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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 JOHN F C/O FEDERATED INVESTORS, INC. FEDERATED INVESTORS TOWER PITTSBURGH, PA 15222-3779 |
X | Chairman |
/s/ Megan W. Clement (Attorney-in-Fact) | 11/04/2009 | |
**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) | On November 2, 2009, the reporting person and his wife gifted all of the voting shares of AWOL, Inc. to trusts established for the benefit of his children and their descendants. The reporting person retained all of the non-voting shares of AWOL, Inc. As a result of this transaction, the reporting person will no longer report shares of Federated Investors, Inc. Class B Common Stock held directly by AWOL, Inc. |
(2) | In addition to the holdings set forth in Table I: 191,797 shares are held directly; 523,000 shares are held indirectly by Richmond Farm, L.P.; 38,821 shares are held indirectly by Comax Land Company of Florida; 5,819 shares are held indirectly by John F. Donahue Revocable Trust; 5,819 shares are held indirectly by Rhodora J. Donahue Revocable Trust; and 618,880 shares are held indirectly by John F. Donahue Revocable Trust and Rhodora J. Donahue Revocable Trust. |
(3) | These securities are disposed as a result of the above described disposition of the voting shares of AWOL, Inc., the sole general partner of Bay Road Partners. Due to the disposition of the voting stock of the sole general partner of Bay Road Partners, the reporting person will no longer report the shares of Federated Investors, Inc. Class B Common Stock held by Bay Road Partners. In addition, although not required to be reported, the reporting person and his wife also disposed of limited partnership interests held through revocable trusts. |
(4) | Although not required to be reported, these securities are disposed as a result of the above described disposition of the voting shares of AWOL, Inc., a limited partner of the Beechwood Company, L.P. As reported in a filing made on December 5, 2005, the reporting person gifted all of the the voting shares of Beechmax, Inc., the general partner of the Beechwood Company, L.P. As the reporting person is therefore not required to report shares of Federated Investors, Inc. Class B Common Stock held by the Beechwood Company, L.P., this transaction is being reported on a voluntary basis. In addition, and also not required to be reported, the reporting person and his wife disposed of limited partnership interests in the Beechwood Company, L.P. held by a revocable trust and held by Oyster Bay Inc. |
Remarks: The Power of Attorney dated July 31, 2009 is incorporated herein. |