Statement of Changes in Beneficial Ownership (4)
September 28 2020 - 5:28PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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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1. Name and Address of Reporting Person
*
DONAHUE J CHRISTOPHER |
2. Issuer Name and Ticker or Trading Symbol
FEDERATED HERMES, INC.
[
FHI
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chairman, President & CEO |
(Last)
(First)
(Middle)
FEDERATED HERMES, INC., 1001 LIBERTY AVENUE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
9/25/2020 |
(Street)
PITTSBURGH, PA 15222-3779
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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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)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Class B Common Stock | 9/25/2020 | | J | | 156 (1) | D | $0.00 | 1436840 (2) | D (3) | |
Class B Common Stock | 9/25/2020 | | J | | 1010 (4) | D | $0.00 | 476502 (4)(5) | I | Held indirectly by The John F. Donahue and Rhodora J. Donahue Joint Revocable Trust |
Class B Common Stock | | | | | | | | 154296 (6) | I | Held indirectly by Comax Partners, L.P. (d/b/a The Beechwood Company, L.P.) |
Class B Common Stock | | | | | | | | 5819 | I | Held indirectly by Rhodora J. Donahue Revocable Trust |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 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 of Derivative Security: 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 or around September 25, 2020, the reporting person contributed 156 shares of Federated Hermes, Inc. Class B Common Stock ("FHI") to an entity in which the reporting person has a limited partnership interest (the "Contribution"). The reporting person did not receive any consideration for the Contribution and the Contribution did not involve any public sale of shares. |
(2) | On or around September 25, 2020, Comax Partners L.P. (d/b/a The Beechwood Company, L.P.) ("Comax") made two separate distributions of shares of FHI to all of its limited partners on a pro-rata basis (the "Distributions"). The Distributions did not involve any public sale of shares. As a result of the Distributions, the number of shares of FHI directly owned by the reporting person increased by a total of 2,298 shares (156 and 2,142 respectively). |
(3) | The reporting person is not a controlling shareholder of AWOL, Inc. and does not have or share investment control over its portfolio securities. As such, the reporting person will no longer report an indirect interest in the shares of FHI held by AWOL, Inc. |
(4) | As a result of the Distributions described in Footnote 2, the number of shares of FHI owned by The John F. and Rhodora J. Donahue Joint Revocable Trust (the "JF/RJD Joint Trust"), in which the reporting person has an indirect interest, increased by a total of 14,813 shares (1,010 and 13,803 respectively). On or around September 25, 2020, the JF/RJD Joint Trust contributed 1,010 shares of FHI to an entity in which the JF/RJD Joint Trust has a limited partnership interest. The JF/RJD Joint Trust did not receive any consideration for the contribution and the contribution did not involve any public sale of shares. The reporting person disclaims beneficial ownership of the shares of FHI held by the JF/RJD Joint Trust except to the extent of his pecuniary interest therein. |
(5) | The 5,819 shares of FHI previously owned by the John F. Donahue Revocable Trust, in which the reporting person had an indirect interest, have been transferred to the JF/RJD Joint Trust, in which the reporting person also has an indirect interest. The transfer did not involve any public sale of shares. The reporting person disclaims beneficial ownership of the shares of FHI held by the JF/RJD Joint Trust except to the extent of his pecuniary interest therein. |
(6) | As a result of the Distributions described in Footnote 2, the number of shares of FHI in which the reporting person has an indirect interest due to his interest in Comax decreased by 123,805 shares. The reporting person disclaims beneficial ownership of the shares of FHI held by Comax except to the extent of his pecuniary interest therein. |
Remarks: The Power of Attorney dated April 24, 2014 is incorporated herein by reference. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
DONAHUE J CHRISTOPHER FEDERATED HERMES, INC. 1001 LIBERTY AVENUE PITTSBURGH, PA 15222-3779 | X |
| Chairman, President & CEO |
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Signatures
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/s/ John D. Martini (Attorney-in-Fact) | | 9/28/2020 |
**Signature of Reporting Person | Date |
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