Number** | **Description of Exhibit** |\n| 2.1 | [Agreement and Plan of Merger between QCR Holdings, Inc. and Guaranty Federal Bancshares, Inc., dated as of November 9, 2021 (included as](#tIAA) <u>[Appendix A](#tIAA)</u> [to this proxy statement/prospectus).+](#tIAA) |\n| 3.1 | [Certificate of Incorporation of QCR Holdings, Inc., as amended (incorporated by reference to Exhibit 3.1 of the Registrant's Quarterly Report on Form 10-Q/A Amendment No. 1 for the period ended September 30, 2011).](http://www.sec.gov/Archives/edgar/data/906465/000143774911008198/ex3-1.htm) |\n| 3.2 | [Bylaws of QCR Holdings, Inc. (incorporated by reference to Exhibit 3.1 of the Registrant's Form 8-K dated as of February 19, 2019).](http://www.sec.gov/Archives/edgar/data/906465/000110465919009279/a19-4927_1ex3d1.htm) |\n\n---\n\n\n\n------\n\n[**TABLE OF CONTENTS**](#TOC2)\n\n---\n\n\n\n| | |\n|:---|:---|\n| **Exhibit <br> Number** | **Description of Exhibit** |\n| 4.1 | [Description of the Registrant's Securities (incorporated by reference to Exhibit 4.2 of the Registrant's Annual Report on Form 10-K for the period ended December 30, 2019).](http://www.sec.gov/Archives/edgar/data/906465/000155837020002656/qcrh-20191231ex42c6548a1.htm) |\n| 4.2 | Certain instruments defining the rights of holders of long-term debt of the Company, none of which authorize a total amount of indebtedness in excess of 10% of the total assets of the Company and its subsidiaries on a consolidated basis, have not been filed as exhibits. The Company hereby agrees to furnish a copy of any of these agreements to the SEC upon request. |\n| 5.1\\*\\* | [Opinion of Barack Ferrazzano Kirschbaum & Nagelberg LLP.](http://www.sec.gov/Archives/edgar/data/906465/000110465922001988/tm2133131d2_ex5-1.htm) |\n| 8.1\\*\\* | [Tax Opinion of Barack Ferrazzano Kirschbaum & Nagelberg LLP.](http://www.sec.gov/Archives/edgar/data/906465/000110465922001988/tm2133131d2_ex8-1.htm) |\n| 8.2\\*\\* | [Tax Opinion of Sidley Austin LLP.](http://www.sec.gov/Archives/edgar/data/906465/000110465922001988/tm2133131d2_ex8-2.htm) |\n| 21.1 | [List of Subsidiaries of QCR Holdings, Inc. (incorporated by reference to Exhibit 21.1 of Registrant's Form 10-K for the period ended December 31, 2020).](http://www.sec.gov/Archives/edgar/data/906465/000155837021002889/qcrh-20201231xex21.htm) |\n| 23.1\\* | [Consent of RSM US LLP.](tm2133131d4_ex23-1.htm) |\n| 23.2\\* | [Consent of BKD, LLP.](tm2133131d4_ex23-2.htm) |\n| 23.3\\*\\* | [Consent of Barack Ferrazzano Kirschbaum & Nagelberg LLP (included in Exhibit 5.1).](http://www.sec.gov/Archives/edgar/data/906465/000110465922001988/tm2133131d2_ex5-1.htm) |\n| 23.4\\*\\* | [Consent of Sidley Austin LLP (included in Exhibit 8.2).](http://www.sec.gov/Archives/edgar/data/906465/000110465922001988/tm2133131d2_ex8-2.htm) |\n| 24.1\\*\\* | [Powers of Attorney.](http://www.sec.gov/Archives/edgar/data/906465/000110465922001988/tm2133131-1_s4.htm#tPOA) |\n| 99.1\\* | [Form of proxy card of Guaranty Federal Bancshares, Inc.](tm2133131d4_ex99-1.htm) |\n| 99.2\\*\\* | [Consent of Keefe, Bruyette & Woods, Inc.](http://www.sec.gov/Archives/edgar/data/906465/000110465922001988/tm2133131d2_ex99-2.htm) |\n| 99.3\\* | [Consent of John Griesemer.](tm2133131d4_ex99-3.htm) |\n\n---\n\n\n\n+\n\nCertain schedules and attachments to the merger agreement have been omitted from this filing pursuant to Item 601(b)(2) of Regulation S-K. QCR Holdings, Inc. agrees to furnish a supplemental copy of any omitted schedule or attachment to the SEC upon request.\n\n\\*\n\nFiled herewith.\n\n\\*\\*\n\nPreviously filed.\n\n#### Item 22: Undertakings.\n (a) The undersigned Registrant hereby undertakes:\n\n (1) To file, during any period in which offers or sales are being made, a post-effective amendment to this registration statement:\n\n (i) To include any prospectus required by Section 10(a)(3) of the Securities Act of 1933;\n\n (ii) To reflect in the prospectus any facts or events arising after the effective date of the registration statement (or the most recent post-effective amendment thereof) which, individually or in the aggregate, represent a fundamental change in the information set forth in the registration statement. Notwithstanding the foregoing, any increase or decrease in volume of securities offered (if the total dollar value of securities offered would not exceed that which was registered) and any deviation from the low or high end of the estimated maximum offering range may be reflected in the form of prospectus filed with the Commission pursuant to Rule 424(b) if, in the aggregate, the changes in volume and price represent no more than 20 percent change in the maximum aggregate offering price set forth in the \"Calculation of Registration Fee\" table in the effective registration statement;\n\n (iii) To include any material information with respect to the plan of distribution not previously disclosed in the registration statement or any material change to such information in the registration statement.\n\n (2) That, for the purpose of determining any liability under the Securities Act of 1933, each such post-effective amendment shall be deemed to be a new registration statement relating to the securities offered therein, and the offering of such securities at that time shall be deemed to be the initial bona fide offering thereof.\n\n------\n\n[**TABLE OF CONTENTS**](#TOC2)\n\n \n\n (3) To remove from registration by means of a post-effective amendment any of the securities being registered which remain unsold at the termination of the offering.\n\n (4) That, for the purpose of determining liability of the registrant under the Securities Act of 1933 to any purchaser in the initial distribution of securities, in a primary offering of securities of the undersigned registrant pursuant to this registration statement, regardless of the underwriting method used to sell the securities to the purchaser, if the securities are offered or sold to such purchaser by means of any of the following communications, the undersigned registrant will be a seller to the purchaser and will be considered to offer or sell such securities to such purchaser: (i) any preliminary prospectus or prospectus of the undersigned registrant relating to the offering required to be filed pursuant to Rule 424; (ii) any free writing prospectus relating to the offering prepared by or on behalf of the undersigned registrant or used or referred to by the undersigned registrant; (iii) the portion of any other free writing prospectus relating to the offering containing material information about the undersigned registrant or its securities provided by or on behalf of the undersigned registrant; and (iv) any other communication that is an offer in the offering made by the undersigned registrant to the purchaser.\n\n (b) The undersigned Registrant hereby undertakes that, for purposes of determining any liability under the Securities Act of 1933, each filing of the Registrant's annual report pursuant to Section 13(a) or 15(d) of the Exchange Act, that is incorporated by reference in this registration statement shall be deemed to be a new registration statement relating to the securities offered herein, and the offering of such securities at that time shall be deemed to be the initial bona fide offering thereof.\n\n (c) (1) The undersigned Registrant hereby undertakes as follows: that prior to any public reoffering of the securities registered hereunder through use of a prospectus which is a part of this registration statement, by any person or party who is deemed to be an underwriter within the meaning of Rule 145(c), the issuer/Registrant undertakes that such reoffering prospectus will contain the information called for by the applicable registration form with respect to reofferings by persons who may be deemed underwriters, in addition to the information called for by the other items of the applicable form.\n\n (2) The Registrant undertakes that every prospectus: (i) that is filed pursuant to paragraph (1) immediately preceding, or (ii) that purports to meet the requirements of Section 10(a)(3) of the Act and is used in connection with an offering of securities subject to Rule 415, will be filed as part of an amendment to this registration statement and will not be used until such amendment is effective, and that, for purposes of determining any liability under the Securities Act of 1933, each such post-effective amendment shall be deemed to be a new registration statement relating to the securities offered therein, and the offering of such securities at that time shall be deemed to be the initial bona fide offering thereof.\n\n (d) Insofar as indemnification for liabilities arising under the Securities Act of 1933 may be permitted to directors, officers and controlling persons of the Registrant pursuant to the foregoing provisions, or otherwise, the Registrant has been advised that in the opinion of the SEC such indemnification is against public policy as expressed in the Act and is, therefore, unenforceable. In the event that a claim for indemnification against such liabilities (other than the payment by the Registrant of expenses incurred or paid by a director, officer or controlling person of the Registrant in the successful defense of any action, suit or proceeding) is asserted by such director, officer or controlling person in connection with the securities being registered, the Registrant will, unless in the opinion of its counsel the matter has been settled by controlling precedent, submit to a court of appropriate jurisdiction the question whether such indemnification by it is against public policy as expressed in the Act and will be governed by the final adjudication of such issue.\n\n (e) The undersigned Registrant hereby undertakes to respond to requests for information that is incorporated by reference into the prospectus pursuant to Item 4, 10(b), 11, or 13 of this form, within one business day of receipt of such request, and to send the incorporated documents by first class mail or other equally prompt means. This includes information contained in documents filed subsequent to the effective date of the registration statement through the date of responding to the request.\n\n (f) The undersigned Registrant hereby undertakes to supply by means of a post-effective amendment all information concerning a transaction, and the company being acquired involved therein, that was not the subject of and included in the registration statement when it became effective.\n\n------\n\n[**TABLE OF CONTENTS**](#TOC2)\n\n#### SIGNATURES\nPursuant to the requirements of the Securities Act of 1933, as amended, the Registrant has duly caused this Registration Statement to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of Moline, State of Illinois, on this 28th day of January, 2022.\n\n#### QCR HOLDINGS, INC.\nBy:\n\n/s/ Todd A. Gipple\n\nTodd A. Gipple\n\nPresident, Chief Operating Officer and Chief Financial Officer\n\nPursuant to the requirements of the Securities Act of 1933, as amended, this Registration Statement has been signed by the following persons in the capacities and on the date indicated.\n\n---\n\n\n\n| | | |\n|:---|:---|:---|\n| **Name** | **Title** | **Date** |\n| \\* <br>Marie Z. Ziegler | Chair of the Board of Directors | January 28, 2022 |\n| /s/ Larry J. Helling <br>Larry J. Helling | Chief Executive Officer and Director <br> (Principal Executive Officer) | January 28, 2022 |\n| \\* <br>Nick W. Anderson | Chief Accounting Officer <br> (Principal Accounting Officer) | January 28, 2022 |\n| \\* <br>Patrick S. Baird | Director | January 28, 2022 |\n| \\* <br>John Paul E. Besong | Director | January 28, 2022 |\n| /s/ Todd A. Gipple <br>Todd A. Gipple | President, Chief Operating <br> Officer, Chief Financial Officer and Director <br> (Principal Financial Officer) | January 28, 2022 |\n| \\* <br>Mary K. Bates | Director | January 28, 2022 |\n| \\* <br>Mark C. Kilmer | Director | January 28, 2022 |\n| \\* <br>James Field | Director | January 28, 2022 |\n| \\* <br>Brent R. Cobb | Director | January 28, 2022 |\n\n---\n\n\n\n------\n\n[**TABLE OF CONTENTS**](#TOC2)\n\n---\n\n\n\n| | | |\n|:---|:---|:---|\n| **Name** | **Title** | **Date** |\n| \\* <br>Elizabeth S. Jacobs | Director | January 28, 2022 |\n| \\* <br>Donna J. Sorensen | Director | January 28, 2022 |\n\n---\n\n\n\nBy:\n\n/s/ Todd A. Gipple\n\nTodd A. Gipple\n\nAttorney-in-fact\n\nJanuary 28, 2022\n\n------\n\n\n## Exhibit 23.1\n\n\n**Exhibit 23.1**\n\n**Consent of Independent Registered Public Accounting Firm**\n\nWe consent to the incorporation by reference in this Amendment No. 1 to Registration Statement No. 333-262044 on Form S-4 and related Proxy Statement/Prospectus of QCR Holdings, Inc. of our reports dated March 12, 2021 relating to the consolidated financial statements and the effectiveness of internal control over financial reporting of QCR Holdings, Inc., appearing in the Annual Report on Form 10-K of QCR Holdings, Inc. for the year ended December 31, 2020.\n\nWe also consent to the reference to our firm under the heading \"Experts\" in such Proxy Statement/Prospectus.\n\n/s/ RSM US LLP\n\nDavenport, Iowa\n\nJanuary 27, 2022\n\n\n## Exhibit 23.2\n\n\n**Exhibit 23.2**\n\n\n\n**Consent of Independent Registered Public Accounting Firm**\n\nWe consent to the incorporation by reference in this Registration Statement on Form S-4 of QCR Holdings, Inc. of our report, dated March 12, 2021, on our audits of the consolidated financial statements included in the Annual Report on Form 10- K of Guaranty Federal Bancshares, Inc. as of December 31, 2020 and 2019, and for each of the years in the three-year period ended December 31, 2020. We also consent to the reference of our Firm under the heading \"Experts\" in the proxy statement/prospectus in the Registration Statement.\n\n---\n\n\n\n| | |\n|:---|:---|\n|  | |\n| | **BKD, LLP** |\n\n---\n\n\n\nSpringfield, Missouri\n\nJanuary 27, 2022\n\n\n\n\n## Exhibit 99.1\n\n\n**Exhibit 99.1**\n\n**FORM OF PROXY**\n\n**GUARANTY FEDERAL BANCSHRES, INC.**\n\n**Special Meeting of Stockholders**\n\n**March 21, 2022, 4:00 P.M. local time**\n\n**This proxy is solicited by the Board of Directors**\n\nI, the undersigned stockholder of Guaranty Federal Bancshares, Inc. (the \"Company\"), having received notice of a special meeting of the stockholders, revoking any proxy previously given, do hereby nominate, constitute and appoint, each of [**●**] and [**●**], my true and lawful attorney and proxy, each with full power of substitution, for me and in my name, place and stead to vote all of the shares of common stock of the Company, $0.10 par value per share, standing in my name on its books on January 25, 2022, at a special meeting of the stockholders of the Company, to be held at 2144 E. Republic Rd., Suite F200, Springfield, Missouri 65804, on March 21, 2022, at 4:00 P.M. local time (the \"Special Meeting\"), and at any postponement or adjournment thereof, with all powers the undersigned would possess if personally present, as follows:\n\n1. To approve the Agreement and Plan of Merger, dated as of November 9, 2021, between QCR Holdings, Inc. and the Company (the \"Merger Agreement\"), pursuant to which the Company will merge with and into QCR Holdings, Inc., and the transactions contemplated therein.\n\n---\n\n\n\n| | | |\n|:---|:---|:---|\n| ◻ **FOR** | ◻ **AGAINST** | ◻ **ABSTAIN** |\n\n---\n\n\n\n2. To approve, on a non-binding, advisory basis, the compensation that may be paid or become payable to the Company's named executive officers that is based on or otherwise relates to the merger.\n\n---\n\n\n\n| | | |\n|:---|:---|:---|\n| ◻ **FOR** | ◻ **AGAINST** | ◻ **ABSTAIN** |\n\n---\n\n\n\n3. To approve the adjournment of the Special Meeting to permit further solicitation in the event that an insufficient number of votes are cast to approve the Merger Agreement and the transactions contemplated therein.\n\n---\n\n\n\n| | | |\n|:---|:---|:---|\n| ◻ **FOR** | ◻ **AGAINST** | ◻ **ABSTAIN** |\n\n---\n\n\n\n**The Board of Directors recommends you vote \"FOR\" Proposals 1, 2, and 3. This proxy will be voted as directed, or if no instructions are given, it will be voted \"FOR\" Proposals 1, 2, and 3. This proxy will be voted in the discretion of the proxy holders on any other matters that may properly come before the Special Meeting.**\n\n---\n\n\n\n| | |\n|:---|:---|\n| Signature | Date |\n| Signature (Joint Owners) | Date |\n\n---\n\n\n\nPlease sign exactly as your name(s) appear hereon. When signing as attorney, executor, administrator or other fiduciary, please give full title as such. Joint owners should each sign personally. All holders must sign. If a corporation or partnership, please sign in full corporate or partnership name, by authorized officer.\n\nPlease indicate if you plan to attend this meeting: ◻ Yes ◻ No\n\n\n## Exhibit 99.3\n\n\n**Exhibit 99.3**\n\n**<u>Consent of John Griesemer</u>**\n\nIn accordance with Rule 438 promulgated under the Securities Act of 1933, as amended, the undersigned hereby consents to being named and described in the Registration Statement on Form S-4 filed by QCR Holdings, Inc. (\"QCR\") with the Securities and Exchange Commission, and all supplements and amendments thereto (the \"Registration Statement\"), as a person about to become a director of QCR in connection with the merger described in the Registration Statement and to the filing or attachment of this Consent with such Registration Statement.\n\n---\n\n\n\n| | |\n|:---|:---|\n| /s/ John Griesemer | /s/ John Griesemer |\n| Name: | John Griesemer |\n| Date: | January 27, 2022 |\n\n---"},"char_count":{"kind":"number","value":766225,"string":"766,225"},"md5":{"kind":"string","value":"e0f0b17948c4c1ab7027f04a48a20f4f"},"has_ocr":{"kind":"bool","value":false,"string":"false"},"source_format":{"kind":"string","value":""}}},{"rowIdx":285,"cells":{"accession":{"kind":"string","value":"0000906465"},"file_stem":{"kind":"string","value":"0000000000-22-000583"},"year":{"kind":"number","value":2022,"string":"2,022"},"month":{"kind":"number","value":1,"string":"1"},"parsed_md":{"kind":"string","value":"## Filing Summary\n**0000000000-22-000583.hdr.sgml**: 20220215\n\n**ACCESSION NUMBER**: 0000000000-22-000583\n\n**CONFORMED SUBMISSION TYPE**: UPLOAD\n\n**PUBLIC DOCUMENT COUNT**: 2\n\n**FILED AS OF DATE**: 20220118\n\n**FILED FOR**: \n\n\n**COMPANY DATA:**\n- **COMPANY CONFORMED NAME:** QCR HOLDINGS INC\n- **CENTRAL INDEX KEY:** 0000906465\n- **STANDARD INDUSTRIAL CLASSIFICATION:** STATE COMMERCIAL BANKS [6022]\n- **IRS NUMBER:** 421397595\n- **STATE OF INCORPORATION:** DE\n- **FISCAL YEAR END:** 1231\n\n**FILING VALUES:**\n- **FORM TYPE:** UPLOAD\n\n**BUSINESS ADDRESS:**\n- **STREET 1:** 3551 7TH STREET\n- **CITY:** MOLINE\n- **STATE:** IL\n- **ZIP:** 61265\n- **BUSINESS PHONE:** 3097363580\n\n**MAIL ADDRESS:**\n- **STREET 1:** 3551 7TH STREET\n- **CITY:** MOLINE\n- **STATE:** IL\n- **ZIP:** 61265\n\n**FORMER COMPANY:**\n- **FORMER CONFORMED NAME:** QUAD CITY HOLDINGS INC\n- **DATE OF NAME CHANGE:** 19930805\n\n\n## Text-Extract\n\n\n\n```\n\nUnited States securities and exchange commission logo\n\n January 18, 2022\n\n Larry J. Helling\n Chief Executive Officer\n QCR Holdings, Inc.\n 3551 7th Street\n Moline, IL 61265\n\n Re: QCR Holdings, Inc.\n Form 10-K for the\nfiscal year ended December 31, 2020\n Filed March 12,\n2021\n Form 10-Q for the\nquarterly period ended September 30, 2021\n Filed November 5,\n2021\n File No. 000-22208\n\n Dear Mr. Helling:\n\n We have completed our review of your filings. We remind you that\nthe company and its\n management are responsible for the accuracy and adequacy of their\ndisclosures, notwithstanding\n any review, comments, action or absence of action by the staff.