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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 | |
MCGONIGLE JOHN W FEDERATED INVESTORS TOWER 1001 LIBERTY AVENUE PITTSBURGH, PA 15222-3779 |
X | Vice Chairman, Sec., Exec. VP |
/s/ Gail C. Jones (Attorney-in-fact) | 09/12/2011 | |
**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 Fairview Partners, a limited partnership of which 713 Investment Corp. is the sole general partner. Mr. McGonigle and his wife are shareholders and directors of 713 Investment Corp. On September 7, 2011, the reporting person and his wife gifted partnership interest to their children and grandchildren. The reporting person disclaims beneficial ownership of the FII Class B Common Stock held by Fairview Partners except to the extent of his pecuniary interest therein. |
(2) | In addition to the holdings set forth in Table I: 19,453 Shares held indirectly by Grantor Trusts. |
(3) | The reported securities are held by Fairview Partners, a limited partnership of which 713 Investment Corp is the sole general partner. Mr. McGonigle and his wife are shareholders and directors of 713 Investment Corp. 713 Investment Corp. is the general partner of 713 Investment Partners, L.P. On September 8, 2011 , 713 Investment Partners, L.P. transferred cash to Fairview Partners, L.P. in exchange for partnership interests in Fairview Partners, L.P. The reporting person disclaims beneficial ownership of the FII Class B Common Stock held by Fairview Partners, L.P. and 713 Investment Partners, L.P. except to the extent of his pecuniary interest therein. This transaction did not involve any public sale of shares and was done for family wealth transfer purposes. |
(4) | The number of shares of FII Class B Common Stock set forth above is an estimate since the percentage partnership interest in Fairview Partners, L.P. which will be acquired by 713 Investment Partners, L.P. is subject to an independent valuation of the assets being transferred by 713 Investment Partners and an independent valuation of the assets of Fairview Partners, L.P. |
Remarks: The Power of Attorney dated July 15, 2009 is incorporated by reference. |