||||||||||||||||||
Wells Fargo & Co. 4.478 04/04/2031 | 4.48 | % | 4/4/2031 | 3,054 | 3,765 | ||||||||||||||||||
Zoetis, Inc. 4.50 11/13/2025 | 4.50 | % | 11/13/2025 | 1,369 | 1,606 | ||||||||||||||||||
Total Reinsurance Group of America Contract No. RGA00084 | $ | 367,245 | |||||||||||||||||||||
Total synthetic GICs (including wrapper contracts) | 1,819,837 | ||||||||||||||||||||||
Total investment | $ | 46,120,824 | |||||||||||||||||||||
* | Loans receivables from participants | ||||||||||||||||||||||
153 loans carrying an interest rate of 4.25% to 6.50% with maturity dates through 2040 | 1,200,179 | ||||||||||||||||||||||
Other Inventment Liabilities | |||||||||||||||||||||||
Payable in Brazil Real | (12,854) | $ | (2,475) | ||||||||||||||||||||
Payable in Hong Kong Dollar | (378) | (49) |
*Party-in-interest, as defined by ERISA
**The cost of participant-directed investments is not required to be disclosed
See accompanying Report of Independent Registered Public Accounting Firm
76
CITI RETIREMENT SAVINGS PLAN FOR PUERTO RICO
Schedule H, Line 4i – Schedule of Assets (Held at End of Year)
EIN: 66-0177415 Plan No. 002
December 31, 2020
Interest | Maturity | Number of | Cost | Current | |||||||||||||||||||
Identity of issuer | rate | date | shares/units | value** | value | ||||||||||||||||||
Payable in Japanese Yen | (26) | (1) | |||||||||||||||||||||
Payable in Russian Ruble | (190,354) | (2,571) | |||||||||||||||||||||
Payable in U.S. Dollar | (3,380) | (3,380) | |||||||||||||||||||||
Total Other Inventment Liabilities | (8,476) | ||||||||||||||||||||||
Total | $ | 47,312,527 |
*Party-in-interest, as defined by ERISA
**The cost of participant-directed investments is not required to be disclosed
See accompanying Report of Independent Registered Public Accounting Firm
77
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the trustees (or other persons who administer the employee benefit plan) have duly caused this annual report to be signed on its behalf by the undersigned hereunto duly authorized.
Citi Retirement Savings Plan for Puerto Rico
By: /s/ Sara Wechter | ||
Sara Wechter | ||
Global Head of Human Resources |
Date: June 11, 2021
78
EXHIBIT INDEX
Exhibit Number | Description of Exhibit | |||||||
23.1* | ||||||||
______________________
* Filed herewith.
79