\n\n Sincerely,\n\n Division of Corporation Finance\n\n Office of Finance\n\n```\n\n\n\n### Attached PDF Documents\n\n\n**Attachment 1:** `filename1`\n\nUNITED STATES\nSECURITIES AND EXCHANGE COMMISSION\nWASHINGTON, D.C. 20549\n\nDIVISION OF CORPORATION FINANCE\n\nJanuary 18, 2022\n\nLarry J. Helling\nChief Executive Officer\nQCR Holdings, Inc.\n3551 7th Street\nMoline, IL 61265\n\nRe: QCR Holdings, Inc.\nForm 10-K for the fiscal year ended December 31, 2020\nFiled March 12, 2021\nForm 10-Q for the quarterly period ended September 30, 2021\nFiled November 5, 2021\nFile No. 000-22208\n\nDear Mr. Helling:\n\nWe have completed our review of your filings. We remind you that the company and its management are responsible for the accuracy and adequacy of their disclosures, notwithstanding any review, comments, action or absence of action by the staff.\n\nSincerely,\n\nDivision of Corporation Finance\nOffice of Finance"},"char_count":{"kind":"number","value":2931,"string":"2,931"},"md5":{"kind":"string","value":"cb2ec6dfeef5595a222f9340ce46f812"},"has_ocr":{"kind":"bool","value":false,"string":"false"},"source_format":{"kind":"string","value":""}}},{"rowIdx":286,"cells":{"accession":{"kind":"string","value":"0001685591"},"file_stem":{"kind":"string","value":"0001584509-22-000014"},"year":{"kind":"number","value":2022,"string":"2,022"},"month":{"kind":"number","value":1,"string":"1"},"parsed_md":{"kind":"string","value":"## Filing Summary\n**0001584509-22-000014.hdr.sgml**: 20220110\n\n**ACCESSION NUMBER**: 0001584509-22-000014\n\n**CONFORMED SUBMISSION TYPE**: 4\n\n**PUBLIC DOCUMENT COUNT**: 1\n\n**CONFORMED PERIOD OF REPORT**: 20220107\n\n**FILED AS OF DATE**: 20220110\n\n**DATE AS OF CHANGE**: 20220110\n\n**REPORTING-OWNER**: \n\n\n**OWNER DATA:**\n- **COMPANY CONFORMED NAME:** Ondrof Thomas Gerard\n- **CENTRAL INDEX KEY:** 0001685591\n\n**FILING VALUES:**\n- **FORM TYPE:** 4\n- **SEC ACT:** 1934 Act\n- **SEC FILE NUMBER:** 001-36223\n- **FILM NUMBER:** 22521967\n\n**MAIL ADDRESS:**\n- **STREET 1:** C/O PERFORMANCE FOOD GROUP COMPANY\n- **STREET 2:** 12500 WEST CREEK PARKWAY\n- **CITY:** RICHMOND\n- **STATE:** VA\n- **ZIP:** 23238\n**ISSUER**: \n\n\n**COMPANY DATA:**\n- **COMPANY CONFORMED NAME:** Aramark\n- **CENTRAL INDEX KEY:** 0001584509\n- **STANDARD INDUSTRIAL CLASSIFICATION:** RETAIL-EATING PLACES [5812]\n- **IRS NUMBER:** 208236097\n- **STATE OF INCORPORATION:** DE\n- **FISCAL YEAR END:** 1001\n\n**BUSINESS ADDRESS:**\n- **STREET 1:** 2400 MARKET STREET\n- **CITY:** PHILADELPHIA\n- **STATE:** PA\n- **ZIP:** 19103\n- **BUSINESS PHONE:** 215-238-3000\n\n**MAIL ADDRESS:**\n- **STREET 1:** 2400 MARKET STREET\n- **CITY:** PHILADELPHIA\n- **STATE:** PA\n- **ZIP:** 19103\n\n**FORMER COMPANY:**\n- **FORMER CONFORMED NAME:** ARAMARK Holdings Corp\n- **DATE OF NAME CHANGE:** 20130815\n\n### UNITED STATES SECURITIES AND EXCHANGE COMMISSION\n**Washington, D.C. 20549**\n\n## FORM 4\n\n### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP\n\n\n[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).\n\n\n[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.\n\n\n---\n\n\n\n| | | |\n|:---|:---|:---|\n| **1. Name and Address of Reporting Person**<sup>*</sup><br>Ondrof Thomas Gerard<br><sub>(Last) (First) (Middle)</sub><br>ARAMARK<br>2400 MARKET STREET<br><sub>(Street)</sub><br>PHILADELPHIA, PA 19103<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2022-01-07 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [ ] 10% Owner<br>[X] Officer (give title below) [ ] Other (specify below)<br>_Executive VP and CFO_ |\n| **2. Issuer Name and Ticker or Trading Symbol**<br>Aramark [ ARMK ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br> | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |\n\n---\n\n\n\n\n## Table I - Non-Derivative Securities\n\n\n---\n\n\n\n| | | | | | | | | | | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |\n| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |\n| Common Stock | 2022-01-07 | | F<sup>(1)</sup> | | 864<sup>(1)</sup> | D | $36.73 | 69146.835 | D | |\n\n---\n\n\n\n## Table II - Derivative Securities\n\n---\n\n\n\n\n| | | | | | | | | | | | | | | | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |\n| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |\n| | | | | | | | | | | | | | | | |\n\n---\n\n\n\n\n\n### Footnotes:\n\n(1) Represents shares withheld to pay taxes applicable to vesting of restricted stock units.\n\n\n**Signature:** /s/ Harold B. Dichter, as Attorney-in-fact \n**Date:** 2022-01-10\n\n### Remarks:\n\nReminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.\n\n* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).\n\n** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).\n\nNote: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.\n\n**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.**"},"char_count":{"kind":"number","value":5694,"string":"5,694"},"md5":{"kind":"string","value":"0b204629598d499444586dc344c7572f"},"has_ocr":{"kind":"bool","value":false,"string":"false"},"source_format":{"kind":"string","value":""}}},{"rowIdx":287,"cells":{"accession":{"kind":"string","value":"0001786925"},"file_stem":{"kind":"string","value":"0000899243-22-001506"},"year":{"kind":"number","value":2022,"string":"2,022"},"month":{"kind":"number","value":1,"string":"1"},"parsed_md":{"kind":"string","value":"## Filing Summary\n**0000899243-22-001506.hdr.sgml**: 20220110\n\n**ACCESSION NUMBER**: 0000899243-22-001506\n\n**CONFORMED SUBMISSION TYPE**: 4\n\n**PUBLIC DOCUMENT COUNT**: 1\n\n**CONFORMED PERIOD OF REPORT**: 20220107\n\n**FILED AS OF DATE**: 20220110\n\n**DATE AS OF CHANGE**: 20220110\n\n**REPORTING-OWNER**: \n\n\n**OWNER DATA:**\n- **COMPANY CONFORMED NAME:** Prince Matthew\n- **CENTRAL INDEX KEY:** 0001786925\n\n**FILING VALUES:**\n- **FORM TYPE:** 4\n- **SEC ACT:** 1934 Act\n- **SEC FILE NUMBER:** 001-39039\n- **FILM NUMBER:** 22522437\n\n**MAIL ADDRESS:**\n- **STREET 1:** C/O CLOUDFLARE, INC.\n- **STREET 2:** 101 TOWNSEND STREET\n- **CITY:** SAN FRANCISCO\n- **STATE:** CA\n- **ZIP:** 94107\n**ISSUER**: \n\n\n**COMPANY DATA:**\n- **COMPANY CONFORMED NAME:** Cloudflare, Inc.\n- **CENTRAL INDEX KEY:** 0001477333\n- **STANDARD INDUSTRIAL CLASSIFICATION:** SERVICES-PREPACKAGED SOFTWARE [7372]\n- **IRS NUMBER:** 270805829\n- **STATE OF INCORPORATION:** DE\n- **FISCAL YEAR END:** 1231\n\n**BUSINESS ADDRESS:**\n- **STREET 1:** 101 TOWNSEND ST.\n- **CITY:** SAN FRANCISCO\n- **STATE:** CA\n- **ZIP:** 94107\n- **BUSINESS PHONE:** 888.993.5273\n\n**MAIL ADDRESS:**\n- **STREET 1:** 101 TOWNSEND ST.\n- **CITY:** SAN FRANCISCO\n- **STATE:** CA\n- **ZIP:** 94107\n\n**FORMER COMPANY:**\n- **FORMER CONFORMED NAME:** CloudFlare, Inc.\n- **DATE OF NAME CHANGE:** 20091120\n\n### UNITED STATES SECURITIES AND EXCHANGE COMMISSION\n**Washington, D.C. 20549**\n\n## FORM 4\n\n### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP\n\n\n[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).\n\n\n[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.\n\n\n---\n\n\n\n| | | |\n|:---|:---|:---|\n| **1. Name and Address of Reporting Person**<sup>*</sup><br>Prince Matthew<br><sub>(Last) (First) (Middle)</sub><br>C/O CLOUDFLARE, INC.<br>101 TOWNSEND STREET<br><sub>(Street)</sub><br>SAN FRANCISCO, CA 94107<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2022-01-07 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [X] 10% Owner<br>[X] Officer (give title below) [ ] Other (specify below)<br>_CEO & Chair of the Board_ |\n| **2. Issuer Name and Ticker or Trading Symbol**<br>Cloudflare, Inc. [ NET ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br> | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |\n\n---\n\n\n\n\n## Table I - Non-Derivative Securities\n\n\n---\n\n\n\n| | | | | | | | | | | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |\n| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |\n| Class A Common Stock | 2022-01-07 | | C | | 52385 | A | <sup>(1)</sup> | 52385 | I | See footnote<sup>(2)</sup> |\n| Class A Common Stock | 2022-01-07 | | S<sup>(3)</sup> | | 2759 | D | 102.8535<sup>(4)</sup> | 49626 | I | See footnote<sup>(2)</sup> |\n| Class A Common Stock | 2022-01-07 | | S<sup>(3)</sup> | | 3511 | D | 103.8455<sup>(5)</sup> | 46115 | I | See footnote<sup>(2)</sup> |\n| Class A Common Stock | 2022-01-07 | | S<sup>(3)</sup> | | 5400 | D | 104.7513<sup>(6)</sup> | 40715 | I | See footnote<sup>(2)</sup> |\n| Class A Common Stock | 2022-01-07 | | S<sup>(3)</sup> | | 4510 | D | 105.744<sup>(7)</sup> | 36205 | I | See footnote<sup>(2)</sup> |\n| Class A Common Stock | 2022-01-07 | | S<sup>(3)</sup> | | 14717 | D | 106.8347<sup>(8)</sup> | 21488 | I | See footnote<sup>(2)</sup> |\n| Class A Common Stock | 2022-01-07 | | S<sup>(3)</sup> | | 18838 | D | 107.6933<sup>(9)</sup> | 2650 | I | See footnote<sup>(2)</sup> |\n| Class A Common Stock | 2022-01-07 | | S<sup>(3)</sup> | | 2550 | D | 108.6671<sup>(10)</sup> | 100 | I | See footnote<sup>(2)</sup> |\n| Class A Common Stock | 2022-01-07 | | S<sup>(3)</sup> | | 100 | D | $109.51 | 0 | I | See footnote<sup>(2)</sup> |\n\n---\n\n\n\n## Table II - Derivative Securities\n\n---\n\n\n\n\n| | | | | | | | | | | | | | | | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |\n| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |\n| Class B Common Stock | <sup>(1)</sup> | 2022-01-07 | | C | | | 52385 | <sup>(1)</sup> | <sup>(1)</sup> | Class A Common Stock | 52385 | $0.00 | 17963886<sup>(11)</sup> | I | See footnote<sup>(2)</sup> |\n| Class B Common Stock | <sup>(1)</sup> | | | | | | | <sup>(1)</sup> | <sup>(1)</sup> | Class A Common Stock | 491031 | | 491031 | I | See footnote<sup>(12)</sup> |\n| Class B Common Stock | <sup>(1)</sup> | | | | | | | <sup>(1)</sup> | <sup>(1)</sup> | Class A Common Stock | 4000000 | | 4000000 | I | See footnote<sup>(13)</sup> |\n| Class B Common Stock | <sup>(1)</sup> | | | | | | | <sup>(1)</sup> | <sup>(1)</sup> | Class A Common Stock | 4000000 | | 4000000 | I | See footnote<sup>(14)</sup> |\n| Class B Common Stock | <sup>(1)</sup> | | | | | | | <sup>(1)</sup> | <sup>(1)</sup> | Class A Common Stock | 6569442 | | 6569442 | I | See footnote<sup>(15)</sup> |\n| Class B Common Stock | <sup>(1)</sup> | | | | | | | <sup>(1)</sup> | <sup>(1)</sup> | Class A Common Stock | 1060000 | | 1060000 | I | See footnote<sup>(16)</sup> |\n\n---\n\n\n\n\n\n### Footnotes:\n\n(1) Each share of Class B Common Stock is convertible at any time into Class A Common Stock on a one-to-one basis at the reporting person's election and has no expiration date.\n\n(2) The shares are held of record by The Matthew Prince Revocable Trust dated October 29, 2015, for which the reporting person serves as trustee.\n\n(3) The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 11, 2020.\n\n(4) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $102.25 to $103.24, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (4) through (10) to this Form 4.\n\n(5) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $103.25 to $104.21, inclusive.\n\n(6) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $104.25 to $105.22, inclusive.\n\n(7) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $105.26 to $106.25, inclusive.\n\n(8) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $106.26 to $107.255, inclusive.\n\n(9) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $107.26 to $108.235, inclusive.\n\n(10) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $108.275 to $109.10, inclusive.\n\n(11) Of the reported shares, 1,750,000 vest in 21 months beginning on January 13, 2022.\n\n(12) The shares are held of record by The Matthew Prince 2020 Annuity Trust dated May 20, 2020, for which the reporting person serves as co-trustee and investment advisor.\n\n(13) The shares are held of record by The Matthew Prince 2021 Grantor Retained Annuity Trust #1 UA 5/25/2021, for which the reporting person serves as co-trustee and investment advisor.\n\n(14) The shares are held of record by The Matthew Prince 2021 Grantor Retained Annuity Trust #2 UA 8/13/2021, for which the reporting person serves as co-trustee and investment advisor.\n\n(15) The shares are held of record by The Prince Family Nonexempt Irrevocable Trust dated March 29, 2016, for which the reporting person serves as an investment advisor.\n\n(16) The shares are held of record by The Prince Family Exempt Irrevocable Trust dated March 29, 2016, for which the reporting person serves as an investment advisor.\n\n\n**Signature:** /s/ Lindsey Cochran, by power of attorney \n**Date:** 2022-01-10\n\n### Remarks:\n\nReminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.\n\n* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).\n\n** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).\n\nNote: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.\n\n**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.**"},"char_count":{"kind":"number","value":10670,"string":"10,670"},"md5":{"kind":"string","value":"6d34d080f9e12c5d78ca0cfaafdea7d5"},"has_ocr":{"kind":"bool","value":false,"string":"false"},"source_format":{"kind":"string","value":""}}},{"rowIdx":288,"cells":{"accession":{"kind":"string","value":"0001786925"},"file_stem":{"kind":"string","value":"0000899243-22-001414"},"year":{"kind":"number","value":2022,"string":"2,022"},"month":{"kind":"number","value":1,"string":"1"},"parsed_md":{"kind":"string","value":"## Filing Summary\n**0000899243-22-001414.hdr.sgml**: 20220107\n\n**ACCESSION NUMBER**: 0000899243-22-001414\n\n**CONFORMED SUBMISSION TYPE**: 4\n\n**PUBLIC DOCUMENT COUNT**: 1\n\n**CONFORMED PERIOD OF REPORT**: 20220105\n\n**FILED AS OF DATE**: 20220107\n\n**DATE AS OF CHANGE**: 20220107\n\n**REPORTING-OWNER**: \n\n\n**OWNER DATA:**\n- **COMPANY CONFORMED NAME:** Prince Matthew\n- **CENTRAL INDEX KEY:** 0001786925\n\n**FILING VALUES:**\n- **FORM TYPE:** 4\n- **SEC ACT:** 1934 Act\n- **SEC FILE NUMBER:** 001-39039\n- **FILM NUMBER:** 22519427\n\n**MAIL ADDRESS:**\n- **STREET 1:** C/O CLOUDFLARE, INC.\n- **STREET 2:** 101 TOWNSEND STREET\n- **CITY:** SAN FRANCISCO\n- **STATE:** CA\n- **ZIP:** 94107\n**ISSUER**: \n\n\n**COMPANY DATA:**\n- **COMPANY CONFORMED NAME:** Cloudflare, Inc.\n- **CENTRAL INDEX KEY:** 0001477333\n- **STANDARD INDUSTRIAL CLASSIFICATION:** SERVICES-PREPACKAGED SOFTWARE [7372]\n- **IRS NUMBER:** 270805829\n- **STATE OF INCORPORATION:** DE\n- **FISCAL YEAR END:** 1231\n\n**BUSINESS ADDRESS:**\n- **STREET 1:** 101 TOWNSEND ST.\n- **CITY:** SAN FRANCISCO\n- **STATE:** CA\n- **ZIP:** 94107\n- **BUSINESS PHONE:** 888.993.5273\n\n**MAIL ADDRESS:**\n- **STREET 1:** 101 TOWNSEND ST.\n- **CITY:** SAN FRANCISCO\n- **STATE:** CA\n- **ZIP:** 94107\n\n**FORMER COMPANY:**\n- **FORMER CONFORMED NAME:** CloudFlare, Inc.\n- **DATE OF NAME CHANGE:** 20091120\n\n### UNITED STATES SECURITIES AND EXCHANGE COMMISSION\n**Washington, D.C. 20549**\n\n## FORM 4\n\n### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP\n\n\n[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).\n\n\n[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.\n\n\n---\n\n\n\n| | | |\n|:---|:---|:---|\n| **1. Name and Address of Reporting Person**<sup>*</sup><br>Prince Matthew<br><sub>(Last) (First) (Middle)</sub><br>C/O CLOUDFLARE, INC.<br>101 TOWNSEND STREET<br><sub>(Street)</sub><br>SAN FRANCISCO, CA 94107<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2022-01-05 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [X] 10% Owner<br>[X] Officer (give title below) [ ] Other (specify below)<br>_CEO & Chair of the Board_ |\n| **2. Issuer Name and Ticker or Trading Symbol**<br>Cloudflare, Inc. [ NET ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br> | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |\n\n---\n\n\n\n\n## Table I - Non-Derivative Securities\n\n\n---\n\n\n\n| | | | | | | | | | | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |\n| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |\n| Class A Common Stock | 2022-01-05 | | C | | 52385 | A | <sup>(1)</sup> | 52385 | I | See footnote<sup>(2)</sup> |\n| Class A Common Stock | 2022-01-05 | | S<sup>(3)</sup> | | 3720 | D | 104.1747<sup>(4)</sup> | 48665 | I | See footnote<sup>(2)</sup> |\n| Class A Common Stock | 2022-01-05 | | S<sup>(3)</sup> | | 3972 | D | 105.2439<sup>(5)</sup> | 44693 | I | See footnote<sup>(2)</sup> |\n| Class A Common Stock | 2022-01-05 | | S<sup>(3)</sup> | | 6239 | D | 105.9976<sup>(6)</sup> | 38454 | I | See footnote<sup>(2)</sup> |\n| Class A Common Stock | 2022-01-05 | | S<sup>(3)</sup> | | 3233 | D | 107.2671<sup>(7)</sup> | 35221 | I | See footnote<sup>(2)</sup> |\n| Class A Common Stock | 2022-01-05 | | S<sup>(3)</sup> | | 4905 | D | 108.1369<sup>(8)</sup> | 30316 | I | See footnote<sup>(2)</sup> |\n| Class A Common Stock | 2022-01-05 | | S<sup>(3)</sup> | | 3650 | D | 109.0916<sup>(9)</sup> | 26666 | I | See footnote<sup>(2)</sup> |\n| Class A Common Stock | 2022-01-05 | | S<sup>(3)</sup> | | 5013 | D | 110.2475<sup>(10)</sup> | 21653 | I | See footnote<sup>(2)</sup> |\n| Class A Common Stock | 2022-01-05 | | S<sup>(3)</sup> | | 4745 | D | 111.2681<sup>(11)</sup> | 16908 | I | See footnote<sup>(2)</sup> |\n| Class A Common Stock | 2022-01-05 | | S<sup>(3)</sup> | | 5808 | D | 112.1991<sup>(12)</sup> | 11100 | I | See footnote<sup>(2)</sup> |\n| Class A Common Stock | 2022-01-05 | | S<sup>(3)</sup> | | 3625 | D | 113.1292<sup>(13)</sup> | 7475 | I | See footnote<sup>(2)</sup> |\n| Class A Common Stock | 2022-01-05 | | S<sup>(3)</sup> | | 5525 | D | 114.115<sup>(14)</sup> | 1950 | I | See footnote<sup>(2)</sup> |\n| Class A Common Stock | 2022-01-05 | | S<sup>(3)</sup> | | 1825 | D | 115.0041<sup>(15)</sup> | 125 | I | See footnote<sup>(2)</sup> |\n| Class A Common Stock | 2022-01-05 | | S<sup>(3)</sup> | | 125 | D | 115.896<sup>(16)</sup> | 0 | I | See footnote<sup>(2)</sup> |\n| Class A Common Stock | 2022-01-06 | | C | | 52385 | A | <sup>(1)</sup> | 52385 | I | See footnote<sup>(2)</sup> |\n| Class A Common Stock | 2022-01-06 | | S<sup>(3)</sup> | | 1300 | D | 102.5546<sup>(17)</sup> | 51085 | I | See footnote<sup>(2)</sup> |\n| Class A Common Stock | 2022-01-06 | | S<sup>(3)</sup> | | 9461 | D | 103.8299<sup>(18)</sup> | 41624 | I | See footnote<sup>(2)</sup> |\n| Class A Common Stock | 2022-01-06 | | S<sup>(3)</sup> | | 15608 | D | 104.8423<sup>(19)</sup> | 26016 | I | See footnote<sup>(2)</sup> |\n| Class A Common Stock | 2022-01-06 | | S<sup>(3)</sup> | | 13424 | D | 105.8391<sup>(20)</sup> | 12592 | I | See footnote<sup>(2)</sup> |\n| Class A Common Stock | 2022-01-06 | | S<sup>(3)</sup> | | 8466 | D | 106.762<sup>(21)</sup> | 4126 | I | See footnote<sup>(2)</sup> |\n| Class A Common Stock | 2022-01-06 | | S<sup>(3)</sup> | | 3976 | D | 107.6805<sup>(22)</sup> | 150 | I | See footnote<sup>(2)</sup> |\n| Class A Common Stock | 2022-01-06 | | S<sup>(3)</sup> | | 150 | D | 108.29<sup>(23)</sup> | 0 | I | See footnote<sup>(2)</sup> |\n\n---\n\n\n\n## Table II - Derivative Securities\n\n---\n\n\n\n\n| | | | | | | | | | | | | | | | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |\n| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |\n| Class B Common Stock | <sup>(1)</sup> | 2022-01-05 | | C | | | 52385 | <sup>(1)</sup> | <sup>(1)</sup> | Class A Common Stock | 52385 | $0.00 | 18068656<sup>(24)</sup> | I | See footnote<sup>(2)</sup> |\n| Class B Common Stock | <sup>(1)</sup> | 2022-01-06 | | C | | | 52385 | <sup>(1)</sup> | <sup>(1)</sup> | Class A Common Stock | 52385 | $0.00 | 18016271<sup>(24)</sup> | I | See footnote<sup>(2)</sup> |\n| Class B Common Stock | <sup>(1)</sup> | | | | | | | <sup>(1)</sup> | <sup>(1)</sup> | Class A Common Stock | 491031 | | 491031 | I | See footnote<sup>(25)</sup> |\n| Class B Common Stock | <sup>(1)</sup> | | | | | | | <sup>(1)</sup> | <sup>(1)</sup> | Class A Common Stock | 4000000 | | 4000000 | I | See footnote<sup>(26)</sup> |\n| Class B Common Stock | <sup>(1)</sup> | | | | | | | <sup>(1)</sup> | <sup>(1)</sup> | Class A Common Stock | 4000000 | | 4000000 | I | See footnote<sup>(27)</sup> |\n| Class B Common Stock | <sup>(1)</sup> | | | | | | | <sup>(1)</sup> | <sup>(1)</sup> | Class A Common Stock | 6569442 | | 6569442 | I | See footnote<sup>(28)</sup> |\n| Class B Common Stock | <sup>(1)</sup> | | | | | | | <sup>(1)</sup> | <sup>(1)</sup> | Class A Common Stock | 1060000 | | 1060000 | I | See footnote<sup>(29)</sup> |\n\n---\n\n\n\n\n\n### Footnotes:\n\n(1) Each share of Class B Common Stock is convertible at any time into Class A Common Stock on a one-to-one basis at the reporting person's election and has no expiration date.