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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
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 Underlying Securities (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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
DONAHUE THOMAS R C/O FEDERATED INVESTORS, INC. FEDERATED INVESTORS TOWER PITTSBURGH, PA 15222-3779 |
Vice President, CFO, Treasurer |
/s/ Gail C. Jones (Attorney-in-Fact) | 12/23/2008 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | The reported securities are held by Maxfund Partners, L.P., a limited partnership of which the reporting person is the sole general partner. On December 19, 2008, the reporting person sold 19% interest in Maxfund Partners, L.P. to trusts established for the benefit of the reporting person's children. The interest was sold in exchange for notes, equal to value of the 19% Maxfund Partners, L.P. partnership interest and was done for family wealth transfer planning purposes. The FII Class B Common Stock shares held by Maxfund Partners, L.P. were valued at $17.12 per share on the date of the transaction. The reporting person disclaims beneficial ownership of the FII Class B Common Stock held by Maxfund Partners, L.P. except to the extent of his pecuniary interest therein. |
(2) | In addition to the holdings set forth in Table I: 692,185 shares are held directly (this includes 72 shares of FII Class B Common Stock held in Federated's Profit Sharing/401(k) plan); 3,509 shares are held indirectly by Spouse; 302,405 shares are held indirectly by Beechwood Company; 111,540 shares are held indirectly by Comax Partners Limited Partnership; and 520,584 shares are held indirectly by J. Christopher Donahue as custodian for minor children. |
Remarks: The Power of Attorney dated July 25, 2006 is incorporated by reference. |