-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, QCjq5Depa8Vv6o81zxGHPhn8sjCvlSPFxBzY8KIV8SwdCstc5r7DVaslcl9AB6Wc NJQflnGIurZ0sZmEY4OCSA== 0000918972-01-000003.txt : 20010319 0000918972-01-000003.hdr.sgml : 20010319 ACCESSION NUMBER: 0000918972-01-000003 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20010131 FILED AS OF DATE: 20010316 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: FEDERATED INVESTORS INC /PA/ CENTRAL INDEX KEY: 0001056288 STANDARD INDUSTRIAL CLASSIFICATION: BLANK CHECKS [6770] IRS NUMBER: 251111467 STATE OF INCORPORATION: PA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: SEC FILE NUMBER: 812-12462 FILM NUMBER: 1570250 BUSINESS ADDRESS: STREET 1: FEDERATED INVESTORS TOWER STREET 2: 5800 CORPORATE DR CITY: PITTSBURGH STATE: PA ZIP: 15222 BUSINESS PHONE: 4122881900 MAIL ADDRESS: STREET 1: FEDERATED INVESTORS TOWER CITY: PITTSBURGH STATE: PA ZIP: 15222 COMPANY DATA: COMPANY CONFORMED NAME: DONAHUE J CHRISTOPHER CENTRAL INDEX KEY: 0000918972 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] DIRECTOR STATE OF INCORPORATION: PA FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: FEDERATED INVESTORS TOWER CITY: PITTSBURGH STATE: PA ZIP: 15222-3779 MAIL ADDRESS: STREET 1: FEDERATED INVESTORS TOWER CITY: PITTSBURGH STATE: PA ZIP: 15222-3779 4 1 0001.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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(f) of the Investment Company Act of 1940 FORM 4 / / Check this box if no longer subject to Section 16, Form 4 or Form 5 obligations may continue. See Instruction 1(b) (Print or Type Responses) - ------------------------------------------------------------------------------- 1. NAME AND ADDRESS OF REPORTING PERSON* Donahue John C. (LAST) (FIRST) (MIDDLE) c/o Federated Investors, Inc. Federated Investors Tower (STREET) Pittsburgh PA 15222-3779 (CITY) (STATE) (ZIP) - ------------------------------------------------------------------------------ 2. ISSUER NAME AND TICKER OR TRADING SYMBOL Federated Investors, Inc. FII - ------------------------------------------------------------------------------ 3. I.R.S. IDENTIFICATION NUMBER OF REPORTING PERSON, IF AN ENTITY (VOLUNTARY) - -------------------------------------------------------------------------------- 4. STATEMENT FOR MONTH/YEAR 1/2001 - -------------------------------------------------------------------------------- 5. IF AMENDMENT, DATE OF ORIGINAL (MONTH/YEAR) - -------------------------------------------------------------------------------- 6. RELATIONSHIP OF REPORTING PERSON(S) TO ISSUER (CHECK ALL APPLICABLE) __X___ Director ________ 10% Owner __X___ Officer (give title below) ________ Other (specify below) PRESIDENT AND CHIEF EXECUTIVE OFFICER - -------------------------------------------------------------------------------- 7. INDIVIDUAL OR JOINT/GROUP FILING (CHECK APPLICABLE LIMIT) _X____ Form filed by One Reporting Person _______ Form filed by More than One Reporting Person - --------------------------------------------------------------------------------
TABLE I -- NON-DERIVATIVE SECURITIES BENEFICIALLY OWNED - ---------------------------------------------------------------------------------------------------------------- 1. Title of 2. 3. 4. Securities Acquired 5. Amount of 6. Ownership 7. Nature Security Transaction Transaction (A) or Disposed of Securities Form: Direct of Indirect (Instr. 3) Date Code (D) (Instr. 3, 4, and Beneficially (D) or Beneficial (Mon/day/year)(Instr. 8) 5) Owned at End of Indirect (I) Ownership Month (Instr. 3 (Instr. 4) (Instr. 4) and 4) - ---------------------------------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------- Code V Amount (A) or Price (D) - ---------------------------------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------- Class B Common 5,424,671 D Stock - ---------------------------------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------- Class B Common 1,653,868 I By Thomas Stock Donahue as custodian for minor children - ---------------------------------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------- Class B Common 1,264,626 I By power of Stock attorney - ---------------------------------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------- Class B Common 875,384 I By Daniel Stock McGrogan as custodian for minor children - ---------------------------------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------- Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. * If the form is filed by more than one reporting person, see Instruction 4(b)(v).
FORM 4 (continued) TABLE II - DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, COVERTIBLE SECURITIES)
- -------------------------------------------------------------------------------------------------------------- 1. Title of 2. Conversion 3. 4. Transaction 5. Number of 6. Date Derivative Security or Exercise Transaction Code (Instr. 8) Derivative Exercisable and (Instr. 3) Price of Date Securities Expiration Date Derivative (Month/Day/Year) Acquired (A) or (Month/Day/Year) Security Disposed of (D) (Instr. 3, 4, and 5) - -------------------------------------------------------------------------------------------------------------- - -------------------------------------------------------------------------------------------------------------- Code V (A) (D) Date ExercisableExpiration Date - -------------------------------------------------------------------------------------------------------------- - -------------------------------------------------------------------------------------------------------------- Employee Stock $29.8125 1/23/2001 A V 31,100 1/23/20011/22/2011 Options (right to purchase) - -------------------------------------------------------------------------------------------------------------- - -------------------------------------------------------------------------------------------------------------- - -------------------------------------------------------------------------------------------------------------- - -------------------------------------------------------------------------------------------------------------- - -------------------------------------------------------------------------------------------------------------- - -------------------------------------------------------------------------------------------------------------- - -------------------------------------------------------------------------------------------------------------- - -------------------------------------------------------------------------------------------------------------- 7. Title and Amount of 8. Price of 9. Number of 10. Ownership Form of 11. Underlying Securities Derivative derivative Securities Derivative Security: Direct Nature (Instr. 3 and 4) Security Beneficially Owned at (D) or indirect (I) of (Instr. 5) End of Month (Instr. 4) (Instr. 4) Indirect Beneficial Ownership (Instr. 4) - -------------------------------------------------------------------------------------------------------------- - -------------------------------------------------------------------------------------------------------------- Title Amount or Number of Shares - -------------------------------------------------------------------------------------------------------------- - -------------------------------------------------------------------------------------------------------------- Class B 31,100 $13.14 31,100 D Common Stock - -------------------------------------------------------------------------------------------------------------- - --------------------------------------------------------------------------------------------------------------
Explanation of Responses: ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, See Instruction 6 for procedure. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number. /S/ J. CHRISTOPHER DONAHUE MARCH 16, 2001 - -------------------------------- --------- ------------- **Signature of Reporting Person Date -----END PRIVACY-ENHANCED MESSAGE-----