\n\n(2) The shares are held of record by The Matthew Prince Revocable Trust dated October 29, 2015, for which the reporting person serves as trustee.\n\n(3) The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 11, 2020.\n\n(4) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $103.63 to $104.62, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (4) through (23) to this Form 4.\n\n(5) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $104.65 to $105.64, inclusive.\n\n(6) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $105.65 to $106.61, inclusive.\n\n(7) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $106.65 to $107.64, inclusive.\n\n(8) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $107.65 to $108.64, inclusive.\n\n(9) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $108.65 to $109.57, inclusive.\n\n(10) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $109.66 to $110.63, inclusive.\n\n(11) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $110.69 to $111.67, inclusive.\n\n(12) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $111.69 to $112.68, inclusive.\n\n(13) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $112.69 to $113.68, inclusive.\n\n(14) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $113.69 to $114.67, inclusive.\n\n(15) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $114.69 to $115.68, inclusive.\n\n(16) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $115.76 to $115.93, inclusive.\n\n(17) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $102.15 to $102.935, inclusive.\n\n(18) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $103.28 to $104.275, inclusive.\n\n(19) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $104.28 to $105.27, inclusive.\n\n(20) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $105.28 to $106.27, inclusive.\n\n(21) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $106.28 to $107.27, inclusive.\n\n(22) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $107.28 to $108.24, inclusive.\n\n(23) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $108.28 to $108.30, inclusive.\n\n(24) Of the reported shares, 1,750,000 vest in 21 months beginning on January 13, 2022.\n\n(25) The shares are held of record by The Matthew Prince 2020 Annuity Trust dated May 20, 2020, for which the reporting person serves as co-trustee and investment advisor.\n\n(26) The shares are held of record by The Matthew Prince 2021 Grantor Retained Annuity Trust #1 UA 5/25/2021, for which the reporting person serves as co-trustee and investment advisor.\n\n(27) The shares are held of record by The Matthew Prince 2021 Grantor Retained Annuity Trust #2 UA 8/13/2021, for which the reporting person serves as co-trustee and investment advisor.\n\n(28) The shares are held of record by The Prince Family Nonexempt Irrevocable Trust dated March 29, 2016, for which the reporting person serves as an investment advisor.\n\n(29) The shares are held of record by The Prince Family Exempt Irrevocable Trust dated March 29, 2016, for which the reporting person serves as an investment advisor.\n\n\n**Signature:** /s/ Lindsey Cochran, by power of attorney \n**Date:** 2022-01-07\n\n### Remarks:\n\nReminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.\n\n* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).\n\n** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).\n\nNote: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.\n\n**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.**"},"char_count":{"kind":"number","value":14862,"string":"14,862"},"md5":{"kind":"string","value":"3e919b988d8243d5ff450f3d38fae4d1"},"has_ocr":{"kind":"bool","value":false,"string":"false"},"source_format":{"kind":"string","value":""}}},{"rowIdx":289,"cells":{"accession":{"kind":"string","value":"0001010208"},"file_stem":{"kind":"string","value":"0001567619-22-000872"},"year":{"kind":"number","value":2022,"string":"2,022"},"month":{"kind":"number","value":1,"string":"1"},"parsed_md":{"kind":"string","value":"## Filing Summary\n**0001567619-22-000872.hdr.sgml**: 20220107\n\n**ACCESSION NUMBER**: 0001567619-22-000872\n\n**CONFORMED SUBMISSION TYPE**: 4\n\n**PUBLIC DOCUMENT COUNT**: 1\n\n**CONFORMED PERIOD OF REPORT**: 20220106\n\n**FILED AS OF DATE**: 20220107\n\n**DATE AS OF CHANGE**: 20220107\n\n**REPORTING-OWNER**: \n\n\n**OWNER DATA:**\n- **COMPANY CONFORMED NAME:** STARK BRIAN JAY\n- **CENTRAL INDEX KEY:** 0001010208\n\n**FILING VALUES:**\n- **FORM TYPE:** 4\n- **SEC ACT:** 1934 Act\n- **SEC FILE NUMBER:** 001-12604\n- **FILM NUMBER:** 22519153\n\n**MAIL ADDRESS:**\n- **STREET 1:** 3600 SOUTH LAKE DRIVE\n- **CITY:** ST. FRANCIS\n- **STATE:** WI\n- **ZIP:** 53235\n**ISSUER**: \n\n\n**COMPANY DATA:**\n- **COMPANY CONFORMED NAME:** MARCUS CORP\n- **CENTRAL INDEX KEY:** 0000062234\n- **STANDARD INDUSTRIAL CLASSIFICATION:** SERVICES-MOTION PICTURE THEATERS [7830]\n- **IRS NUMBER:** 391139844\n- **STATE OF INCORPORATION:** WI\n- **FISCAL YEAR END:** 1230\n\n**BUSINESS ADDRESS:**\n- **STREET 1:** 100 EAST WISCONSIN AVENUE\n- **STREET 2:** SUITE 1900\n- **CITY:** MILWAUKEE\n- **STATE:** WI\n- **ZIP:** 53202-4125\n- **BUSINESS PHONE:** 4142726020\n\n**MAIL ADDRESS:**\n- **STREET 1:** 100 EAST WISCONSIN AVENUE\n- **STREET 2:** SUITE 1900\n- **CITY:** MILWAUKEE\n- **STATE:** WI\n- **ZIP:** 53202-4125\n\n### UNITED STATES SECURITIES AND EXCHANGE COMMISSION\n**Washington, D.C. 20549**\n\n## FORM 4\n\n### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP\n\n\n[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).\n\n\n[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.\n\n\n---\n\n\n\n| | | |\n|:---|:---|:---|\n| **1. Name and Address of Reporting Person**<sup>*</sup><br>STARK BRIAN JAY<br><sub>(Last) (First) (Middle)</sub><br>735 NORTH WATER STREET, SUITE 790<br><sub>(Street)</sub><br>MILWAUKEE, WI 53202<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2022-01-06 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [ ] 10% Owner<br>[ ] Officer (give title below) [ ] Other (specify below)<br>_ _ |\n| **2. Issuer Name and Ticker or Trading Symbol**<br>MARCUS CORP [ MCS ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br> | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |\n\n---\n\n\n\n\n## Table I - Non-Derivative Securities\n\n\n---\n\n\n\n| | | | | | | | | | | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |\n| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |\n| Common Stock | 2022-01-06 | | M | | 1000 | A | $12.89 | 24326 | D | |\n\n---\n\n\n\n## Table II - Derivative Securities\n\n---\n\n\n\n\n| | | | | | | | | | | | | | | | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |\n| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |\n| Stock Option (Right to Buy) | $12.89 | 2022-01-06 | | M | | | 1000 | 2012-01-10 | 2022-01-10 | Common Stock | 1000 | $0 | 0 | D | |\n| Stock Option (Right to Buy)<sup>(1)</sup> | $13.33 | | | | | | | 2012-05-31 | 2022-05-31 | Common Stock | 500 | | 500 | D | |\n| Stock Option (Right to Buy)<sup>(1)</sup> | $13.45 | | | | | | | 2013-05-30 | 2023-05-30 | Common Stock | 1000 | | 1000 | D | |\n| Stock Option (Right to Buy)<sup>(1)</sup> | $16.84 | | | | | | | 2014-05-29 | 2024-05-29 | Common Stock | 1000 | | 1000 | D | |\n| Stock Option (Right to Buy)<sup>(1)</sup> | $19.65 | | | | | | | 2015-05-28 | 2025-05-28 | Common Stock | 1000 | | 1000 | D | |\n| Stock Option (Right to Buy)<sup>(1)</sup> | $18.97 | | | | | | | 2015-05-31 | 2025-05-31 | Common Stock | 583 | | 583 | D | |\n| Stock Option (Right to Buy)<sup>(1)</sup> | $31.55 | | | | | | | 2016-12-29 | 2026-12-29 | Common Stock | 1000 | | 1000 | D | |\n| Stock Option (Right to Buy)<sup>(1)</sup> | $27.2 | | | | | | | 2017-12-28 | 2027-12-28 | Common Stock | 1000 | | 1000 | D | |\n| Stock Option (Right to Buy)<sup>(1)</sup> | $38.51 | | | | | | | 2018-12-27 | 2028-12-27 | Common Stock | 1000 | | 1000 | D | |\n| Stock Option (Right to Buy)<sup>(1)</sup> | $32.60 | | | | | | | 2019-12-26 | 2029-12-26 | Common Stock | 1000 | | 1000 | D | |\n| Stock Option (Right to Buy)<sup>(1)</sup> | $17.95 | | | | | | | 2021-12-30 | 2031-12-30 | Common Stock | 750 | | 750 | D | |\n\n---\n\n\n\n\n\n### Footnotes:\n\n(1) Granted pursuant to The Marcus Corporation 2004 Equity and Incentive Awards Plan.\n\n\n**Signature:** /s/ Steven R. Barth, Attorney-in-Fact for Brian Jay Stark \n**Date:** 2022-01-07\n\n### Remarks:\n\nReminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.\n\n* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).\n\n** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).\n\nNote: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.\n\n**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.**"},"char_count":{"kind":"number","value":7034,"string":"7,034"},"md5":{"kind":"string","value":"b2f5dac1ad279cebbe86357bca6df531"},"has_ocr":{"kind":"bool","value":false,"string":"false"},"source_format":{"kind":"string","value":""}}},{"rowIdx":290,"cells":{"accession":{"kind":"string","value":"0001010208"},"file_stem":{"kind":"string","value":"0001567619-22-000083"},"year":{"kind":"number","value":2022,"string":"2,022"},"month":{"kind":"number","value":1,"string":"1"},"parsed_md":{"kind":"string","value":"## Filing Summary\n**0001567619-22-000083.hdr.sgml**: 20220103\n\n**ACCESSION NUMBER**: 0001567619-22-000083\n\n**CONFORMED SUBMISSION TYPE**: 4\n\n**PUBLIC DOCUMENT COUNT**: 1\n\n**CONFORMED PERIOD OF REPORT**: 20211230\n\n**FILED AS OF DATE**: 20220103\n\n**DATE AS OF CHANGE**: 20220103\n\n**REPORTING-OWNER**: \n\n\n**OWNER DATA:**\n- **COMPANY CONFORMED NAME:** STARK BRIAN JAY\n- **CENTRAL INDEX KEY:** 0001010208\n\n**FILING VALUES:**\n- **FORM TYPE:** 4\n- **SEC ACT:** 1934 Act\n- **SEC FILE NUMBER:** 001-12604\n- **FILM NUMBER:** 22503464\n\n**MAIL ADDRESS:**\n- **STREET 1:** 3600 SOUTH LAKE DRIVE\n- **CITY:** ST. FRANCIS\n- **STATE:** WI\n- **ZIP:** 53235\n**ISSUER**: \n\n\n**COMPANY DATA:**\n- **COMPANY CONFORMED NAME:** MARCUS CORP\n- **CENTRAL INDEX KEY:** 0000062234\n- **STANDARD INDUSTRIAL CLASSIFICATION:** SERVICES-MOTION PICTURE THEATERS [7830]\n- **IRS NUMBER:** 391139844\n- **STATE OF INCORPORATION:** WI\n- **FISCAL YEAR END:** 1230\n\n**BUSINESS ADDRESS:**\n- **STREET 1:** 100 EAST WISCONSIN AVENUE\n- **STREET 2:** SUITE 1900\n- **CITY:** MILWAUKEE\n- **STATE:** WI\n- **ZIP:** 53202-4125\n- **BUSINESS PHONE:** 4142726020\n\n**MAIL ADDRESS:**\n- **STREET 1:** 100 EAST WISCONSIN AVENUE\n- **STREET 2:** SUITE 1900\n- **CITY:** MILWAUKEE\n- **STATE:** WI\n- **ZIP:** 53202-4125\n\n### UNITED STATES SECURITIES AND EXCHANGE COMMISSION\n**Washington, D.C. 20549**\n\n## FORM 4\n\n### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP\n\n\n[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).\n\n\n[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.\n\n\n---\n\n\n\n| | | |\n|:---|:---|:---|\n| **1. Name and Address of Reporting Person**<sup>*</sup><br>STARK BRIAN JAY<br><sub>(Last) (First) (Middle)</sub><br>735 NORTH WATER STREET, SUITE 790<br><sub>(Street)</sub><br>MILWAUKEE, WI 53202<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2021-12-30 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [ ] 10% Owner<br>[ ] Officer (give title below) [ ] Other (specify below)<br>_ _ |\n| **2. Issuer Name and Ticker or Trading Symbol**<br>MARCUS CORP [ MCS ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br> | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |\n\n---\n\n\n\n\n## Table I - Non-Derivative Securities\n\n\n---\n\n\n\n| | | | | | | | | | | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |\n| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |\n| Common Stock | 2021-12-30 | | A<sup>(1)</sup> | | 1250 | A | $0 | 23326 | D | |\n\n---\n\n\n\n## Table II - Derivative Securities\n\n---\n\n\n\n\n| | | | | | | | | | | | | | | | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |\n| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |\n| Stock Option (Right to Buy)<sup>(2)</sup> | $17.95 | 2021-12-30 | | A | | 750 | | 2021-12-30 | 2031-12-30 | Common Stock | 750 | $0 | 750 | D | |\n| Stock Option (Right to Buy)<sup>(2)</sup> | $12.89 | | | | | | | 2012-01-10 | 2022-01-10 | Common Stock | 1000 | | 1000 | D | |\n| Stock Option (Right to Buy)<sup>(2)</sup> | $13.33 | | | | | | | 2012-05-31 | 2022-05-31 | Common Stock | 500 | | 500 | D | |\n| Stock Option (Right to Buy)<sup>(2)</sup> | $13.45 | | | | | | | 2013-05-30 | 2023-05-30 | Common Stock | 1000 | | 1000 | D | |\n| Stock Option (Right to Buy)<sup>(2)</sup> | $16.84 | | | | | | | 2014-05-29 | 2024-05-29 | Common Stock | 1000 | | 1000 | D | |\n| Stock Option (Right to Buy)<sup>(2)</sup> | $19.65 | | | | | | | 2015-05-28 | 2025-05-28 | Common Stock | 1000 | | 1000 | D | |\n| Stock Option (Right to Buy)<sup>(2)</sup> | $18.97 | | | | | | | 2015-05-31 | 2025-05-31 | Common Stock | 583 | | 583 | D | |\n| Stock Option (Right to Buy)<sup>(2)</sup> | $31.55 | | | | | | | 2016-12-29 | 2026-12-29 | Common Stock | 1000 | | 1000 | D | |\n| Stock Option (Right to Buy)<sup>(2)</sup> | $27.2 | | | | | | | 2017-12-28 | 2027-12-28 | Common Stock | 1000 | | 1000 | D | |\n| Stock Option (Right to Buy)<sup>(2)</sup> | $38.51 | | | | | | | 2018-12-27 | 2028-12-27 | Common Stock | 1000 | | 1000 | D | |\n| Stock Option (Right to Buy)<sup>(2)</sup> | $32.60 | | | | | | | 2019-12-26 | 2029-12-26 | Common Stock | 1000 | | 1000 | D | |\n\n---\n\n\n\n\n\n### Footnotes:\n\n(1) Restricted stock granted December 30, 2021 vests and becomes exercisable as follows: 50% after 2nd anniversary of date of grant and 100% after 4th anniversary of date of grant.\n\n(2) Granted pursuant to The Marcus Corporation 2004 Equity and Incentive Awards Plan.\n\n\n**Signature:** /s/ Steven R. Barth, Attorney-in-Fact for Brian Jay Stark \n**Date:** 2022-01-03\n\n### Remarks:\n\nReminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.\n\n* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).\n\n** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).\n\nNote: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.\n\n**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.**"},"char_count":{"kind":"number","value":7242,"string":"7,242"},"md5":{"kind":"string","value":"7d770c3f4ae7f890177fc031057857ab"},"has_ocr":{"kind":"bool","value":false,"string":"false"},"source_format":{"kind":"string","value":""}}},{"rowIdx":291,"cells":{"accession":{"kind":"string","value":"0001863302"},"file_stem":{"kind":"string","value":"0001209191-22-004174"},"year":{"kind":"number","value":2022,"string":"2,022"},"month":{"kind":"number","value":1,"string":"1"},"parsed_md":{"kind":"string","value":"## Filing Summary\n**0001209191-22-004174.hdr.sgml**: 20220120\n\n**ACCESSION NUMBER**: 0001209191-22-004174\n\n**CONFORMED SUBMISSION TYPE**: 4\n\n**PUBLIC DOCUMENT COUNT**: 1\n\n**CONFORMED PERIOD OF REPORT**: 20220118\n\n**FILED AS OF DATE**: 20220120\n\n**DATE AS OF CHANGE**: 20220120\n\n**REPORTING-OWNER**: \n\n\n**OWNER DATA:**\n- **COMPANY CONFORMED NAME:** Blavatnik Len\n- **CENTRAL INDEX KEY:** 0001326628\n\n**FILING VALUES:**\n- **FORM TYPE:** 4\n- **SEC ACT:** 1934 Act\n- **SEC FILE NUMBER:** 001-40431\n- **FILM NUMBER:** 22543610\n\n**MAIL ADDRESS:**\n- **STREET 1:** C/O ACCESS INDUSTRIES\n- **STREET 2:** 730 FIFTH AVENUE\n- **CITY:** NEW YORK\n- **STATE:** NY\n- **ZIP:** 10019\n**REPORTING-OWNER**: \n\n\n**OWNER DATA:**\n- **COMPANY CONFORMED NAME:** Access Industries Holdings LLC\n- **CENTRAL INDEX KEY:** 0001391297\n- **STATE OF INCORPORATION:** DE\n- **FISCAL YEAR END:** 1231\n\n**FILING VALUES:**\n- **FORM TYPE:** 4\n- **SEC ACT:** 1934 Act\n- **SEC FILE NUMBER:** 001-40431\n- **FILM NUMBER:** 22543612\n\n**BUSINESS ADDRESS:**\n- **STREET 1:** C/O ACCESS INDUSTRIES MANAGEMENT, LLC.\n- **STREET 2:** 730 FIFTH AVENUE, 20TH FLOOR\n- **CITY:** NEW YORK\n- **STATE:** NY\n- **ZIP:** 10019\n- **BUSINESS PHONE:** 212 247 6400\n\n**MAIL ADDRESS:**\n- **STREET 1:** C/O ACCESS INDUSTRIES MANAGEMENT, LLC.\n- **STREET 2:** 730 FIFTH AVENUE, 20TH FLOOR\n- **CITY:** NEW YORK\n- **STATE:** NY\n- **ZIP:** 10019\n**REPORTING-OWNER**: \n\n\n**OWNER DATA:**\n- **COMPANY CONFORMED NAME:** AI Day1 LLC\n- **CENTRAL INDEX KEY:** 0001863302\n- **STATE OF INCORPORATION:** DE\n- **FISCAL YEAR END:** 1231\n\n**FILING VALUES:**\n- **FORM TYPE:** 4\n- **SEC ACT:** 1934 Act\n- **SEC FILE NUMBER:** 001-40431\n- **FILM NUMBER:** 22543613\n\n**BUSINESS ADDRESS:**\n- **STREET 1:** 40 WEST 57TH STREET\n- **STREET 2:** 28TH FLOOR\n- **CITY:** NEW YORK\n- **STATE:** NY\n- **ZIP:** 10019\n- **BUSINESS PHONE:** 212-247-6400\n\n**MAIL ADDRESS:**\n- **STREET 1:** 40 WEST 57TH STREET\n- **STREET 2:** 28TH FLOOR\n- **CITY:** NEW YORK\n- **STATE:** NY\n- **ZIP:** 10019\n\n**FORMER NAME:**\n- **FORMER CONFORMED NAME:** AI Day 1 LLC\n- **DATE OF NAME CHANGE:** 20210520\n**REPORTING-OWNER**: \n\n\n**OWNER DATA:**\n- **COMPANY CONFORMED NAME:** ACCESS INDUSTRIES MANAGEMENT, LLC\n- **CENTRAL INDEX KEY:** 0001508226\n- **STATE OF INCORPORATION:** DE\n- **FISCAL YEAR END:** 1231\n\n**FILING VALUES:**\n- **FORM TYPE:** 4\n- **SEC ACT:** 1934 Act\n- **SEC FILE NUMBER:** 001-40431\n- **FILM NUMBER:** 22543611\n\n**BUSINESS ADDRESS:**\n- **STREET 1:** 730 FIFTH AVENUE\n- **CITY:** NEW YORK\n- **STATE:** NY\n- **ZIP:** 10019\n- **BUSINESS PHONE:** 2122476400\n\n**MAIL ADDRESS:**\n- **STREET 1:** 730 FIFTH AVENUE\n- **CITY:** NEW YORK\n- **STATE:** NY\n- **ZIP:** 10019\n**ISSUER**: \n\n\n**COMPANY DATA:**\n- **COMPANY CONFORMED NAME:** Day One Biopharmaceuticals, Inc.\n- **CENTRAL INDEX KEY:** 0001845337\n- **STANDARD INDUSTRIAL CLASSIFICATION:** PHARMACEUTICAL PREPARATIONS [2834]\n- **IRS NUMBER:** 832415215\n- **STATE OF INCORPORATION:** DE\n- **FISCAL YEAR END:** 1231\n\n**BUSINESS ADDRESS:**\n- **STREET 1:** 395 OYSTER POINT BLVD STE 217\n- **CITY:** SOUTH SAN FRANCISCO\n- **STATE:** CA\n- **ZIP:** 94080-1930\n- **BUSINESS PHONE:** 206-913-4300\n\n**MAIL ADDRESS:**\n- **STREET 1:** 395 OYSTER POINT BLVD STE 217\n- **CITY:** SOUTH SAN FRANCISCO\n- **STATE:** CA\n- **ZIP:** 94080-1930\n\n**FORMER COMPANY:**\n- **FORMER CONFORMED NAME:** Day One Biopharmaceuticals Holding Co LLC\n- **DATE OF NAME CHANGE:** 20210209\n\n### UNITED STATES SECURITIES AND EXCHANGE COMMISSION\n**Washington, D.C. 20549**\n\n## FORM 4\n\n### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP\n\n\n[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).\n\n\n[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.\n\n\n---\n\n\n\n| | | |\n|:---|:---|:---|\n| **1. Name and Address of Reporting Person**<sup>*</sup><br>AI Day1 LLC<br><sub>(Last) (First) (Middle)</sub><br>C/O ACCESS INDUSTRIES, INC.<br>40 WEST 57TH STREET, 28TH FLOOR<br><sub>(Street)</sub><br>NEW YORK, NY 10019<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2022-01-18 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [X] 10% Owner<br>[ ] Officer (give title below) [ ] Other (specify below)<br>_ _ |\n| **2. Issuer Name and Ticker or Trading Symbol**<br>Day One Biopharmaceuticals, Inc. [ DAWN ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br> | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[ ] Form filed by One Reporting Person<br>[X] Form filed by More than One Reporting Person |\n\n---\n\n\n\n\n---\n\n\n\n| | | |\n|:---|:---|:---|\n| **1. Name and Address of Reporting Person**<sup>*</sup><br>Access Industries Holdings LLC<br><sub>(Last) (First) (Middle)</sub><br>C/O ACCESS INDUSTRIES, INC.