FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
FEDERATED INVESTORS INC /PA/ [ FII ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 06/28/2019 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Class B Common Stock | 06/28/2019 | S | 18,785(1) | D | (2) | 569,880(3) | I | Held indirectly by The John F. Donahue and Rhodora J. Donahue Joint Revocable Trust | ||
Class B Common Stock | 1,559,011 | D | ||||||||
Class B Common Stock | 278,101 | I | Held indirectly by Comax Partners, L.P. (d/b/a The Beechwood Company, L.P.) | |||||||
Class B Common Stock | 5,819 | I | Held indirectly by John F. Donahue Revocable Trust | |||||||
Class B Common Stock | 5,819 | I | Held indirectly by Rhodora J. Donahue Revocable Trust | |||||||
Class B Common Stock | 82 | I | Held indirectly by AWOL, Inc. |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
1. On June 28, 2019, The John F. Donahue and Rhodora J. Donahue Joint Revocable Trust entered into documentation, effective as of May 11, 2017, to exchange its interests in Comax, Inc. and Oyster Bay Properties, Inc. for interests in an LLC. As a result of this transaction, the number of shares of Federated Investors, Inc. Class B Common Stock held indirectly by the reporting person through The John F. Donahue and Rhodora J. Donahue Joint Revocable Trust decreased by 18,785 shares. |
2. The Federated Investors, Inc. Class B Common Stock held by Comax, Inc. and Oyster Bay Properties, Inc. was valued at $32.50 per share on the date of the transaction |
3. On or around May 12, 2018, Comax Partners L.P. (d/b/a The Beechwood Company, L.P.) ("Comax") distributed shares of Federated Investors Inc. Class B Common Stock to all of its limited partners on a pro-rata basis (the "Distribution"). The Distribution did not involve any public sale of shares. As a result of the Distribution, the number of shares of Federated Investors, Inc. Class B Common Stock held indirectly by the reporting person through The John F. Donahue and Rhodora J. Donahue Joint Revocable Trust, through its control of Comax, Inc. and Oyster Bay Properties, Inc., increased by 18,785 shares. |
Remarks: |
The Power of Attorney dated April 24, 2014 is incorporated herein by reference. |
/s/ John D. Martini (Attorney-in-Fact) | 07/02/2019 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |