<PAGE> 1
AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON SEPTEMBER 24, 1999
================================================================================
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 8-A
FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES
PURSUANT TO SECTION 12(b) OR (g) OF THE
SECURITIES EXCHANGE ACT OF 1934
SALOMON SMITH BARNEY HOLDINGS INC. TARGETS TRUST IV
(EXACT NAME OF REGISTRANT (EXACT NAME OF REGISTRANT
AS SPECIFIED IN CHARTER) AS SPECIFIED IN CHARTER)
NEW YORK DELAWARE
(STATE OF INCORPORATION (STATE OF INCORPORATION
OR ORGANIZATION) OR ORGANIZATION)
11-2418067 13-7180829
(I.R.S. EMPLOYER IDENTIFICATION NO.) (I.R.S. EMPLOYER IDENTIFICATION NO.)
388 GREENWICH STREET 10013
NEW YORK, NEW YORK (ZIP CODE)
(ADDRESS OF PRINCIPAL EXECUTIVE OFFICES)
If this Form relates to the registration of a class of securities pursuant to
Section 12 (b) of the Exchange Act and is effective pursuant to General
Instruction A.(c), please check the following box. / /
If this Form relates to the registration of a class of securities pursuant to
Section 12(g) of the Exchange Act and is effective with the effectiveness of a
concurrent registration pursuant to General Instruction A.(d), please check the
following box. / /
Securities Act registration statement to which this form relates: 333-71667
(if applicable)
Securities to be registered pursuant to Section 12(b) of the Act:
TITLE OF EACH CLASS NAME OF EACH EXCHANGE IN WHICH
TO BE SO REGISTERED EACH CLASS IS TO BE REGISTERED
------------------- -------------------------------
Targeted Growth Enhanced Terms Securities Chicago Board Options Exchange
("TARGETS(SM)") With Respect to the Common
Stock of Amgen Inc.
Securities to be registered pursuant to Section 12(g) of the Act:
None
(TITLE OF CLASS)
<PAGE> 2
ITEM 1. DESCRIPTION OF REGISTRANT'S SECURITIES TO BE REGISTERED
For a description of the securities to be registered hereunder,
reference is made to the information under the headings "Summary," "Risk
Factors," and "Description of the TARGETS" on pages 2 through 7, 8 through 11
and 18 through 32, respectively, of the registrants' Prospectus, Subject to
Completion, dated August 26, 1999 (Registration No. 333-71667), which
information is hereby incorporated herein by reference and made part of this
application in its entirety.
ITEM 2. EXHIBITS.
99 (A). Prospectus, Subject to Completion, dated August 26, 1999,
incorporated by reference to the registrants' filing under Rule 424(b) with the
Securities and Exchange Commission on August 30, 1999.
99 (B). Certificate of Trust of TARGETS Trust IV, incorporated by
reference to Exhibit 4(c) to the registration statement on Form S-3 (the
"Registration Statement") of the Company and the Trust filed with the Securities
and Exchange Commission on February 3, 1999 (No. 333-71667).
99 (C). Form of Amended and Restated Declaration of Trust of TARGETS
Trust IV, incorporated by reference to Exhibit 4(h) to the Registration
Statement.
99 (D). Form of TARGETS Guarantee Agreement between the Company and The
Chase Manhattan Bank, as Guarantee Trustee, incorporated by reference to Exhibit
4(m) to the Registration Statement.
99 (E). Indenture between the Company and The Chase Manhattan Bank, as
Trustee, incorporated by reference to Exhibit 4(r) to the Registration
Statement.
99 (F). Form of TARGETS (included in Exhibit 99(C)).
99 (G). Form of Forward Contract (included in Exhibit 99(E)).
Other securities issued by Salomon Smith Barney Holdings Inc. are
listed on the Chicago Board Options Exchange.
2
<PAGE> 3
SIGNATURE
Pursuant to the requirements of Section 12 of the Securities Exchange
Act of 1934, the registrant has duly caused this registration statement or
amendment thereto to be signed on its behalf by the undersigned, thereunto duly
authorized.
Salomon Smith Barney Holdings Inc.
----------------------------------
(Registrant)
Date: September 24, 1999 By: /s/ Mark Kleinman
-----------------------------------
Name: Mark Kleinman
Title: Executive Vice President and
Treasurer
TARGETS Trust IV
----------------
(Registrant)
Date: September 24, 1999 By: /s/ Michael Day
----------------------------------
Name: Michael Day
Title: Regular Trustee
3
<PAGE> 4
INDEX TO EXHIBITS
EXHIBIT NO. EXHIBIT
99(A). Prospectus, Subject to Completion, dated August 26,
1999, incorporated by reference to the registrants'
filing under Rule 424(b) with the Securities and
Exchange Commission on August 30, 1999 (No. 333-71667).
99(B). Certificate of Trust of TARGETS Trust IV, incorporated
by reference to Exhibit 4(c) to the Registration
Statement.
99(C). Form of Amended and Restated Declaration of Trust of
TARGETS Trust IV, incorporated by reference to Exhibit
4(h) to the Registration Statement.
99(D). Form of TARGETS Guarantee Agreement between the Company
and The Chase Manhattan Bank, as Guarantee Trustee,
incorporated by reference to Exhibit 4(m) to the
Registration Statement.
99(E). Indenture between the Company and The Chase Manhattan
Bank, as Trustee, incorporated by reference to Exhibit
4(r) to the Registration Statement.
99(F). Form of TARGETS (included in Exhibit 99(C)).
99(G). Form of Forward Contract (included in Exhibit 99 (E)).
4