<br>40 WEST 57TH STREET, 28TH FL<br><sub>(Street)</sub><br>NEW YORK, NY 10019<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2022-01-18 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [ ] 10% Owner<br>[ ] Officer (give title below) [X] Other (specify below)<br>_Affiliate of 10% Owner_ |\n| **2. Issuer Name and Ticker or Trading Symbol**<br>Day One Biopharmaceuticals, Inc. [ DAWN ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br> | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[ ] Form filed by One Reporting Person<br>[X] Form filed by More than One Reporting Person |\n\n---\n\n\n\n\n---\n\n\n\n| | | |\n|:---|:---|:---|\n| **1. Name and Address of Reporting Person**<sup>*</sup><br>ACCESS INDUSTRIES MANAGEMENT, LLC<br><sub>(Last) (First) (Middle)</sub><br>C/O ACCESS INDUSTRIES, INC.<br>40 WEST 57TH STREET, 28TH FLOOR<br><sub>(Street)</sub><br>NEW YORK, NY 10019<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2022-01-18 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [ ] 10% Owner<br>[ ] Officer (give title below) [X] Other (specify below)<br>_Affiliate of 10% Owner_ |\n| **2. Issuer Name and Ticker or Trading Symbol**<br>Day One Biopharmaceuticals, Inc. [ DAWN ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br> | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[ ] Form filed by One Reporting Person<br>[X] Form filed by More than One Reporting Person |\n\n---\n\n\n\n\n---\n\n\n\n| | | |\n|:---|:---|:---|\n| **1. Name and Address of Reporting Person**<sup>*</sup><br>Blavatnik Len<br><sub>(Last) (First) (Middle)</sub><br>C/O ACCESS INDUSTRIES, INC.<br>40 WEST 57TH STREET, 28TH FL<br><sub>(Street)</sub><br>NEW YORK, NY 10019<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2022-01-18 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [ ] 10% Owner<br>[ ] Officer (give title below) [X] Other (specify below)<br>_Affiliate of 10% Owner_ |\n| **2. Issuer Name and Ticker or Trading Symbol**<br>Day One Biopharmaceuticals, Inc. [ DAWN ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br> | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[ ] Form filed by One Reporting Person<br>[X] Form filed by More than One Reporting Person |\n\n---\n\n\n\n\n## Table I - Non-Derivative Securities\n\n\n---\n\n\n\n| | | | | | | | | | | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |\n| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |\n| Common Stock | 2022-01-18 | | P | | 43429 | A | 14.2616<sup>(1)</sup> | 9421205 | D<sup>(2)</sup> | |\n| Common Stock | 2022-01-19 | | P | | 58818 | A | 14.699<sup>(3)</sup> | 9480023 | D<sup>(2)</sup> | |\n| Common Stock | 2022-01-20 | | P | | 4615 | A | 14.7293<sup>(4)</sup> | 9484638 | D<sup>(2)</sup> | |\n\n---\n\n\n\n## Table II - Derivative Securities\n\n---\n\n\n\n\n| | | | | | | | | | | | | | | | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |\n| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |\n| | | | | | | | | | | | | | | | |\n\n---\n\n\n\n\n\n### Footnotes:\n\n(1) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.05 to $14.53, inclusive. The reporting person undertakes to provide to Day One Biopharmaceuticals, Inc., any security holder of Day One Biopharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4.\n\n(2) The securities reported are held directly by AI Day 1 LLC and may be deemed to be beneficially owned by Access Industries Holdings LLC (\"AIH\"), Access Industries Management, LLC (\"AIM\") and Len Blavatnik because AIH indirectly controls all of the outstanding voting interests in AI Day 1 LLC, AIM controls AIH and Mr. Blavatnik controls AIM and holds a majority of the outstanding voting interests in AIH. AIH, AIM and Mr. Blavatnik each disclaims beneficial ownership of these securities, except to the extent of its or his pecuniary interest therein, and this form shall not be construed as an admission that any such reporting person is the beneficial owner of any of the securities reported on this form.\n\n(3) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.16 to $14.75, inclusive. The reporting person undertakes to provide to Day One Biopharmaceuticals, Inc., any security holder of Day One Biopharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4.\n\n(4) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.60 to $14.75, inclusive. The reporting person undertakes to provide to Day One Biopharmaceuticals, Inc., any security holder of Day One Biopharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4.\n\n\n**Signature:** /s/ Alejandro Moreno for AI Day 1 LLC \n**Date:** 2022-01-20\n\n\n**Signature:** /s/ Alejandro Moreno for Access Industries Holdings LLC \n**Date:** 2022-01-20\n\n\n**Signature:** /s/ Alejandro Moreno for Access Industries Management, LLC \n**Date:** 2022-01-20\n\n\n**Signature:** /s/ Alejandro Moreno as Attorney-in-Fact for Mr. Blavatnik \n**Date:** 2022-01-20\n\n### Remarks:\n\nReminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.\n\n* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).\n\n** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).\n\nNote: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.\n\n**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.**"},"char_count":{"kind":"number","value":13146,"string":"13,146"},"md5":{"kind":"string","value":"542e005f0b04d1ee3ded8e5eb21e6de0"},"has_ocr":{"kind":"bool","value":false,"string":"false"},"source_format":{"kind":"string","value":""}}},{"rowIdx":292,"cells":{"accession":{"kind":"string","value":"0001615905"},"file_stem":{"kind":"string","value":"0001445546-22-000591"},"year":{"kind":"number","value":2022,"string":"2,022"},"month":{"kind":"number","value":1,"string":"1"},"parsed_md":{"kind":"string","value":"## Filing Summary\n**0001445546-22-000591.hdr.sgml**: 20220128\n\n**ACCESSION NUMBER**: 0001445546-22-000591\n\n**CONFORMED SUBMISSION TYPE**: SC 13G/A\n\n**PUBLIC DOCUMENT COUNT**: 2\n\n**FILED AS OF DATE**: 20220128\n\n**DATE AS OF CHANGE**: 20220128\n\n**SUBJECT COMPANY**: \n\n\n**COMPANY DATA:**\n- **COMPANY CONFORMED NAME:** Nuveen Global High Income Fund\n- **CENTRAL INDEX KEY:** 0001615905\n- **IRS NUMBER:** 000000000\n- **STATE OF INCORPORATION:** MA\n- **FISCAL YEAR END:** 1231\n\n**FILING VALUES:**\n- **FORM TYPE:** SC 13G/A\n- **SEC ACT:** 1934 Act\n- **SEC FILE NUMBER:** 005-88408\n- **FILM NUMBER:** 22566994\n\n**BUSINESS ADDRESS:**\n- **STREET 1:** 333 WEST WACKER DRIVE\n- **CITY:** CHICAGO\n- **STATE:** IL\n- **ZIP:** 60606\n- **BUSINESS PHONE:** 312-917-8146\n\n**MAIL ADDRESS:**\n- **STREET 1:** 333 WEST WACKER DRIVE\n- **CITY:** CHICAGO\n- **STATE:** IL\n- **ZIP:** 60606\n**FILED BY**: \n\n\n**COMPANY DATA:**\n- **COMPANY CONFORMED NAME:** FIRST TRUST PORTFOLIOS LP\n- **CENTRAL INDEX KEY:** 0001184765\n- **IRS NUMBER:** 000000000\n- **STATE OF INCORPORATION:** IL\n\n**FILING VALUES:**\n- **FORM TYPE:** SC 13G/A\n\n**BUSINESS ADDRESS:**\n- **STREET 1:** 12O EAST LIBERTY DRIVE\n- **STREET 2:** SUITE 400\n- **CITY:** WHEATON\n- **STATE:** IL\n- **ZIP:** 60187\n- **BUSINESS PHONE:** 630-765-8000\n\n**MAIL ADDRESS:**\n- **STREET 1:** 12O EAST LIBERTY DRIVE\n- **STREET 2:** SUITE 400\n- **CITY:** WHEATON\n- **STATE:** IL\n- **ZIP:** 60187\n\n\n```\n\n UNITED STATES*\n SECURITIES AND EXCHANGE COMMISSION\n Washington, D.C. 20549\n\n SCHEDULE 13G\n\n Under the Securities Exchange Act of 1934\n\n (Amendment No. 4)*\n\n Nuveen Global High Income Fund\n ------------------------------------------------------------------------\n (Name of Issuer)\n\n Common\n ------------------------------\n (Title of Class of Securities)\n\n 67075G103\n --------------\n (CUSIP Number)\n\n December 31, 2021\n -------------------------------------------------------\n (Date of Event Which Requires Filing of this Statement)\n\nCheck the appropriate box to designate the rule pursuant to which this\nSchedule is filed:\n\n [ X ] Rule 13d-1(b)\n\n [ ] Rule 13d-1(c)\n\n [ ] Rule 13d-1(d)\n\n*The remainder of this cover page shall be filled out for a reporting\nperson's initial filing on this form with respect to the subject class\nof securities, and for any subsequent amendment containing information\nwhich would alter the disclosures provided in a prior cover page.\n\nThe information required in the remainder of this cover page shall not be\ndeemed to be \"filed\" for the purpose of Section 18 of the Securities\nExchange Act of 1934 (\"Act\") or otherwise subject to the liabilities of\nthat section of the Act but shall be subject to all other provisions of\nthe Act (however, see the Notes).\n\n - 1 -\n\nCUSIP No. 67075G103\n\n 1. Names of Reporting Persons, I.R.S. Identification Nos.\n of above persons (entities only):\n\n First Trust Portfolios L.P.: 36-3768815\n\n First Trust Advisors L.P.: 36-3788904\n\n The Charger Corporation: 36-3772451\n\n 2. Check the Appropriate Box if a Member of a Group\n (See Instructions)\n\n (a) [ ]\n\n (b) [ ]\n\n 3. SEC Use Only\n\n 4. Citizenship or Place of Organization of each\n\n Reporting Person: Illinois, U.S.A.\n\nNumber of 5. Sole Voting Power: 0\nShares Bene-\nficially\nOwned by Each 6. Shared Voting Power:\nReporting Such shares are held by the following entities in the\nPerson With: respective amounts listed:\n\n First Trust Portfolios L.P.: 0\n\n First Trust Advisors L.P.: 0\n\n The Charger Corporation: 0\n\n 7. Sole Dispositive Power: 0\n\n 8. Shared Dispositive Power:\n\n Such shares are held by the following entities in the\n respective amounts listed:\n\n First Trust Portfolios L.P.: 2,238,503\n\n First Trust Advisors L.P.: 2,238,503\n\n The Charger Corporation: 2,238,503\n\n 9. Aggregate Amount Beneficially Owned by Each\n Reporting Person: 2,238,503\n\n 10. Check if the Aggregate Amount in Row (9) Excludes\n Certain Shares (See Instructions)\n\n - 2 -\n\n 11. Percent of Class Represented by Amount in Row (9): 9.66%\n\n 12. Type of Reporting Person (See Instructions)\n\n First Trust Portfolios L.P. - BD\n\n First Trust Advisors L.P. - IA\n\n The Charger Corporation - HC\n\nITEM 1.\n\n (a) Name of Issuer: Nuveen Global High Income Fund\n\n (b) Address of Issuer's Principal Executive Offices\n\n Attn: Legal Department\n c/o Nuveen Investments\n 333 West Wacker Drive\n Chicago, IL 60606\n USA\n\nITEM 2.\n\n (a) Name of Person Filing\n\n First Trust Portfolios L.P.\n First Trust Advisors L.P.\n The Charger Corporation\n\n (b) Address of Principal Business Office or, if none, Residence\n\n First Trust Portfolios L.P.\n 120 East Liberty Drive, Suite 400\n Wheaton, Illinois 60187\n\n First Trust Advisors L.P.\n 120 East Liberty Drive, Suite 400\n Wheaton, Illinois 60187\n\n The Charger Corporation\n 120 East Liberty Drive, Suite 400\n Wheaton, Illinois 60187\n\n (c) Citizenship of each Reporting Person:\n\n Illinois, U.S.A.\n\n (d) Title of Class of Securities\n\n Common Stock\n\n (e) CUSIP Number 67075G103\n\n - 3 -\n\nITEM 3. If this statement is filed pursuant to Sec. 240.13d-1(b) or\n 240.13d-2(b) or (c), check whether the person filing is a:\n\n (a) x Broker or dealer registered under section 15 of the Act\n (15 U.S.C. 78o);\n\n (b) Bank as defined in section 3(a)(6) of the Act\n (15 U.S.C. 78c);\n\n (c) Insurance company as defined in section 3(a)(19) of the Act\n (15 U.S.C. 78c);\n\n (d) Investment company registered under section 8 of the\n Investment Company Act of 1940 (15 U.S.C. 80a-8);\n\n (e) x An investment adviser in accordance with\n Sec. 240.13d-1(b)(1)(ii)(E);\n\n (f) An employee benefit plant or endowment fund in accordance\n with Sec. 240.13d-1(b)(1)(ii)(F);\n\n (g) x A parent holding company or control person in accordance\n with Sec. 240.13d-1(b)(1)(ii)(G);\n\n (h) A savings associations as defined in Section 3(b) of the\n Federal Deposit Insurance Act (12 U.S.C. 1813);\n\n (i) A church plan that is excluded from the definition of an\n investment company under section 3(c)(14) of the Investment\n Company Act of 1940 (15 U.S.C. 80a-3);\n\n (j) A non-U.S. institution in accordance with\n Sec. 240.13d-1(b)(1)(ii)(J);\n\n (k) Group, in accordance with Sec. 240.13d-1(b)1(ii)(K).\n\n If filing as a non-U.S. institution in accordance with Sec.\n 204.13d-1(b)(1)(ii)(J), please specify the type\n of institution: _____________________________________________\n\nITEM 4. Ownership\n\n Provide the following information regarding the aggregate number and\n percentage of the class of securities of the issuer identified in\n Item 1.\n\n (a) Amount beneficially owned: 2,238,503\n\n (b) Percent of class: 9.66%\n\n (c) Number of shares as to which the person has:\n\n (i) Sole power to vote or to direct the vote: 0\n\n (ii) Shared power to vote or to direct the vote: 0\n\n (iii) Sole power to dispose or to direct the disposition\n\n of: 0\n\n (iv) Shared power to dispose or to direct the disposition\n\n of: 2,238,503\n\n - 4 -\n\nInstruction. For computations regarding securities which represent a right to\n acquire an underlying security see Sec. 204.13d-3(d)(1).\n\nITEM 5. Ownership of Five Percent or Less of a Class\n\n If this statement is being filed to report the fact that as of the\n date hereof the reporting person has ceased to be the beneficial owner\n of more than five percent of the class of securities, check the\n following [ ].\n\nInstruction: Dissolution of a group requires a response to this item.\n\nITEM 6. Ownership of More than Five Percent on Behalf of Another Person\n\nThis Schedule 13G filing is jointly filed by The Charger Corporation, First\nTrust Portfolios L.P. and First Trust Advisors L.P. pursuant to Rule\n13d-1(k)(1). The Charger Corporation is the General Partner of both First Trust\nPortfolios L.P. and First Trust Advisors L.P. First Trust Portfolios L.P. acts\nas sponsor of certain unit investment trusts which hold shares of the issuer.\nThe total number of shares of the issuer held by these unit investment trusts\nis set forth in Row (8) above with respect to First Trust Portfolios L.P. No\nindividual unit investment trust sponsored by First Trust Portfolios L.P. holds\nmore than 3% of any registered investment company issuer's shares. First Trust\nAdvisors L.P., an affiliate of First Trust Portfolios L.P., acts as portfolio\nsupervisor of the unit investment trusts sponsored by First Trust Portfolios\nL.P., certain of which hold shares of the issuer. Neither First Trust Portfolios\nL.P., First Trust Advisors L.P. nor The Charger Corporation have the power to\nvote the shares of the issuer held by these unit investment trusts sponsored by\nFirst Trust Portfolios L.P. These shares are voted by the trustee of such unit\ninvestment trusts so as to insure that the shares are voted as closely as\npossible in the same manner and in the same general proportion as are the shares\nheld by owners other than such unit investment trusts. The difference, if any,\nbetween the aggregate amount of shares beneficially owned by each reporting\nperson, as set forth in Row (9) above, and the number of shares of the issuer\nheld by the unit investment trusts sponsored by First Trust Portfolios L.P.\nrepresents shares of the issuer which are either held in other registered\ninvestment companies, pooled investment vehicles and/or separately managed\naccounts for which First Trust Advisors L.P. serves as investment advisor and/or\ninvestment sub-advisor. Each of First Trust Portfolios L.P., First Trust\nAdvisors L.P. and The Charger Corporation disclaims beneficial ownership of the\nshares of the issuer identified in this filing.\n\nITEM 7. Identification and Classification of the Subsidiary Which Acquired\n the Security Being Reported on By the Parent Holding Company or\n Control Person\n\n See Item 6.\n\nITEM 8. Identification and Classification of Members of the Group\n\n Not Applicable.\n\n - 5 -\n\nITEM 9. Notice of Dissolution of Group\n\n Not Applicable.\n\nITEM 10. Certifications\n\n By signing below I certify that, to the best of my knowledge and belief,\nthe securities referred to above were acquired and are held in the\nordinary course of business and were not acquired and are not held for\nthe purpose of or with the effect of changing or influencing the control\nof the issuer of the securities and were not acquired and are not held\nin connection with or as a participant in any transaction having that\npurpose or effect other than activities solely in connection with a nomination\nunder Sec. 240.14a-11.\n\n SIGNATURE\n\n After reasonable inquiry and to the best of my knowledge and belief, I\ncertify that the information set forth in this statement is true, complete\nand correct.\n\n FIRST TRUST PORTFOLIOS L.P.,\n FIRST TRUST ADVISORS L.P. and\n THE CHARGER CORPORATION\n Date: January 28, 2022\n\n By: /s/ James M. Dykas\n ---------------------------\n Name: James M. Dykas\n Title: Chief Financial Officer of\n First Trust Portfolios L.P. and\n First Trust Advisors L.P., and\n Chief Financial Officer and\n Treasurer of The Charger\n Corporation\n\n - 6 -\n\n\n```\n\n\n\n## Exhibit 99.1\n\n\n\n```\n\n Exhibit 99.1\n\n EXHIBIT 99.1 - JOINT FILING AGREEMENT\n\nThe undersigned hereby agree that they are filing this statement jointly\npursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing\nof such Schedule 13G and any amendments thereto, and for the completeness and\naccuracy of the information concerning such person contained therein; but none\nof them is responsible for the completeness or accuracy of the information\nconcerning the other persons making the filing, unless such person knows or has\nreason to believe that such information is inaccurate.\n\nIn accordance with Rule 13d-1(k)(1) promulgated under the Securities and\nExchange Act of 1934, as amended, the undersigned hereby agree to the joint\nfiling with each other on behalf of each of them of such a statement on Schedule\n13G and any amendments thereto with respect to the equity securities (as defined\nin Rule 13d-1(i)) of the issuer, beneficially owned by each of them. This Joint\nFiling Agreement shall be included as an exhibit to such Schedule 13G and any\namendments thereto.\n\nDate: January 28, 2022\n\n First Trust Portfolios L.P.,\n First Trust Advisors L.P. and\n The Charger Corporation\n\n By: /s/ James M. Dykas\n ---------------------------\n Name: James M. Dykas\n Title: Chief Financial Officer of\n First Trust Portfolios L.P. and\n First Trust Advisors L.P., and\n Chief Financial Officer and\n Treasurer of The Charger\n Corporation\n\n\n```"},"char_count":{"kind":"number","value":16022,"string":"16,022"},"md5":{"kind":"string","value":"887619015f90127850f51a974c5a383d"},"has_ocr":{"kind":"bool","value":false,"string":"false"},"source_format":{"kind":"string","value":""}}},{"rowIdx":293,"cells":{"accession":{"kind":"string","value":"0001194478"},"file_stem":{"kind":"string","value":"0000350852-22-000003"},"year":{"kind":"number","value":2022,"string":"2,022"},"month":{"kind":"number","value":1,"string":"1"},"parsed_md":{"kind":"string","value":"## Filing Summary\n**0000350852-22-000003.hdr.sgml**: 20220107\n\n**ACCESSION NUMBER**: 0000350852-22-000003\n\n**CONFORMED SUBMISSION TYPE**: 5\n\n**PUBLIC DOCUMENT COUNT**: 1\n\n**CONFORMED PERIOD OF REPORT**: 20211231\n\n**FILED AS OF DATE**: 20220107\n\n**DATE AS OF CHANGE**: 20220107\n\n**REPORTING-OWNER**: \n\n\n**OWNER DATA:**\n- **COMPANY CONFORMED NAME:** GOOCH MARK A\n- **CENTRAL INDEX KEY:** 0001194478\n\n**FILING VALUES:**\n- **FORM TYPE:** 5\n- **SEC ACT:** 1934 Act\n- **SEC FILE NUMBER:** 001-31220\n- **FILM NUMBER:** 22517854\n\n**MAIL ADDRESS:**\n- **STREET 1:** PO BOX 2947\n- **CITY:** PIKEVILLE\n- **STATE:** KY\n- **ZIP:** 41502-2947\n**ISSUER**: \n\n\n**COMPANY DATA:**\n- **COMPANY CONFORMED NAME:** COMMUNITY TRUST BANCORP INC /KY/\n- **CENTRAL INDEX KEY:** 0000350852\n- **STANDARD INDUSTRIAL CLASSIFICATION:** STATE COMMERCIAL BANKS [6022]\n- **IRS NUMBER:** 610979818\n- **STATE OF INCORPORATION:** KY\n- **FISCAL YEAR END:** 1231\n\n**BUSINESS ADDRESS:**\n- **STREET 1:** 346 NORTH MAYO TRAIL\n- **STREET 2:** P.O. BOX 2947\n- **CITY:** PIKEVILLE\n- **STATE:** KY\n- **ZIP:** 41502-2947\n- **BUSINESS PHONE:** (606)433-4643\n\n**MAIL ADDRESS:**\n- **STREET 1:** 346 NORTH MAYO TRAIL\n- **STREET 2:** P.O. BOX 2947\n- **CITY:** PIKEVILLE\n- **STATE:** KY\n- **ZIP:** 41502-2947\n\n**FORMER COMPANY:**\n- **FORMER CONFORMED NAME:** COMMUNITY TRUST BANCORP INC/\n- **DATE OF NAME CHANGE:** 19971124\n\n### UNITED STATES SECURITIES AND EXCHANGE COMMISSION\n**Washington, D.C. 20549**\n\n## FORM 5\n\n### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP\n\n\n[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).\n\n\n[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.\n\n\n---\n\n\n\n| | | |\n|:---|:---|:---|\n| **1. Name and Address of Reporting Person**<sup>*</sup><br>GOOCH MARK A<br><sub>(Last) (First) (Middle)</sub><br>PO BOX 2947<br><sub>(Street)</sub><br>PIKEVILLE, KY 41502-2947<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2021-12-31 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [ ] 10% Owner<br>[X] Officer (give title below) [ ] Other (specify below)<br>_President & Secretary_ |\n| **2. Issuer Name and Ticker or Trading Symbol**<br>COMMUNITY TRUST BANCORP INC /KY/ [ CTBI ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br> | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |\n\n---\n\n\n\n\n## Table I - Non-Derivative Securities\n\n\n---\n\n\n\n| | | | | | | | | | | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |\n| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |\n| Common Stock | 2021-12-31 | | J<sup>(1)</sup> | | 999.1713 | A | 0<sup>(1)</sup> | 19223.7669 | I | By ESOP |\n| Common Stock | 2021-12-31 | | J<sup>(2)</sup> | | 1178.9503 | A | 0<sup>(2)</sup> | 22016.0729 | I | By 401(k) |\n| Common Stock | | | | | | | | 26245 | D | |\n\n---\n\n\n\n## Table II - Derivative Securities\n\n---\n\n\n\n\n| | | | | | | | | | | | | | | | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |\n| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |\n| | | | | | | | | | | | | | | | |\n\n---\n\n\n\n\n\n### Footnotes:\n\n(1) These shares were acquired during the fiscal year under the Community Trust Bancorp, Inc. Employee Stock Ownership Plan at a price range of $44.76 - $36.67 per share in transactions that were exempt from Section 16(b) by virtue of old rule 16a-8(b). The information reported herein is based on plan statement dated December 31, 2021.\n\n(2) These shares were acquired during the fiscal year under the Community Trust Bancorp, Inc. 401(k) Plan at a price range of $44.76 - $36.67 per share in transactions that were exempt from Section 16(b) by virtue of old rule 16a-8(b). The information reported herein is based on plan statement dated December 31, 2021.\n\n\n**Signature:** Mark A. Gooch By: Marilyn T. Justice, Attorney-in-Fact \n**Date:** 2022-01-07\n\n### Remarks:\n\nReminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.\n\n* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).\n\n** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).\n\nNote: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.\n\n**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.**"},"char_count":{"kind":"number","value":6491,"string":"6,491"},"md5":{"kind":"string","value":"77d77e64f5ce3874fe87cb8e01df63c4"},"has_ocr":{"kind":"bool","value":false,"string":"false"},"source_format":{"kind":"string","value":""}}},{"rowIdx":294,"cells":{"accession":{"kind":"string","value":"0001194478"},"file_stem":{"kind":"string","value":"0000350852-22-000025"},"year":{"kind":"number","value":2022,"string":"2,022"},"month":{"kind":"number","value":1,"string":"1"},"parsed_md":{"kind":"string","value":"## Filing Summary\n**0000350852-22-000025.hdr.sgml**: 20220127\n\n**ACCESSION NUMBER**: 0000350852-22-000025\n\n**CONFORMED SUBMISSION TYPE**: 4\n\n**PUBLIC DOCUMENT COUNT**: 1\n\n**CONFORMED PERIOD OF REPORT**: 20220125\n\n**FILED AS OF DATE**: 20220127\n\n**DATE AS OF CHANGE**: 20220127\n\n**REPORTING-OWNER**: \n\n\n**OWNER DATA:**\n- **COMPANY CONFORMED NAME:** GOOCH MARK A\n- **CENTRAL INDEX KEY:** 0001194478\n\n**FILING VALUES:**\n- **FORM TYPE:** 4\n- **SEC ACT:** 1934 Act\n- **SEC FILE NUMBER:** 001-31220\n- **FILM NUMBER:** 22563990\n\n**MAIL ADDRESS:**\n- **STREET 1:** PO BOX 2947\n- **CITY:** PIKEVILLE\n- **STATE:** KY\n- **ZIP:** 41502-2947\n**ISSUER**: \n\n\n**COMPANY DATA:**\n- **COMPANY CONFORMED NAME:** COMMUNITY TRUST BANCORP INC /KY/\n- **CENTRAL INDEX KEY:** 0000350852\n- **STANDARD INDUSTRIAL CLASSIFICATION:** STATE COMMERCIAL BANKS [6022]\n- **IRS NUMBER:** 610979818\n- **STATE OF INCORPORATION:** KY\n- **FISCAL YEAR END:** 1231\n\n**BUSINESS ADDRESS:**\n- **STREET 1:** 346 NORTH MAYO TRAIL\n- **STREET 2:** P.O. BOX 2947\n- **CITY:** PIKEVILLE\n- **STATE:** KY\n- **ZIP:** 41502-2947\n- **BUSINESS PHONE:** (606)433-4643\n\n**MAIL ADDRESS:**\n- **STREET 1:** 346 NORTH MAYO TRAIL\n- **STREET 2:** P.O. BOX 2947\n- **CITY:** PIKEVILLE\n- **STATE:** KY\n- **ZIP:** 41502-2947\n\n**FORMER COMPANY:**\n- **FORMER CONFORMED NAME:** COMMUNITY TRUST BANCORP INC/\n- **DATE OF NAME CHANGE:** 19971124\n\n### UNITED STATES SECURITIES AND EXCHANGE COMMISSION\n**Washington, D.C. 20549**\n\n## FORM 4\n\n### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP\n\n\n[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).\n\n\n[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.\n\n\n---\n\n\n\n| | | |\n|:---|:---|:---|\n| **1. Name and Address of Reporting Person**<sup>*</sup><br>GOOCH MARK A<br><sub>(Last) (First) (Middle)</sub><br>PO BOX 2947<br><sub>(Street)</sub><br>PIKEVILLE, KY 41502-2947<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2022-01-25 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [ ] 10% Owner<br>[X] Officer (give title below) [ ] Other (specify below)<br>_President & Secretary_ |\n| **2. Issuer Name and Ticker or Trading Symbol**<br>COMMUNITY TRUST BANCORP INC /KY/ [ CTBI ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br> | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |\n\n---\n\n\n\n\n## Table I - Non-Derivative Securities\n\n\n---\n\n\n\n| | | | | | | | | | | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |\n| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |\n| Common Stock | 2022-01-25 | | A | | 2168 | A | $45.49 | 28413 | D | |\n| Common Stock | | | | | | | | 19223.7669 | I | By ESOP |\n| Common Stock | | | | | | | | 22016.0729 | I | By 401(k) |\n\n---\n\n\n\n## Table II - Derivative Securities\n\n---\n\n\n\n\n| | | | | | | | | | | | | | | | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |\n| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |\n| | | | | | | | | | | | | | | | |\n\n---\n\n\n\n\n\n**Signature:** Mark A. Gooch By: Marilyn T. Justice, Attorney-in-Fact \n**Date:** 2022-01-27\n\n### Remarks:\n\nReminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.\n\n* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).\n\n** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).\n\nNote: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.\n\n**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.**"},"char_count":{"kind":"number","value":5735,"string":"5,735"},"md5":{"kind":"string","value":"d17126c3ef70d626c63d58c73c703aec"},"has_ocr":{"kind":"bool","value":false,"string":"false"},"source_format":{"kind":"string","value":""}}},{"rowIdx":295,"cells":{"accession":{"kind":"string","value":"0001056288"},"file_stem":{"kind":"string","value":"0000834237-22-002304"},"year":{"kind":"number","value":2022,"string":"2,022"},"month":{"kind":"number","value":1,"string":"1"},"parsed_md":{"kind":"string","value":"## Filing Summary\n**0000834237-22-002304.hdr.sgml**: 20220127\n\n**ACCESSION NUMBER**: 0000834237-22-002304\n\n**CONFORMED SUBMISSION TYPE**: SC 13G/A\n\n**PUBLIC DOCUMENT COUNT**: 1\n\n**FILED AS OF DATE**: 20220127\n\n**DATE AS OF CHANGE**: 20220127\n\n**SUBJECT COMPANY**: \n\n\n**COMPANY DATA:**\n- **COMPANY CONFORMED NAME:** FEDERATED HERMES, INC.\n- **CENTRAL INDEX KEY:** 0001056288\n- **STANDARD INDUSTRIAL CLASSIFICATION:** INVESTMENT ADVICE [6282]\n- **IRS NUMBER:** 251111467\n- **STATE OF INCORPORATION:** PA\n- **FISCAL YEAR END:** 1231\n\n**FILING VALUES:**\n- **FORM TYPE:** SC 13G/A\n- **SEC ACT:** 1934 Act\n- **SEC FILE NUMBER:** 005-78078\n- **FILM NUMBER:** 22562293\n\n**BUSINESS ADDRESS:**\n- **STREET 1:** 1001 LIBERTY AVENUE\n- **CITY:** PITTSBURGH\n- **STATE:** PA\n- **ZIP:** 15222\n- **BUSINESS PHONE:** 4122881900\n\n**MAIL ADDRESS:**\n- **STREET 1:** 1001 LIBERTY AVENUE\n- **CITY:** PITTSBURGH\n- **STATE:** PA\n- **ZIP:** 15222\n\n**FORMER COMPANY:**\n- **FORMER CONFORMED NAME:** FEDERATED INVESTORS INC /PA/\n- **DATE OF NAME CHANGE:** 20200130\n\n**FORMER COMPANY:**\n- **FORMER CONFORMED NAME:** FEDERATED HERMES, INC.\n- **DATE OF NAME CHANGE:** 20200130\n\n**FORMER COMPANY:**\n- **FORMER CONFORMED NAME:** FEDERATED INVESTORS INC /PA/\n- **DATE OF NAME CHANGE:** 19980219\n**FILED BY**: \n\n\n**COMPANY DATA:**\n- **COMPANY CONFORMED NAME:** BlackRock Inc.\n- **CENTRAL INDEX KEY:** 0001364742\n- **STANDARD INDUSTRIAL CLASSIFICATION:** SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211]\n- **IRS NUMBER:** 320174431\n- **STATE OF INCORPORATION:** DE\n- **FISCAL YEAR END:** 1231\n\n**FILING VALUES:**\n- **FORM TYPE:** SC 13G/A\n\n**BUSINESS ADDRESS:**\n- **STREET 1:** 55 EAST 52ND STREET\n- **CITY:** NEW YORK\n- **STATE:** NY\n- **ZIP:** 10055\n- **BUSINESS PHONE:** 212-810-5300\n\n**MAIL ADDRESS:**\n- **STREET 1:** 55 EAST 52ND STREET\n- **CITY:** NEW YORK\n- **STATE:** NY\n- **ZIP:** 10055\n\n**FORMER COMPANY:**\n- **FORMER CONFORMED NAME:** BlackRock, Inc.\n- **DATE OF NAME CHANGE:** 20060929\n\n**FORMER COMPANY:**\n- **FORMER CONFORMED NAME:** New BlackRock, Inc.\n- **DATE OF NAME CHANGE:** 20060601\n\n\n```\n\nus3142111034_012722.txt\n\nSECURITIES AND EXCHANGE COMMISSION\n\nWashington, D.C. 20549\n\nSCHEDULE 13G\n\nUnder the Securities Exchange Act of 1934\n\n(Amendment No: 10)\n\nFEDERATED HERMES, INC\n--------------------------------------------------------\n(Name of Issuer)\n\n Class B Common Stock\n--------------------------------------------------------\n(Title of Class of Securities)\n\n314211103\n--------------------------------------------------------\n(CUSIP Number)\n\nDecember 31, 2021\n--------------------------------------------------------\n(Date of Event Which Requires Filing of this Statement)\n\nCheck the appropriate box to designate the rule pursuant to\nwhich this Schedule is filed:\n\n[X] Rule 13d-1(b)\n[ ] Rule 13d-1(c)\n[ ] Rule 13d-1(d)\n\n*The remainder of this cover page shall be filled out\nfor a reporting person's initial filing on this form with\nrespect to the subject class of securities, and for any\nsubsequent amendment containing information which\nwould alter the disclosures provided in a prior cover page.\n\nThe information required in the remainder of this cover\npage shall not be deemed to be \"filed\" for the purpose\nof Section 18 of the Securities Exchange Act of 1934\n(\"Act\") or otherwise subject to the liabilities of that\nsection of the Act but shall be subject to all other\nprovisions of the Act (however, see the Notes).\n\nCUSIP No. 314211103\n\n(1)Names of reporting persons. BlackRock, Inc.\n\n(2) Check the appropriate box if a member of a group\n(a) [ ]\n(b) [X]\n\n(3) SEC use only\n\n(4) Citizenship or place of organization\n\nDelaware\n\nNumber of shares beneficially owned by each reporting person with:\n\n(5) Sole voting power\n\n 12317131\n\n(6) Shared voting power\n\n 0\n\n(7) Sole dispositive power\n\n 12535215\n\n(8) Shared dispositive power\n\n 0\n\n(9) Aggregate amount beneficially owned by each reporting person\n\n 12535215\n\n(10) Check if the aggregate amount in Row (9) excludes certain shares\n\n(11) Percent of class represented by amount in Row 9\n\n 12.9%\n\n(12) Type of reporting person\n\nHC\n\nItem 1.\n\nItem 1(a) Name of issuer:\n-----------------------------------------------------------------------\n\nFEDERATED HERMES, INC\n\nItem 1(b) Address of issuer's principal executive offices:\n-----------------------------------------------------------------------\n\n1001 LIBERTY AVENUE\nPITTSBURGH PA 15222\n\nItem 2.\n\n2(a) Name of person filing:\n----------------------------------------------------------------------\nBlackRock, Inc.\n\n2(b) Address or principal business office or, if none, residence:\n-----------------------------------------------------------------------\nBlackRock, Inc.\n55 East 52nd Street\nNew York, NY 10055\n\n2(c) Citizenship:\n--------------------------------------------------------------------\n See Item 4 of Cover Page\n\n2(d) Title of class of securities:\n-------------------------------------------------------------------\n\n Class B Common Stock\n\n2(e) CUSIP No.:\nSee Cover Page\n\nItem 3.\n\nIf this statement is filed pursuant to Rules 13d-1(b), or 13d-2(b) or (c),\ncheck whether the person filing is a:\n[ ] Broker or dealer registered under Section 15 of the Act;\n[ ] Bank as defined in Section 3(a)(6) of the Act;\n[ ] Insurance company as defined in Section 3(a)(19) of the Act;\n[ ] Investment company registered under Section 8 of the\nInvestment Company Act of 1940;\n[ ] An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E);\n[ ] An employee benefit plan or endowment fund in accordance with\n Rule 13d-1(b)(1)(ii)(F);\n[X] A parent holding company or control person in accordance with\n Rule 13d-1(b)(1)(ii)(G);\n[ ] A savings associations as defined in Section 3(b) of the Federal\n Deposit Insurance Act (12 U.S.C. 1813);\n[ ] A church plan that is excluded from the definition of an\n investment company under section 3(c)(14) of the Investment Company\n Act of 1940;\n[ ] A non-U.S. institution in accordance with\n Rule 240.13d-1(b)(1)(ii)(J);\n[ ] Group, in accordance with Rule 240.13d-1(b)(1)(ii)(K). If filing\n as a non-U.S. institution in accordance with\n Rule 240.13d-1(b)(1)(ii)(J), please specify the type of\n institution:\n\nItem 4. Ownership\n\nProvide the following information regarding the aggregate number\nand percentage of the class of securities of the issuer identified in Item 1.\n\nAmount beneficially owned:\n\n 12535215\n\nPercent of class\n\n12.9%\n\nNumber of shares as to which such person has:\n\nSole power to vote or to direct the vote\n\n 12317131\n\nShared power to vote or to direct the vote\n\n 0\n\nSole power to dispose or to direct the disposition of\n\n 12535215\n\nShared power to dispose or to direct the disposition of\n\n 0\n\nItem 5.\n\nOwnership of 5 Percent or Less of a Class. If this statement is being\nfiled to report the fact that as of the date hereof the reporting person\nhas ceased to be the beneficial owner of more than 5 percent of the\nclass of securities, check the following [ ].\n\nItem 6. Ownership of More than 5 Percent on Behalf of Another Person\n\n If any other person is known to have the right to receive or the power\n to direct the receipt of dividends from, or the proceeds from the sale\n of, such securities, a statement to that effect should be included in\n response to this item and, if such interest relates to more than 5 percent\n of the class, such person should be identified. A listing of the\n shareholders of an investment company registered under the Investment\n Company Act of 1940 or the beneficiaries of employee benefit plan,\n pension fund or endowment fund is not required.\n\n Various persons have the right to receive or the power to direct\n the receipt of dividends from, or the proceeds from the sale of\n the common stock of\n FEDERATED HERMES, INC.\n No one person's interest in the common stock of\n FEDERATED HERMES, INC\n is more than five percent of the total outstanding common shares.\n\nItem 7. Identification and Classification of the Subsidiary Which\nAcquired the Security Being Reported on by the Parent Holding\nCompany or Control Person.\n\nSee Exhibit A\n\nItem 8. Identification and Classification of Members of the Group\n\nIf a group has filed this schedule pursuant to Rule 13d-1(b)(ii)(J),\nso indicate under Item 3(j) and attach an exhibit stating the identity\nand Item 3 classification of each member of the group. If a group\nhas filed this schedule pursuant to Rule 13d-1(c) or Rule 13d-1(d),\nattach an exhibit stating the identity of each member of the group.\n\nItem 9. Notice of Dissolution of Group\n\nNotice of dissolution of a group may be furnished as an exhibit\nstating the date of the dissolution and that all further filings with\nrespect to transactions in the security reported on will be filed,\nif required, by members of the group, in their individual capacity.\n\nSee Item 5.\n\nItem 10. Certifications\nBy signing below I certify that, to the best of my knowledge and\nbelief, the securities referred to above were acquired and are\nheld in the ordinary course of business and were not acquired\nand are not held for the purpose of or with the effect of changing\nor influencing the control of the issuer of the securities and were\nnot acquired and are not held in connection with or as a participant\nin any transaction having that purpose or effect.\n\nSignature.\n\nAfter reasonable inquiry and to the best of my knowledge and\nbelief, I certify that the information set forth in this statement\nis true, complete and correct.\n\nDated: January 27, 2022\nBlackRock, Inc.\n\nSignature: Spencer Fleming\n\n-------------------------------------------\n\nName/Title Attorney-In-Fact\n\nThe original statement shall be signed by each person on whose\nbehalf the statement is filed or his authorized representative.\nIf the statement is signed on behalf of a person by his authorized\nrepresentative other than an executive officer or general partner\nof the filing person, evidence of the representative's authority to\nsign on behalf of such person shall be filed with the statement,\nprovided, however, that a power of attorney for this purpose\nwhich is already on file with the Commission may be incorporated\nby reference. The name and any title of each person who\nsigns the statement shall be typed or printed beneath his signature.\n\nAttention: Intentional misstatements or omissions of fact constitute\nFederal criminal violations (see 18 U.S.C. 1001).\n\nExhibit A\n\nSubsidiary\n\n BlackRock Life Limited\n BlackRock Advisors, LLC\n Aperio Group, LLC\n BlackRock (Netherlands) B.V.\n BlackRock Fund Advisors*\n BlackRock Institutional Trust Company, National Association\n BlackRock Asset Management Ireland Limited\n BlackRock Financial Management, Inc.\n BlackRock Asset Management Schweiz AG\n BlackRock Investment Management, LLC\n BlackRock Investment Management (UK) Limited\n BlackRock Asset Management Canada Limited\n BlackRock Asset Management Deutschland AG\n BlackRock Investment Management (Australia) Limited\n BlackRock Fund Managers Ltd\n\n*Entity beneficially owns 5% or greater of the outstanding\nshares of the security class being reported on this\nSchedule 13G.\nExhibit B\n\nPOWER OF ATTORNEY\n\nThe undersigned, BLACKROCK, INC., a corporation duly organized\nunder the laws of the State of Delaware, United States (the\n\"Company\"), does hereby make, constitute and appoint each of\nChristopher Meade, Daniel Waltcher, Una Neary, Richard Cundiff,\nCharles Park, Enda McMahon, Arlene Klein, Con Tzatzakis, Karen Clark,\nDavid Maryles, Daniel Ronnen, John Stelley, Daniel Riemer,\nElizabeth Kogut, Maureen Gleeson, Daniel Kalish and Spencer Fleming acting\nseverally, as its true and lawful attorneys-in-fact, for the purpose of, from\ntime to time, executing in its name and on its behalf, whether the Company\nindividually or as representative of others, any and all documents, is acting\ncertificates, instruments, statements, other filings and amendments to the\nforegoing (collectively, \"documents\") determined by such person to\nbe necessary or appropriate to comply with ownership or control-person\nreporting requirements imposed by any United States or non-United States\ngovernmental or regulatory authority, Including without limitation\nForms 3, 4, 5, 13D, 13F, 13G and 13H and any amendments to any of the\nForegoing as may be required to be filed with the Securities and\nExchange Commission, and delivering, furnishing or filing any\nsuch documents with the appropriate governmental, regulatory\nauthority or other person, and giving and granting to each such\nattorney-in-fact power and authority to act in the premises as fully\nand to all intents and purposes as the Company might or could\ndo if personally present by one of its authorized signatories,\nhereby ratifying and confirming all that said attorney-in-fact shall\nlawfully do or cause to be done by virtue hereof. Any such\ndetermination by an attorney-in-fact named herein shall be\nconclusively evidenced by such person's execution, delivery,\nfurnishing or filing of the applicable document.\n\nThis power of attorney shall expressly revoke the power of attorney\ndated 8th day of December, 2015 in respect of the subject matter hereof,\nshall be valid from the date hereof and shall remain in full force and\neffect until either revoked in writing by the Company, or, in respect of\nany attorney-in-fact named herein, until such person ceases to be an\nemployee of the Company or one of its affiliates.\n\nIN WITNESS WHEREOF, the undersigned has caused this power of\nattorney to be executed as of this 2nd day of January, 2019.\n\nBLACKROCK, INC.\n\nBy:_ /s/ Daniel Waltcher\nName: Daniel Waltcher\nTitle: Deputy General Counsel\n\n\n```"},"char_count":{"kind":"number","value":13625,"string":"13,625"},"md5":{"kind":"string","value":"2cd1edb1f577477609ecd32d5e29e5d8"},"has_ocr":{"kind":"bool","value":false,"string":"false"},"source_format":{"kind":"string","value":""}}},{"rowIdx":296,"cells":{"accession":{"kind":"string","value":"0001056288"},"file_stem":{"kind":"string","value":"0001056288-22-000002"},"year":{"kind":"number","value":2022,"string":"2,022"},"month":{"kind":"number","value":1,"string":"1"},"parsed_md":{"kind":"string","value":"## Filing Summary\n**0001056288-22-000002.hdr.sgml**: 20220107\n\n**ACCESSION NUMBER**: 0001056288-22-000002\n\n**CONFORMED SUBMISSION TYPE**: 8-K\n\n**PUBLIC DOCUMENT COUNT**: 13\n\n**CONFORMED PERIOD OF REPORT**: 20220107\n\n**ITEM INFORMATION**: Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers: Compensatory Arrangements of Certain Officers\n\n**ITEM INFORMATION**: Submission of Matters to a Vote of Security Holders\n\n**ITEM INFORMATION**: Financial Statements and Exhibits\n\n**FILED AS OF DATE**: 20220107\n\n**DATE AS OF CHANGE**: 20220107\n\n**FILER**: \n\n\n**COMPANY DATA:**\n- **COMPANY CONFORMED NAME:** FEDERATED HERMES, INC.\n- **CENTRAL INDEX KEY:** 0001056288\n- **STANDARD INDUSTRIAL CLASSIFICATION:** INVESTMENT ADVICE [6282]\n- **IRS NUMBER:** 251111467\n- **STATE OF INCORPORATION:** PA\n- **FISCAL YEAR END:** 1231\n\n**FILING VALUES:**\n- **FORM TYPE:** 8-K\n- **SEC ACT:** 1934 Act\n- **SEC FILE NUMBER:** 001-14818\n- **FILM NUMBER:** 22518339\n\n**BUSINESS ADDRESS:**\n- **STREET 1:** 1001 LIBERTY AVENUE\n- **CITY:** PITTSBURGH\n- **STATE:** PA\n- **ZIP:** 15222\n- **BUSINESS PHONE:** 4122881900\n\n**MAIL ADDRESS:**\n- **STREET 1:** 1001 LIBERTY AVENUE\n- **CITY:** PITTSBURGH\n- **STATE:** PA\n- **ZIP:** 15222\n\n**FORMER COMPANY:**\n- **FORMER CONFORMED NAME:** FEDERATED INVESTORS INC /PA/\n- **DATE OF NAME CHANGE:** 20200130\n\n**FORMER COMPANY:**\n- **FORMER CONFORMED NAME:** FEDERATED HERMES, INC.\n- **DATE OF NAME CHANGE:** 20200130\n\n**FORMER COMPANY:**\n- **FORMER CONFORMED NAME:** FEDERATED INVESTORS INC /PA/\n- **DATE OF NAME CHANGE:** 19980219\n\n?xml version=\"1.0\" ? fhi-20220107\n\n**UNITED STATES**\n\n**SECURITIES AND EXCHANGE COMMISSION**\n\n**Washington, D.C. 20549** \n\n**Form 8-K** \n\n**CURRENT REPORT**\n\n**Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934**\n\n**Date of Report (Date of earliest event reported): January 7, 2022** \n\n**FEDERATED HERMES, INC.** \n\n**(Exact name of registrant as specified in its charter)** \n\n---\n\n\n\n| | | |\n|:---|:---|:---|\n| **Pennsylvania** | **001-14818** | **25-1111467** |\n| **(State or other jurisdiction** | **(Commission File Number)** | **(I.R.S. Employer** |\n| **of incorporation)** | | **Identification No.)** |\n\n---\n\n\n\n**1001 Liberty Avenue** \n\n**Pittsburgh, Pennsylvania 15222-3779** \n\n**(Address of principal executive offices, including zip code)**\n\n**(412) 288-1900** \n\n**(Registrant's telephone number, including area code)**\n\n**Not Applicable**\n\n**(Former name or former address, if changed since last report)**\n\nCheck the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:\n\n☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)\n\n☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)\n\n☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))\n\n☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))\n\nSecurities registered pursuant to Section 12(b) of the Act:\n\nTitle of each class Trading Symbol(s) Name of each exchange on which registered <br> Class B common stock, no par value FHI New York Stock Exchange\n\nIndicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).\n\n Emerging growth company ☐\n\nIf an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐\n\n------\n\nITEM 5.02 DEPARTURE OF DIRECTORS OR CERTAIN OFFICERS; ELECTION OF DIRECTORS; APPOINTMENT OF CERTAIN OFFICERS; COMPENSATORY ARRANGEMENTS WITH CERTAIN OFFICERS.\n\nOn December 15, 2021, the compensation committee and board of directors of Federated Hermes, Inc. (Federated Hermes) approved, subject to the consent of the holder of the Company's Class A Common Stock (Class A Shareholder), an amendment to Federated Hermes' Stock Incentive Plan (as amended, the Plan) to increase the number of shares of Federated Hermes' Class B Common Stock authorized under the Plan by 5.5 million shares from 30,550,000 shares to 36,050,000 shares. On December 15, 2021, the compensation committee and board of directors of Federated Hermes also approved amendments to the Plan to: (1) permit cash-based awards; (2) permit shares to be held in an employee benefit trust; (3) allow the compensation committee to delegate certain authority under the Plan; and (4) modify Section 12.9 of the Plan in light of amendments to Section 162(m) of the Internal Revenue Code of 1986, as amended (Code) made by the Tax Cuts and Jobs Act of 2017.\n\nThe amendments to the Plan were submitted to the Class A Shareholder for approval via unanimous written consent (Unanimous Written Consent) in lieu of a special shareholders meeting. The Unanimous Written Consent was signed and delivered by the Class A Shareholder, and became effective, on January 7, 2022. Accordingly, the amendments to the Plan became effective on January 7, 2022. The Class A Shareholder was the only shareholder of Federated Hermes entitled to approve the amendments to the Plan.\n\nThe additional authorized shares are intended to be used for periodic restricted stock awards and bonus restricted stock awards under the Plan. Subject to certain approvals and contingencies, Federated Hermes also intends to issue awards under the Plan in the first half of 2022 in exchange for the beneficial interests in shares of its subsidiary, HFML, held by certain employees pursuant to the HFML Long-Term Incentive Plan that was established when Federated Hermes acquired its majority interest in HFML in July 2018. Federated Hermes estimates that approximately 1.1 million shares of Federated Hermes Class B Common Stock will be exchanged for the employees' beneficial interests in shares of HFML.\n\nA description of the Plan was previously filed in Federated Hermes' Information Statement, dated December 17, 2021, that was filed with the Securities and Exchange Commission (File No.: 001-14818) and is incorporated by reference herein.\n\nITEM 5.07 Submission of Matters to a Vote of Security Holders.\n\nAs of December 15, 2021, out of a total of 30,550,000 shares of Class B Common Stock reserved for issuances under the Federated Hermes, Inc. Stock Incentive Plan (as amended, the Plan), 1,275,535 shares remained available for grant. On January 7, 2022, the Voting Shares Irrevocable Trust, dated May 31, 1989 (Class A Shareholder), the holder of all 9,000 outstanding shares of Class A Common Stock of Federated Hermes, executed and delivered the Unanimous Written Consent in lieu of a special shareholder meeting in which the Class A Shareholder unanimously approved an amendment to the Plan to increase the number of shares of Federated Hermes' Class B Common Stock authorized under the Plan by 5.5 million shares from 30,550,000 shares to 36,050,000 shares, and other amendments to the Plan described in Item 5.02 above. The Unanimous Written Consent became effective on January 7, 2022, and, accordingly, the amendments to the Plan became effective on January 7, 2022. The Class A Shareholder was the only shareholder of Federated Hermes entitled to approve the amendments to the Plan.\n\nITEM 9.01 FINANCIAL STATEMENTS AND EXHIBITS.\n\n(d) Exhibits:\n\n---\n\n\n\n| | |\n|:---|:---|\n| <u>[Exhibit 10.1](exhibit101-stockincentivep.htm)</u> | Federated Hermes, Inc. Stock Incentive Plan, amended as of January 7, 2022 |\n| Exhibit 104 | Cover Page Interactive Data File (embedded within the Inline XBRL document) |\n\n---\n\n\n\n------\n\nSIGNATURES\n\n Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.\n\n \n\n---\n\n\n\n| | | | |\n|:---|:---|:---|:---|\n| | | | FEDERATED HERMES, INC. |\n| | | | (REGISTRANT) |\n| Date | January 7, 2022 | By: | /s/ Thomas R. Donahue |\n| | | | Thomas R. Donahue |\n| | | | Chief Financial Officer |\n\n---\n\n\n\n\n## Exhibit 10.1\n\n\nExhibit 10.1\n\nFEDERATED HERMES, INC.\n\n\nSTOCK INCENTIVE PLAN\n\n(Adopted as of February 20, 1998)\n\n(Amended as of August 26, 1998)\n\n(Amended as of August 31, 1998)\n\n(Amended as of January 26, 1999)\n\n(Amended as of May 17, 1999)\n\n(Amended as of July 20, 1999)\n\n(Amended as of January 29, 2002)\n\n(Approved by Shareholders April 24, 2002)\n\n(Amended as of February 5, 2004)\n\n(Amended as of April 19, 2004)\n\n(Amended as of April 27, 2006)\n\n(Amended as of April 22, 2010)\n\n(Amended as of April 28, 2011)\n\n(Approved by Shareholders April 28, 2016)\n\n(Amended and Approved by Shareholders as of April 26, 2018)<br>(Amended as of January 31, 2020)\n\n(Amended and Approved by Shareholders as of January 7, 2022)\n\n\n**1.*Purpose***\n\n The purpose of the Federated Hermes, Inc. Stock Incentive Plan (the \"*Plan*\") is to:\n\n\n (a)Facilitate the assumption by Federated Hermes, Inc. (formerly Federated Investors, Inc.), as the surviving corporation of a merger with its parent corporation, Federated Investors, of certain stock incentive awards previously made by Federated Investors to its employees; and\n\n (b)Continue to promote the long-term growth and performance of Federated Hermes, Inc. and its affiliates and to attract and retain outstanding individuals by awarding directors, executive officers and key employees stock options, stock appreciation rights, performance awards, restricted stock and/or other stock-based awards.\n\n**2.*Definitions***\n\n The following definitions are applicable to the Plan:\n\n\n \"*Award*\" means the grant of Options, SARs, Performance Awards, Restricted Stock or other stock-based award or cash-based award under the Plan.\n\n\n \"*Board*\" means the Board of Directors of the Company.\n\n\n \"*Board Committee*\" means the committee of the Board appointed in accordance with Section 4 to administer the Plan.\n\n\n \"*Code*\" means the Internal Revenue Code of 1986, as amended.\n\n\n \"*Commission*\" means the Securities and Exchange Commission.\n\n\n \"*Common Stock*\" means the Class B Common Stock of the Company, no par value per share.\n\n\n------\n\n\n\n \"*Company*\" means Federated Hermes, Inc., a Pennsylvania corporation, and its successors and assigns.\n\n\n \"*Exchange Act*\" means the Securities Exchange Act of 1934, as amended.\n\n\n \"*Fair Market Value*\" means, on any date, the closing sale price of one share of Common Stock, as reported on the New York Stock Exchange or any national securities exchange on which the Common Stock is then listed or on The NASDAQ Stock Market's National Market (\"*NNM*\") if the Common Stock is then quoted thereon, as published in the Wall Street Journal or another newspaper of general circulation, as of such date or, if there were no sales reported as of such date, as of the last date preceding such date as of which a sale was reported. In the event that the Common Stock is not listed for trading on a national securities exchange or authorized for quotation on NNM, Fair Market Value shall be the closing bid price as reported by The NASDAQ Stock Market or The NASDAQ SmallCap Market (if applicable), or if no such prices shall have been so reported for such date, on the next preceding date for which such prices were so reported. In the event that the Common Stock is not listed on the New York Stock Exchange, a national securities exchange or NNM, and is not listed for quotation on The NASDAQ Stock Market or The NASDAQ SmallCap Market, Fair Market Value shall be determined in good faith by the Board Committee in its sole discretion, and for this purpose the Board Committee shall be entitled to rely on the opinion of a qualified appraisal firm with respect to such Fair Market Value, but the Board Committee shall in no event be obligated to obtain such an opinion in order to determine Fair Market Value.\n\n\n \"*Grant Date*\" means the date on which the grant of an Option under Section 5.1 hereof or a SAR under Section 6.1 hereof becomes effective pursuant to the terms of the Stock Option Agreement or Stock Appreciation Rights Agreement, as the case may be, relating thereto.\n\n\n \"*Incentive Stock Option*\" means an option to purchase shares of Common Stock designated as an incentive stock option and which complies with Section 422 of the Code.\n\n\n \"*Non-Statutory Stock Option*\" means an option to purchase shares of Common Stock which is not an Incentive Stock Option.\n\n\n \"*Offering*\" means the initial public offering of Class B Common Stock by United States and international underwriters.\n\n\n \"*Option*\" means any option to purchase shares of Common Stock granted under Sections 5.1 hereof.\n\n\n \"*Option Price*\" means the purchase price of each share of Common Stock under an Option.\n\n\n \"*Outside Director*\" means a member of the Board who is not an employee of the Company or any Subsidiary.\n\n\n \"*Participant*\" means any Outside Director and any salaried employee of the Company and its affiliates designated by the Board Committee to receive an Award under the Plan.\n\n\n -2-\n\n------\n\n\n \"*Performance Award*\" means an Award of shares of Common Stock granted under Section 7.\n\n\n \"*Performance Period*\" means the period of time established by the Board Committee for achievement of certain objectives under Section 7.1 hereof.\n\n\n \"*Restriction Period*\" means the period of time specified in a Performance Share Award Agreement or a Restricted Stock Award Agreement, as the case may be, between the Participant and the Company during which the following conditions remain in effect: (i) certain restrictions on the sale or other disposition of shares of Common Stock awarded under the Plan, and (ii) subject to the terms of the applicable agreement, a requirement of continued employment of the Participant in order to prevent forfeiture of the Award.\n\n\n \"*Stock Appreciation Rights*\" or \"*SARs*\" means the right to receive a cash payment from the Company equal to the excess of the Fair Market Value of a stated number of shares of Common Stock at the exercise date over a fixed price for such shares.\n\n\n \"*Subsidiary*\" means any corporation, business trust or partnership (other than the Company) in an unbroken chain of corporations, business trusts or partnerships beginning with the Company if each of the corporations, business trusts or partnerships (other than the last corporation, business trust or partnership in the chain) owns stock, beneficial interests or partnership interests possessing 50% or more of the total combined voting power of all classes of stock in one of the other corporations, business trusts or partnerships in the chain.\n\n\n \"*Ten Percent Holder*\" means a person who owns (within the meaning of Section 424(d) of the Code) more than ten percent of the voting power of all classes of stock of the Company or of its parent corporation or Subsidiary.\n\n\n\n\n**3. Shares Subject to Plan**\n\n 3.1 *Shares Reserved under the Plan*. Subject to adjustment as provided in Section 3.2, the number of shares of Common Stock cumulatively available under the Plan shall equal 36,050,000 shares. All of such authorized shares of Common Stock shall be available for the grant of Incentive Stock Options under the Plan. No Participant shall receive Awards in respect of more than 900,000 shares of Common Stock in any fiscal year of the Company. In addition, the aggregate Fair Market Value (determined on the Grant Date) of Common Stock with respect to which Incentive Stock Options granted a Participant become exercisable for the first time in any single calendar year shall not exceed $100,000. Any Common Stock issued by the Company through the assumption or substitution of outstanding grants from an acquired corporation or entity shall not reduce the shares available for grants under the Plan. Shares of Common Stock to be issued pursuant to the Plan may be authorized and unissued shares, treasury shares, shares held by the Company's or a Subsidiary's employee benefit trust or any combination thereof. Subject to Section 6.2 hereof, if any shares of Common Stock subject to an Award hereunder are forfeited or any such Award otherwise terminates without the issuance of such shares of Common Stock to a Participant, or if any shares of Common Stock are surrendered by a Participant in full or partial payment of the Option Price of an Option, such shares, to the extent of any such forfeiture, termination or surrender, shall again be available for grant under the Plan.\n\n -3-\n\n------\n\n\n 3.2 *Adjustments*. The aggregate number of shares of Common Stock which may be awarded under the Plan and the terms of outstanding Awards shall be adjusted by the Board Committee to reflect a change in the capitalization of the Company, including but not limited to, a stock dividend or split, recapitalization, reorganization, merger, consolidation, combination, exchange of shares, spin-off, spin-out or other distribution of assets to shareholders.\n\n 3.3 *Merger With Federated Investors*. Notwithstanding the foregoing, the Company's merger with Federated Investors and assumption of its outstanding stock incentive awards will not result in any adjustment to the number of shares available under the Plan and will reduce the number of shares available under this Plan accordingly. For purposes of this Plan, after the merger all such stock incentive awards shall be treated as Awards under this Plan, except that any Grant Date, Performance Period or Restricted Period shall relate back to the date on which the awards were made by Federated Investors.\n\n**4. Administration of Plan**\n\n 4.1 *Administration by the Board Committee*. The Plan shall be administered as follows.