CITIGROUP INC., as Issuer and THE BANK OF NEW YORK MELLON, as Trustee Sixth Supplemental Indenture Dated as of December 1, 2009 Supplement to Indenture of Citigroup Inc. dated as of July 23, 2004
EXHIBIT 4.01
CITIGROUP INC.,
as Issuer
as Issuer
and
THE BANK OF NEW YORK MELLON,
as Trustee
as Trustee
Sixth Supplemental Indenture
Dated as of December 1, 2009
Supplement to Indenture of Citigroup Inc.
dated as of July 23, 2004
dated as of July 23, 2004
SIXTH SUPPLEMENTAL INDENTURE, dated as of December 1, 2009 (this “Sixth Supplemental
Indenture”), between CITIGROUP INC., a Delaware corporation (the “Company”), and THE BANK OF NEW
YORK MELLON, a New York banking corporation, not in its individual capacity but solely as trustee
(the “Trustee”) under the Indenture, dated as of July 23, 2004 (the “Base Indenture”),
supplemented by a First Supplemental Indenture, dated as of December 3, 2007 (the “First
Supplemental Indenture”) and a Fifth Supplemental Indenture, dated as of November 2, 2009 (the
“Fifth Supplemental Indenture,” and the Base Indenture, as supplemented by the First Supplemental
Indenture and the Fifth Supplemental Indenture, the “Indenture”).
RECITALS:
WHEREAS, the Company and the Trustee entered into the Indenture to establish the terms of
the 6.320% Notes due January 15, 2015 (initially issued as the “6.320% Junior Subordinated
Deferrable Interest Debentures due March 15, 2041”) (the “Debentures”);
WHEREAS, the Indenture may be amended without the consent of any Holder in accordance with
Section 9.1(2) of the Base Indenture;
WHEREAS, in accordance with Sections 1.2 and 9.3 of the Base Indenture, the Company has
delivered to the Trustee an Opinion of Counsel and an Officers’ Certificate to the effect that
all conditions precedent provided for in the Indenture to the Trustee’s execution and delivery of
this Sixth Supplemental Indenture have been complied with; and
WHEREAS, the Company has requested that the Trustee execute and deliver this Sixth
Supplemental Indenture and has satisfied all requirements necessary to make this Sixth
Supplemental Indenture a valid instrument in accordance with its terms, and all acts and things
necessary have been done and performed to make this Sixth Supplemental Indenture enforceable in
accordance with its terms, and the execution and delivery of this Sixth Supplemental Indenture
has been duly authorized in all respects:
NOW, THEREFORE, the Company and the Trustee agree as follows:
ARTICLE I
DEFINITIONS; GENERAL
Section 1.1 Definition of Terms.
Unless the context otherwise requires (including for purposes of the Recitals):
(a) a term defined in the Indenture has the same meaning when used in this Sixth Supplemental
Indenture unless otherwise specified herein;
(b) a term defined anywhere in this Sixth Supplemental Indenture has the same meaning
throughout;
(c) the definition of any term in this Sixth Supplemental Indenture that is also defined in
the Indenture, shall for the purposes of this Sixth Supplemental Indenture supersede the definition
of such term in the Indenture;
(d) the definition of a term in this Sixth Supplemental Indenture is not intended to have any
effect on the meaning or definition of an identical term that is defined in the Indenture insofar
as the use or effect of such term in the Indenture, as previously defined, is concerned;
(e) the singular includes the plural and vice versa; and
(f) headings are for convenience of reference only and do not affect interpretation.
Section 1.2 General. The terms of this Sixth Supplemental Indenture shall apply to the
Debentures issued under the Indenture only and shall not apply to any other series of Securities.
ARTICLE II
AMENDMENTS TO THE INDENTURE
Section 2.1 Surrender of Company’s Right to Add Optional Early Redemption. The Company hereby
surrenders its right to elect to change the terms of the Debentures to specify a date for early
redemption of the Debentures at the Company’s option, as provided for in Section 2.5(b) of the
First Supplemental Indenture, with the effect that the Company shall no longer have this right with
respect to the Debentures.
ARTICLE III
MISCELLANEOUS
Section 4.1 Effectiveness. This Sixth Supplemental Indenture will become effective upon its
execution and delivery.
Section 4.2 Trustee. The Trustee accepts the trusts created by this Sixth Supplemental
Indenture upon the terms and conditions set forth in the Indenture. The Trustee shall not be
responsible or accountable in any manner whatsoever for or in respect of, and makes no
representation with respect to, the validity or sufficiency of this Sixth Supplemental Indenture or
the due execution hereof by the Company and shall not be responsible in any manner whatsoever for
or in respect of the correctness of the recitals and statements contained herein, all of which
recitals and statements are made solely by the Company.
Section 4.3 Ratification. The Indenture as supplemented by this Sixth Supplemental Indenture
is in all respects ratified and confirmed, and this Sixth Supplemental Indenture shall be deemed
part of the Indenture in the manner and to the extent herein and therein provided.
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Section 4.4 Governing Law.
This Sixth Supplemental Indenture shall be governed by, and construed and interpreted in
accordance with, the laws of the State of New York, and all rights and remedies shall be governed
by such laws without regard for the principles in its conflicts of laws.
Section 4.5 Counterparts.
This Sixth Supplemental Indenture may be executed in any number of separate counterparts each
of which shall be an original for all purposes; but such separate counterparts shall together
constitute but one and the same instrument.
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IN WITNESS WHEREOF, the parties hereto have caused this Sixth Supplemental Indenture to be
duly executed by their respective officers thereunto duly authorized, on the day and year first
above written.
| CITIGROUP INC. |
||||
| By | /s/ XXXX X. XXXXXXXX | |||
| Name: | Xxxx X. Xxxxxxxx | |||
| Title: | Chief Financial Officer | |||
THE BANK OF NEW YORK MELLON, as Trustee |
||||
| By | /s/ XXXXXXXXXXX XXXXXX | |||
| Name: | Xxxxxxxxxxx Xxxxxx | |||
| Title: | Vice President | |||
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