SEC Form 4 · accession 0001209191-18-057171
FEDERATED HERMES, INC. · FHI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas R Donahue
Officer — VP, CFO & Treasurer · Director
Period of report
Sep 11, 2018
Accepted (ET)
Nov 5, 2018 · 4:24 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001056288
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class B Common StockF1 | Sep 11, 2018 | G | 1,274 | $0.00 | D | 643,985 | D | |
| Class B Common StockF2 | holding | — | — | — | 278,101 | I | Held indirectly by Comax Partners, L.P. (d/b/a The Beechwood Company, L.P.) | |
| Class B Common StockF3 | holding | — | — | — | 3,905 | I | Held indirectly by The Thomas R. and Frances L. Donahue Grantor Dynasty Trust | |
| Class B Common StockF4 | holding | — | — | — | 39,937 | I | Held indirectly by immediate family member | |
| Class B Common StockF5,F6 | holding | — | — | — | 38,147 | I | Held indirectly by immediate family member | |
| Class B Common Stock | holding | — | — | — | 655,550 | I | Held indirectly by MaxFund Partners, L.P. | |
| Class B Common Stock | holding | — | — | — | 72 | I | Held indirectly by 401(k) Plan | |
| Class B Common Stock | holding | — | — | — | 4,409 | I | Held indirectly by spouse | |
| Class B Common Stock | holding | — | — | — | 82 | I | Held indirectly by AWOL, Inc. |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On 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 directly owned by the reporting person increased by 700 shares.
- F2As a result of the Distribution described in Footnote 1, the number of shares of Federated Investors, Inc. Class B Common Stock in which the reporting person has an indirect interest due to his interest in Comax decreased by 19,781 shares. The reporting person disclaims beneficial ownership of the Federated Investors, Inc. Class B Common Stock held by Comax except to the extent of his pecuniary interest therein.
- F3As a result of the Distribution described in Footnote 1, The Thomas R. and Frances L. Donahue Grantor Dynasty Trust, in which the reporting person has an indirect interest, now owns 3,905 shares of Federated Investors, Inc. Class B Common Stock.
- F4As a result of the Distribution described in Footnote 1, the number of shares of Federated Investors, Inc. Class B Common Stock owned by one of the reporting person's children increased by 1,981 shares.
- F5J. Christopher Donahue is no longer Custodian of 37,117 shares of Federated Investors, Inc. Class B Common Stock held by one of the reporting person's children.
- F6As a result of the Distribution described in Footnote 1, the number of shares of Federated Investors, Inc. Class B Common Stock owned by one of the reporting person's children increased by 1,030 shares.
Remarks
The Power of Attorney dated April 24, 2014 is incorporated herein by reference.