\n\n (a)Prior to an Offering, the Plan shall be administered by either the full Board or by the Board Committee if one is established by the Board. Prior to an Offering, any member of the Board may serve on the Board Committee.\n\n (b)After an Offering, the Plan shall be administered by the Board Committee, which shall consist of no fewer than two members of the Board who are (i) \"Non-Employee Directors\" for purposes of Rule 16b-3 of the Commission under the Exchange Act and (ii) to the extent required to ensure that awards under the Plan are exempt for purposes of Section 162(m) of the Code, \"outside directors\" for purposes of <u>prior</u> Section 162(m) or a successor provision; ***provided, however,*** that the Board Committee may delegate some or all of its authority and responsibility under the Plan with respect to Awards to Participants who are not subject to Section 16 of the Exchange Act to the Chief Executive Officer of the Company, one or more of its members or to one or more officers of the Company and/or its Subsidiaries or to one or more agents or advisors such administrative duties or powers as it may deem advisable, and the Committee or any individuals to whom it has delegated duties or powers as aforesaid may employ one or more individuals to render advice with respect to any responsibility the Committee or such individuals may have under the Plan. In the event that, after an Offering, the Board does not have two members who qualify as \"Non-Employee Directors\" for purposes of Rule 16b-3, the Plan shall be administered by the full Board.\n\n (c)The Board Committee shall have authority to interpret the Plan, to establish, amend, and rescind any rules and regulations relating to the Plan, to prescribe the form of any agreement or instrument executed in connection herewith, and to make all other determinations necessary or advisable for the administration of the Plan. All such interpretations, rules, regulations and determinations shall be conclusive and binding on all persons and for all purposes. In addition, the Board Committee <u>or its designee</u> shall have authority, without amending the Plan, to grant Awards hereunder to Participants who are foreign nationals or employed outside\n\n -4-\n\n------\n\n\nthe United States or both, on terms and conditions different from those specified herein as may, in the sole judgment and discretion of the Board Committee <u>or its designee</u>, be necessary or desirable to further the purpose of the Plan.\n\n (d)In the event that the Board does not establish a Board Committee for any reason, any reference in this Plan to the Board Committee shall be deemed to refer to the full Board.\n\n 4.2 *Designation of Participants*. Participants shall be selected, from time to time, by the Board Committee, from the Outside Directors and from those executive officers and key employees of the Company and its affiliates who, in the opinion of the Board Committee, have the capacity to contribute materially to the continued growth and successful performance of the Company.\n\n**5. Stock Options**\n\n 5.1 *Grants*. Options may be granted, from time to time, to such Participants as may be selected by the Board Committee on such terms, not inconsistent with this Plan, as the Board Committee shall determine**; *provided*, *however***, that, unless permitted by the Code, Incentive Stock Options may not be granted to a Participant who is an Outside Director. The Option Price shall be determined by the Board Committee effective on the Grant Date**; *provided*, *however***, that (i) in the case of Incentive Stock Options granted to a Participant who on the Grant Date is not a Ten Percent Holder, such price shall not be less than one hundred percent (100%) of the Fair Market Value of a share of Common Stock on the Grant Date, (ii) in the case of an Incentive Stock Option granted to a Participant who on the Grant Date is a Ten Percent Holder, such price shall be not less than one hundred and ten percent (110%) of the Fair Market Value of a share of Common Stock on the Grant Date, and (iii) in the case of Non-Statutory Stock Options, such price shall be not less than eighty-five percent (85%) of the Fair Market Value of a share of Common Stock on the Grant Date. The number of shares of Common Stock subject to each Option granted to each Participant, the terms of each Option, and any other terms and conditions of an Option granted hereunder shall be determined by the Board Committee, in its sole discretion, effective on the Grant Date; ***provided, however*,** that no Incentive Stock Option shall be exercisable any later than ten (10) years from the Grant Date. Each Option shall be evidenced by a Stock Option Agreement between the Participant and the Company which shall specify the type of Option granted, the Option Price, the term of the Option, the number of shares of Common Stock to which the Option pertains, the conditions upon which the Option becomes exercisable and such other terms and conditions as the Board Committee shall determine.\n\n 5.2 *Payment of Option Price*. No shares of Common Stock shall be issued upon exercise of an Option until full payment of the Option Price therefor by the Participant. Upon exercise, the Option Price may be paid in cash, and, subject to approval by the Board Committee, in shares of Common Stock having a Fair Market Value equal to the Option Price, or in any combination thereof, or in any other manner approved by the Board Committee.\n\n 5.3 *Rights as Shareholders*. Participants shall not have any of the rights of a shareholder with respect to any shares subject to an Option until such shares have been issued upon the proper exercise of such Option.\n\n 5.4 *Transferability of Options*. Options granted under the Plan may not be sold, transferred, pledged, assigned, hypothecated or otherwise disposed of except by will\n\n -5-\n\n------\n\n\nor by the laws of descent and distribution; ***provided*, *however*,** that, if authorized in the applicable Award agreement, a Participant may make one or more gifts of Options granted hereunder to members of the Participant's immediate family or trusts or partnerships for the benefit of such family members. All Options granted to a Participant under the Plan shall be exercisable during the lifetime of such Participant only by such Participant, such Participant's agent, guardian or attorney-in-fact; provided, however, that all Options transferred in a manner consistent with the terms of an Award agreement may be exercised by the transferee.\n\n 5.5 *Termination of Employment/Directorship*. If a Participant ceases to be an employee of either the Company or of any of its affiliates, any Options granted hereunder to such Participant as an employee shall be exercisable in accordance with the Stock Option Agreement between the Participant and the Company. If a Participant ceases to be an Outside Director, any Options granted hereunder to such Participant as an Outside Director shall be exercisable in accordance with the Stock Option Agreement between the Participant and the Company.\n\n 5.6 *Designation of Incentive Stock Options*. Except as otherwise expressly provided in the Plan, the Board Committee may, at the time of the grant of an Option, designate such Option as an Incentive Stock Option under Section 422 of the Code.\n\n 5.7 *Certain Incentive Stock Option Terms*. In the case of any grant of an Incentive Stock Option, whenever possible, each provision in the Plan and in any related agreement shall be interpreted in such a manner as to entitle the Option holder to the tax treatment afforded by Section 422 of the Code, and if any provision of this Plan or such agreement shall be held not to comply with requirements necessary to entitle such Option to such tax treatment, then (i) such provision shall be deemed to have contained from the outset such language as shall be necessary to entitle the Option to the tax treatment afforded under Section 422 of the Code, and (ii) all other provisions of this Plan and the agreement relating to such Option shall remain in full force and effect. If any agreement covering an Option designated by the Board Committee to be an Incentive Stock Option under this Plan shall not explicitly include any terms required to entitle such Incentive Stock Option to the tax treatment afforded by Section 422 of the Code, all such terms shall be deemed implicit in the designation of such Option and the Option shall be deemed to have been granted subject to all such terms.\n\n**6. Stock Appreciation Rights**\n\n 6.1 *Grants*. Stock Appreciation Rights may be granted, from time to time, to such Participants as may be selected by the Board Committee. SARs may be granted at the discretion of the Board Committee either (i) in connection with an Option or (ii) independent of an Option. The price from which appreciation shall be computed shall be established by the Board Committee at the Grant Date; ***provided, however*,** that such price shall not be less than one-hundred percent (100%) of the Fair Market Value of the number of shares of Common Stock subject of the grant on the Grant Date. In the event the SAR is granted in connection with an Option, the fixed price from which appreciation shall be computed shall be the Option Price. Each grant of a SAR shall be evidenced by a Stock Appreciation Rights Agreement between the Participant and the Company which shall specify the type of SAR granted, the number of SARs, the conditions upon which the SARs vest and such other terms and conditions as the Board Committee shall determine.\n\n 6.2 *Exercise of SARs*. SARs may be exercised upon such terms and conditions as the Board Committee shall determine; ***provided, however*,** that SARs granted in\n\n -6-\n\n------\n\n\nconnection with Options may be exercised only to the extent the related Options are then exercisable. Notwithstanding Section 3.1 hereof, upon exercise of a SAR granted in connection with an Option as to all or some of the shares subject of such Award, the related Option shall be automatically canceled to the extent of the number of shares subject of the exercise, and such shares shall no longer be available for grant hereunder. Conversely, if the related Option is exercised as to some or all of the shares subject of such Award, the related SAR shall automatically be canceled to the extent of the number of shares of the exercise, and such shares shall no longer be available for grant hereunder.\n\n 6.3 *Payment of Exercise*. Upon exercise of a SAR, the holder shall be paid in cash the excess of the Fair Market Value of the number of shares subject of the exercise over the fixed price, which in the case of a SAR granted in connection with an Option shall be the Option Price for such, shares.\n\n 6.4 *Rights of Shareholders*. Participants shall not have any of the rights of a shareholder with respect to any Options granted in connection with a SAR until shares have been issued upon the proper exercise of an Option.\n\n 6.5 *Transferability of SARs*. SARs granted under the Plan may not be sold, transferred, pledged, assigned, hypothecated or otherwise disposed of except by will or by the laws of descent and distribution. All SARs granted to a Participant under the Plan shall be exercisable during the lifetime of such Participant only by such Participant, such Participant's agent, guardian, or attorney-in-fact.\n\n 6.6 *Termination of Employment/Directorship*. If a Participant ceases to be an employee of either the Company or of any of its affiliates, any SARs granted hereunder to such Participant as an employee shall be exercisable in accordance with the Stock Appreciation Rights Agreement between the Participant and the Company. If a Participant ceases to be an Outside Director, any SARs granted hereunder to such Participant as an Outside Director shall be exercisable in accordance with the Stock Appreciation Rights Agreement between the Participant and the Company.\n\n**7. Performance Awards**\n\n 7.1 *Awards*. Awards of shares of Common Stock may be made, from time to time, to such Participants as may be selected by the Board Committee. Such shares shall be delivered to the Participant only upon (i) achievement of such corporate, sector, division, individual or any other objectives or criteria during the Performance Period as shall be established by the Board Committee and (ii) the expiration of the Restriction Period. Except as provided in the Performance Share Award Agreement between the Participant and the Company, shares subject to such Awards under this Section 7.1 shall be released to the Participant only after the expiration of the relevant Restriction Period. Each Award under this Section 7.1 shall be evidenced by a Performance Share Award Agreement between the Participant and the Company which shall specify the applicable performance objectives, the Performance Period, the Restriction Period, any forfeiture conditions and such other terms and conditions as the Board Committee shall determine.\n\n 7.2 *Stock Certificates*. Upon an Award of shares of Common Stock under Section 7.1 of the Plan, the Company shall issue a certificate registered in the name of the Participant bearing the following legend and any other legend required by any federal or state securities laws or by the Pennsylvania Business Corporation Law:\n\n \"The sale or other transfer of the shares of stock represented by this certificate is subject to certain\n\n -7-\n\n------\n\n\nrestrictions set forth in the Federated Hermes, Inc. Stock Incentive Plan, administrative rules adopted pursuant to such Plan and a Performance Share Award Agreement between the registered owner and Federated Hermes, Inc. A copy of the Plan, such rules and such Agreement may be obtained from the Secretary of Federated Hermes, Inc.\"\n\n\nUnless otherwise provided in the Performance Share Award Agreement between the Participant and the Company, such certificates shall be retained by the Company until the expiration of the Restriction Period. Upon the expiration of the Restriction Period, the Company shall (i) cause the removal of the legend from the certificates for such shares as to which a Participant is entitled in accordance with the Performance Share Award Agreement between the Participant and the Company and (ii) release such shares to the custody of the Participant.\n\n\n 7.3 *Rights as Shareholders*. Subject to the provisions of the Performance Share Award Agreement between the Participant and the Company, during the Performance Period, dividends and other distributions paid with respect to all shares awarded thereto under Section 7.1 hereof shall, in the discretion of the Board Committee, either be paid to Participants or held in escrow by the Company and paid to Participants only at such time and to such extent as the related Performance Award is earned. During the period between the completion of the Performance Period and the expiration of the Restriction Period, Participants shall be entitled to receive dividends and other distributions only as to the number of shares determined in accordance with the Performance Share Award Agreement between the Participant and the Company.\n\n 7.4 *Transferability of Shares*. Certificates evidencing the shares of Common Stock awarded under the Plan shall not be sold, exchanged, assigned, transferred, pledged, hypothecated or otherwise disposed of until the expiration of the Restriction Period.\n\n 7.5 *Termination of Employment/Directorship*. If a Participant ceases to be an employee of either the Company or of any of its affiliates, the number of shares, if any, to which the Participant shall be entitled pursuant to any Award granted to such Participant as an employee under this Section 7 shall be determined in accordance with the Performance Share Award Agreement between the Participant and the Company. If a Participant ceases to be an Outside Director, the number of shares, if any, to which the Participant shall be entitled pursuant to any Award granted to such Participant as an Outside Director under this Section 7 shall be determined in accordance with the Performance Share Award Agreement between the Participant and the Company.\n\n 7.6 *Transfer of Employment*. If a Participant transfers employment from one business unit of the Company or any of its affiliates to another business unit during a Performance Period, such Participant shall be eligible to receive such number of shares of Common Stock as the Board Committee may determine based upon such factors as the Board Committee in its sole discretion may deem appropriate.\n\n\n\n\n**8. Restricted Stock Awards**\n\n 8.1 *Awards*. Awards of shares of Common Stock subject to such restrictions as to vesting and otherwise as the Board Committee shall determine, may be made, from\n\n -8-\n\n------\n\n\ntime to time, to Participants as may be selected by the Board Committee. The Board Committee may in its sole discretion at the time of the Award or at any time thereafter provide for the early vesting of such Award prior to the expiration of the Restriction Period. Each Award under this Section 8.1 shall be evidenced by a Restricted Stock Award Agreement between the Participant and the Company which shall specify the vesting schedule, any rights of acceleration, any forfeiture conditions, and such other terms and conditions as the Board Committee shall determine.\n\n 8.2 *Stock Certificates*. Upon an Award of shares of Common Stock under Section 8.1 of the Plan, the Company may issue a certificate registered in the name of the Participant bearing the following legend and any other legend required by any federal or state securities laws or by the Pennsylvania Business Corporation Law.\n\n \"The sale or other transfer of the shares of stock represented by this certificate is subject to certain restrictions set forth in the Federated Hermes, Inc. Stock Incentive Plan, administrative rules adopted pursuant to such Plan and a Restricted Stock Award Agreement between the registered owner and Federated Hermes, Inc. A copy of the Plan, such rules and such agreement may be obtained from the Secretary of Federated Hermes, Inc.\"\n\n\nUnless otherwise provided in the Restricted Stock Award Agreement between the Participant and the Company, such certificates shall be retained in custody by the Company until the expiration of the Restriction Period. Upon the expiration of the Restriction Period, the Company shall (i) cause the removal of the legend from the certificates for such shares as to which a Participant is entitled in accordance with the Restricted Stock Award Agreement between the Participant and the Company and (ii) release such shares to the custody of the Participant.\n\n\n 8.3 *Rights as Shareholders*. During the Restriction Period, Participants shall be entitled to receive dividends and other distributions paid with respect to all shares awarded thereto under Section 8.1 hereof.\n\n 8.4 *Transferability of Shares*. Certificates evidencing the shares of Common Stock awarded under the Plan shall not be sold, exchanged, assigned, transferred, pledged, hypothecated or otherwise disposed of until the expiration of the Restriction Period.\n\n 8.5 *Termination of Employment/Directorship*. If a Participant ceases to be an employee of either the Company or of any of its affiliates, the number of shares, if any, to which the Participant shall be entitled pursuant to any Award granted to such Participant as an employee under this Section 8 shall be determined in accordance with the Restricted Stock Award Agreement between the Participant and the Company. If a Participant ceases to be an Outside Director, the number of shares, if any, to which the Participant shall be entitled pursuant to any Award granted to such Participant as an Outside Director under this Section 8 shall be determined in accordance with the Restricted Stock Award Agreement between the Participant and the Company. All remaining shares as to which restrictions apply at the date of termination of employment shall be forfeited subject to such exceptions, if any, authorized by the Board Committee.