SEC Form 4
| FORM 4 | 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 or Section 30(h) of the Investment Company Act of 1940 |
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| Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). | |||||||||||||||||
1. Name and Address of Reporting Person*
(Street)
| 2. Issuer Name and Ticker or Trading Symbol FEDERATED HERMES, INC. [ FHI ] | 5. Relationship of Reporting Person(s) to Issuer (Check all applicable)
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| 3. Date of Earliest Transaction (Month/Day/Year) 11/18/2021 | ||||||||||||||||||||||||||
| 4. If Amendment, Date of Original Filed (Month/Day/Year) | 6. Individual or Joint/Group Filing (Check Applicable Line)
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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) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
| Code | V | Amount | (A) or (D) | Price | ||||||
| Class B Common Stock | 11/18/2021 | A | 18,500 | A | $3 | 616,417(1)(2) | D | |||
| Class B Common Stock | 19,199(3) | I | Held indirectly by The Thomas R. and Frances L. Donahue Grantor Dynasty Trust | |||||||
| Class B Common Stock | 421,690 | I | Held indirectly by MaxFund Partners, L.P. | |||||||
| Class B Common Stock | 72 | I | Held indirectly by 401(k) Plan | |||||||
| Class B Common Stock | 7,795 | I | Held indirectly by spouse | |||||||
| Class B Common Stock | 27,544 | I | The Fran L. Donahue Grantor Trust | |||||||
| Class B Common Stock | 37,544 | I | The Thomas R. Donahue Grantor Trust | |||||||
| Class B Common Stock | 2,000 | I | Maxfund, Inc. | |||||||
| Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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| 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 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: 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 May 27, 2021, Comax Partners L.P. (d/b/a The Beechwood Company, L.P.) ("Comax") made a distribution of shares of Federated Hermes, Inc. Class B Common Stock ("FHI") to all of its limited partners on a pro-rata basis (the "May Distribution"). The May Distribution did not involve any public sale of shares. As a result of the May Distribution, the number of shares of FHI directly owned by the reporting person increased by 6,401 shares. |
| 2. On or around June 17, 2021, Comax made a distribution of shares of FHI to all of its limited partners on a pro-rata basis (the "June Distribution"). The June Distribution did not involve any public sale of shares. As a result of the June Distribution, the number of shares of FHI directly owned by the reporting person increased by 59 shares. |
| 3. As a result of the May Distribution, the number of shares of FHI owned by The Thomas R. and Frances L. Donahue Grantor Dynasty Trust (the "TR/FLD GD Trust"), in which the reporting person has an indirect interest, increased by 19,020 shares. As a result of the June Distribution, the number of shares of FHI owned by the TR/FLD GD Trust, in which the reporting person has an indirect interest, increased by a total of 176 shares. The reporting person disclaims beneficial ownership of the shares of FHI held by the TR/FLD GD Trust except to the extent of his pecuniary interest therein. |
| Remarks: |
| The Power of Attorney dated April 24, 2014 is incorporated herein by reference. |
| /s/ John D. Martini (Attorney-in-Fact) | 11/18/2021 | |
| ** Signature of Reporting Person | Date | |
| 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). | ||
| ** 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. | ||
| 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 Number. | ||