-----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, DZcvs+iR9ZPqgumHLr2nZxfcgf6NvEwn7Y7SxUIzvCVi6EZYqYQzXGHUgYS8lrxX pG0Bz+WbxNT1pJ9TZkykrQ== 0001056288-02-000147.txt : 20020415 0001056288-02-000147.hdr.sgml : 20020415 ACCESSION NUMBER: 0001056288-02-000147 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20020131 FILED AS OF DATE: 20020308 COMPANY DATA: COMPANY CONFORMED NAME: FRANTZEN HENRY A CENTRAL INDEX KEY: 0001061442 OFFICER 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 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: 1934 Act SEC FILE NUMBER: 001-14818 FILM NUMBER: 02570572 BUSINESS ADDRESS: STREET 1: FEDERATED INVESTORS TOWER STREET 2: 5800 CORPORATE DR CITY: PITTSBURGH STATE: PA ZIP: 15222 BUSINESS PHONE: 4122888141 MAIL ADDRESS: STREET 1: FEDERATED INVESTORS TOWER CITY: PITTSBURGH STATE: PA ZIP: 15222 4 1 haf38form4.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* Frantzen Henry A. (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 January 2002 - -------------------------------------------------------------------------------- 5. If Amendment, Date of Original (Month/Year) - -------------------------------------------------------------------------------- 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) ________ Director ________ 10% Owner ____X___ Officer (give title below) ________ Other (specify below) Executive Vice President and Chief Investment Officer - Global Equity and Fixed Income of Federated Global Investment Management Corp., Passport Research Limited, Federated Investment Counseling and Federated Investment Management Company. - -------------------------------------------------------------------------------- 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) - ---------------------------------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------- 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, convertible 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 $31.00 1/15/2002 A V 13,360 1/15/20021/15/2012 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 13,360 $10.12 13,360 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/ Henry A. Frantzen March 8, 2002 - -------------------------------- ----------------------- **Signature of Reporting Person Date -----END PRIVACY-ENHANCED MESSAGE-----