\n\n**9. Other Stock-Based Awards**\n\n -9-\n\n------\n\n\n Awards of shares of Common Stock and other awards that are valued in whole or in part by reference to, or are otherwise based on, Common Stock, may be made, from time to time, to Participants as may be selected by the Board Committee. Such Awards may be made alone or in addition to or in connection with any other Award hereunder. The Board Committee may in its sole discretion determine the terms and conditions, if any, of any such Award. Each such Award, other than an Award of shares of Common Stock without any terms or conditions such as an Award of immediately-vested shares of Common Stock, shall be evidenced by an agreement between the Participant and the Company which shall specify the number of shares of Common Stock subject of the Award, any consideration therefor, any vesting or performance requirements and such other terms and conditions as the Board Committee shall determine.\n\n\n**10. Reserved**\n\n**11. Amendment or Termination of Plan**\n\n The Board may amend, suspend or terminate the Plan or any part thereof from time to time, provided that no change may be made which would impair the rights of a Participant to whom shares of Common Stock have theretofore been awarded without the consent of said Participant.\n\n\n**12. Miscellaneous**\n\n 12.1 *Rights of Employees*. Nothing in the Plan shall interfere with or limit in any way the right of the Company or any affiliate to terminate any Participant's employment at any time, nor confer upon any Participant any right to continued employment with the Company or any affiliate.\n\n 12.2 *Tax Withholding*. The Company shall have the authority to withhold, or to require a Participant to remit to the Company, prior to issuance or delivery of any shares or cash hereunder, an amount sufficient to satisfy federal, state and a local tax withholding requirements associated with any Award. In addition, the Company may, in its sole discretion, permit a Participant to satisfy any tax withholding requirements, in whole or in part, by (i) delivering to the Company shares of Common Stock held by such Participant having a Fair Market Value equal to the amount of the tax; (ii) directing the Company to retain shares of Common stock otherwise issuable to the Participant under the Plan; or (iii) any other method approved by the Board Committee.\n\n 12.3 *Status of Awards*. Awards hereunder shall not be deemed compensation for purposes of computing benefits under any retirement plan of the Company or affiliate and shall not affect any benefits under any other benefit plan now or hereafter in effect under which the availability or amount of benefits is related to the level of compensation.\n\n 12.4 *Waiver of Restrictions*. The Board Committee may, in its sole discretion, based on such factors as the Board Committee may deem appropriate, waive in whole or in part, any remaining restrictions or vesting requirements in connection with any Award hereunder.\n\n 12.5 *Adjustment of Awards*. Subject to Section 11, the Board Committee shall be authorized to make adjustments in performance award criteria or in the terms and conditions of other Awards in recognition of unusual or nonrecurring events affecting the Company or its financial statements or changes in applicable laws, regulations or accounting principles; ***provided however,*** that no such adjustment shall impair the rights of any Participant without such Participant's consent. The Board Committee may also\n\n -10-\n\n------\n\n\nmake Awards hereunder in replacement of, or as alternatives to, Awards previously granted to Participants, including without limitation, previously granted Options having higher Option Prices and grants or rights under any other plan of the Company or of any acquired entity. The Board Committee may correct any defect, supply any omission or reconcile any inconsistency in the Plan or any Award in the manner and to the extent it shall deem desirable to carry it into effect. In the event the Company shall assume outstanding employee benefit awards or the right or obligation to make future such awards in connection with the acquisition of another corporation or business entity, the Board Committee may, in its discretion, make such adjustments in the terms of Awards under the Plan as it shall deem appropriate.\n\n 12.6 *Consideration for Awards*. Except as otherwise required in any applicable agreement or by the terms of the Plan, Participants under the Plan shall not be required to make any payment or provide consideration for an Award other than the rendering of services.\n\n 12.7 *Special Forfeiture Rule*. Notwithstanding any other provision of this Plan to the contrary, the Board Committee shall be authorized to impose additional forfeiture restrictions with respect to Awards granted under the Plan, including, without limitation, provisions for forfeiture in the event the Participant shall engage in competition with the Company or in any other circumstance the Board Committee may determine.\n\n 12.8 *Effective Date and Term of Plan*. The Plan shall be effective as of the date it is approved by the Board, subject to the approval thereof by the shareholders of the Company. Unless terminated under the provisions of Section 11 hereof, the Plan shall continue in effect indefinitely; ***provided, however,*** that no Incentive Stock Options shall be granted after the tenth anniversary of the effective date of the Plan.\n\n 12.9 *Compliance with Section 162(m).* To the extent available or applicable, compensation payable pursuant to Awards (other than Awards of Restricted Stock which vest based solely on continued employment) to \"covered employees\" as such term is defined in any relevant regulations promulgated under Section 162(m) of the Code, or any successor provision (\"Section 162(m)\"), can qualify as \"performance-based compensation\" as defined in any relevant regulations under Section 162(m) or any successor provision. If any provision of this Plan or an Award is later found to make compensation intended to be performance-based compensation ineligible for any such available or applicable treatment, the provision shall be deemed null and void, unless otherwise determined by a committee of the Board comprised solely of \"outside directors\" as such term is defined under prior Regulation 1.162-27(e)(3) under Section 162(m) or any successor provision.\n\n 12.10 *Transferability of Awards.* Notwithstanding anything to the contrary contained in this Plan, any Award may be transferred to a \"family member\" as defined in and pursuant to the terms and conditions set forth in Section A.1.a.5 of the General Instructions to Form S-8 promulgated under the Securities Act of 1933, as amended, as such provision may be amended from time to time, on such terms and conditions as may be determined by the Board Committee.\n\n 12.11 *Compliance with Laws*. Notwithstanding anything to the contrary contained in this Plan or in any Award agreement, each Award shall be subject to the requirement, if at any time the Board Committee shall determine, in its sole discretion, that such requirement shall apply, that the listing, registration or qualification of any Award under this Plan, or of the Common Stock, or property or other forms of payment issuable pursuant to any Award under this Plan, on any stock exchange or other market\n\n -11-\n\n------\n\n\nquotation system or under any federal or state law, or the consent or approval of any government regulatory body, is necessary or desirable as a condition of, or in connection with, the granting of such Award or the exercise or settlement thereof, such Award shall not be granted, exercised or settled, in whole or in part, until such listing, registration, qualification, consent or approval shall have been effected, obtained and maintained free of any conditions not acceptable to the Board Committee. Notwithstanding anything to the contrary contained in this Plan or in any Award agreement, no shares of Common Stock or property or other forms of payment shall be issued under this Plan with respect to any Award unless the Board Committee shall be satisfied that such issuance will be in compliance with applicable laws and any applicable rules of any stock exchange or other market quotation system on which such shares of Common Stock are listed. If the Board Committee determines that the exercise of any Option or Stock Appreciation Right would fail to comply with any applicable law or any applicable rules of any stock exchange or other market quotation system on which the shares of Common Stock are listed, the Participant holding such Option or Stock Appreciation Right shall have no right to exercise such Option or Stock Appreciation Right until such time as the Board Committee shall have determined that such exercise will not violate any applicable law or any such applicable rule, provided that such Option or Stock Appreciation Right shall not have expired prior to such time.\n\n 12.12 *Section 409A*.** Notwithstanding any provision of the Plan or an Award agreement to the contrary, if any Award or benefit provided under this Plan is subject to the provisions of Section 409A of the Code, the provisions of the Plan and any applicable Award agreement shall be administered, interpreted and construed in a manner necessary to comply with Section 409A of the Code or an exception thereto (or disregarded to the extent such provision cannot be so administered, interpreted or construed). In no event shall any member of the Board, the Board Committee or the Company (or its employees, officers or directors) have any liability to any Participant (or any other person) due to the failure of an Award to satisfy the requirements of Section 409A of the Code.\n\n\n\nShare numbers adjusted for stock splits as of April 19, 2004.\n\nShares reserved for issuance reflect April 2006, April 2011<u>,</u> April 2018 and January 2022 increase.\n\n -12-"},"char_count":{"kind":"number","value":52552,"string":"52,552"},"md5":{"kind":"string","value":"a22b7eec80308f036ab30f631d1a176a"},"has_ocr":{"kind":"bool","value":false,"string":"false"},"source_format":{"kind":"string","value":""}}},{"rowIdx":297,"cells":{"accession":{"kind":"string","value":"0001056288"},"file_stem":{"kind":"string","value":"0001056288-22-000005"},"year":{"kind":"number","value":2022,"string":"2,022"},"month":{"kind":"number","value":1,"string":"1"},"parsed_md":{"kind":"string","value":"## Filing Summary\n**0001056288-22-000005.hdr.sgml**: 20220110\n\n**ACCESSION NUMBER**: 0001056288-22-000005\n\n**CONFORMED SUBMISSION TYPE**: S-8\n\n**PUBLIC DOCUMENT COUNT**: 4\n\n**FILED AS OF DATE**: 20220110\n\n**DATE AS OF CHANGE**: 20220110\n\n**EFFECTIVENESS DATE**: 20220110\n\n**FILER**: \n\n\n**COMPANY DATA:**\n- **COMPANY CONFORMED NAME:** FEDERATED HERMES, INC.\n- **CENTRAL INDEX KEY:** 0001056288\n- **STANDARD INDUSTRIAL CLASSIFICATION:** INVESTMENT ADVICE [6282]\n- **IRS NUMBER:** 251111467\n- **STATE OF INCORPORATION:** PA\n- **FISCAL YEAR END:** 1231\n\n**FILING VALUES:**\n- **FORM TYPE:** S-8\n- **SEC ACT:** 1933 Act\n- **SEC FILE NUMBER:** 333-262085\n- **FILM NUMBER:** 22521541\n\n**BUSINESS ADDRESS:**\n- **STREET 1:** 1001 LIBERTY AVENUE\n- **CITY:** PITTSBURGH\n- **STATE:** PA\n- **ZIP:** 15222\n- **BUSINESS PHONE:** 4122881900\n\n**MAIL ADDRESS:**\n- **STREET 1:** 1001 LIBERTY AVENUE\n- **CITY:** PITTSBURGH\n- **STATE:** PA\n- **ZIP:** 15222\n\n**FORMER COMPANY:**\n- **FORMER CONFORMED NAME:** FEDERATED INVESTORS INC /PA/\n- **DATE OF NAME CHANGE:** 20200130\n\n**FORMER COMPANY:**\n- **FORMER CONFORMED NAME:** FEDERATED HERMES, INC.\n- **DATE OF NAME CHANGE:** 20200130\n\n**FORMER COMPANY:**\n- **FORMER CONFORMED NAME:** FEDERATED INVESTORS INC /PA/\n- **DATE OF NAME CHANGE:** 19980219\n\n\n**As filed with the Securities and Exchange Commission on January 10, 2022** \n\n**Registration No. 333-_______**\n\n\n\n**UNITED STATES <br>SECURITIES AND EXCHANGE COMMISSION**\n\n**Washington, D.C. 20549**\n\n____________________________________________________\n\n**FORM S-8**\n\n**REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933**\n\n____________________________________________________\n\n**Federated Hermes, Inc.**\n\n(Exact name of registrant as specified in its charter)\n\n---\n\n\n\n| | |\n|:---|:---|\n| **Pennsylvania** | **25-1111467** |\n| (State or other jurisdiction of incorporation or organization) | (I.R.S. Employer Identification No) |\n\n---\n\n\n\n---\n\n\n\n| | |\n|:---|:---|\n| **1001 Liberty Avenue** | **15222-3779** |\n| **Pittsburgh, Pennsylvania** | |\n| (Address of Principal Executive Offices) | (Zip Code) |\n\n---\n\n\n\n\n**FEDERATED HERMES, INC. STOCK INCENTIVE PLAN**\n\n(Full title of the plan)\n\n\n**GEORGE F. MAGERA**\n\n**Assistant Secretary and General Counsel**\n\n**1001 Liberty Avenue**\n\n**Pittsburgh, Pennsylvania 15222-3779**\n\n(Name and address of agent for service)\n\n\n**(412) 288-1900**\n\n(Telephone number, including area code, of agent for service)\n\n___________________________________________________________________________\n\nIndicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, a smaller reporting company, or an emerging growth company. See the definitions of \"large accelerated filer,\" \"accelerated filer,\" \"smaller reporting company,\" and \"emerging growth company\" in Rule 12b-2 of the Exchange Act.\n\n---\n\n\n\n| | | | | |\n|:---|:---|:---|:---|:---|\n| Large accelerated filer | ⌧ | | Accelerated filer | □ |\n| Non-accelerated filer | □ | (Do not check if a smaller reporting company) | Smaller reporting company | □ |\n| | | | Emerging growth company | □ |\n\n---\n\n\n\nIf an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided to Section 7(a)(2)(B) of the Securities Act. □\n\n---\n\n\n\n| | | | | |\n|:---|:---|:---|:---|:---|\n| **CALCULATION OF REGISTRATION FEE** | **CALCULATION OF REGISTRATION FEE** | **CALCULATION OF REGISTRATION FEE** | **CALCULATION OF REGISTRATION FEE** | **CALCULATION OF REGISTRATION FEE** |\n| **Title of securities to be registered** | **Amount to be registered**<sup>(1)</sup> | **Proposed maximum offering price per share**<sup>(2)</sup> | **Proposed maximum aggregate offering price** | **Amount of registration fee** |\n| Class B Common Stock, no par value per share | 5500000 | $38.96 | $214280000 | $19863.76 |\n\n---\n\n\n\n(1)Pursuant to Rule 416(a) under the Securities Act of 1933, as amended (the Securities Act), this Registration Statement also covers such additional and indeterminate number of shares of the Registrant's Class B common stock as may become issuable upon any future stock splits, stock dividends or similar transaction with respect to the shares being registered hereunder.\n\n(2)Estimated in accordance with Rules 457(c) and (h) under the Securities Act, solely for the purpose of calculating the registration fee. The price of $38.96 per share represents the average of the high and low prices of the Registrant's Class B common stock as reported by the New York Stock Exchange on January 7, 2022.\n\n\n\n\n------\n\n\n**EXPLANATORY NOTE** \n\nFederated Hermes, Inc, (the Registrant) was formerly known as Federated Investors, Inc. Effective January 31, 2020, Federated Investors, Inc.'s name was changed to Federated Hermes, Inc.\n\nThe Registrant previously filed a Registration Statement on Form S-8 (File No. 333-62471) registering 9,267,000 shares of the Registrant's Class B common stock, no par value per share (the Class B Common Stock) under the Federated Investors, Inc. Stock Incentive Plan (the Plan) on August 28, 1998 (the Original Registration Statement), a Post-Effective Amendment No. 1 to the Original Registration Statement to reflect the three-for-two split of the Registrant's Class B Common Stock, effected on July 17, 2000, which increased the total number of shares of Class B Common Stock registered pursuant to the Original Registration to 13,900,500 on May 17, 2001 a Registration Statement on Form S-8 (File No. 333-136081) to register an additional 3,300,000 shares of Class B Common Stock on July 27, 2006, a Registration Statement on Form S-8 (File No. 333-173859) to register an additional 3,500,000 shares of Class B Common Stock on May 2, 2011 and a Registration Statement on Form S-8 (File No. 333-224540) to register an additional 3,500,000 shares of Class B Common Stock on April 30, 2018. The Registrant hereby incorporates by reference the contents of such previously filed Registration Statements on Form S-8 to the extent not otherwise amended or superseded by the contents of this Registration Statement.\n\nPursuant to General Instruction E of Form S-8, this Registration Statement on Form S-8 is being filed to register an additional 5,500,000 shares of the Registrant's Class B common stock under the Plan.\n\n\n------\n\n\n**PART II** \n\n**INFORMATION REQUIRED IN THE REGISTRATION STATEMENT** \n\n**Item 3. Incorporation of Documents by Reference.** \n\nThe following documents filed by the Registrant with the Securities and Exchange Commission (the Commission) are hereby incorporated by reference in this Registration Statement:\n\n (a)the Registrant's Annual Report on <u>[Form 10-K for the fiscal year ended December 31, 20](https://www.sec.gov/ix?doc=/Archives/edgar/data/1056288/000105628821000008/fhi-20201231.htm)[20](https://www.sec.gov/ix?doc=/Archives/edgar/data/1056288/000105628821000008/fhi-20201231.htm)</u> (including portions of the Registrant's <u>[Information Statement for its 20](https://www.sec.gov/Archives/edgar/data/1056288/000119312521085088/d39848ddef14c.htm)[2](https://www.sec.gov/Archives/edgar/data/1056288/000119312521085088/d39848ddef14c.htm)[1](https://www.sec.gov/Archives/edgar/data/1056288/000119312521085088/d39848ddef14c.htm)</u> annual meeting of stockholders filed with the Commission on March 18, 2021 to the extent specifically incorporated by reference in such Form 10-K);\n\n (b)the Registrant's Quarterly Report on Form 10-Q for the quarterly periods ended <u>[March 31, 20](https://www.sec.gov/ix?doc=/Archives/edgar/data/1056288/000105628821000013/fhi-20210331.htm)[2](https://www.sec.gov/ix?doc=/Archives/edgar/data/1056288/000105628821000013/fhi-20210331.htm)[1](https://www.sec.gov/ix?doc=/Archives/edgar/data/1056288/000105628821000013/fhi-20210331.htm)</u>, <u>[June 30, 2021](https://www.sec.gov/ix?doc=/Archives/edgar/data/1056288/000162828021015334/fhi-20210630.htm)</u> and <u>[September 30, 2021](https://www.sec.gov/ix?doc=/Archives/edgar/data/1056288/000105628821000026/fhi-20210930.htm)</u>; the Registrant's Current Reports on Form 8-K filed with the Commission on <u>[July 30, 2021](https://www.sec.gov/ix?doc=/Archives/edgar/data/1056288/000105628821000017/fhi-20210730.htm)</u>, <u>[Augu](https://www.sec.gov/ix?doc=/Archives/edgar/data/1056288/000105628821000019/fhi-20210818.htm)[st](https://www.sec.gov/ix?doc=/Archives/edgar/data/1056288/000105628821000019/fhi-20210818.htm)[18, 2021](https://www.sec.gov/ix?doc=/Archives/edgar/data/1056288/000105628821000019/fhi-20210818.htm)</u>, <u>[August 31, 2021](https://www.sec.gov/ix?doc=/Archives/edgar/data/1056288/000105628821000021/fhi-20210831.htm)</u>, <u>[December 15, 2021](https://www.sec.gov/ix?doc=/Archives/edgar/data/1056288/000105628821000028/fhi-20211215.htm)</u> and <u>[January 7, 2022](https://www.sec.gov/ix?doc=/Archives/edgar/data/1056288/000105628822000002/fhi-20220107.htm)</u>; and\n\n (c)the description of Federated Hermes, Inc. Securities incorporated by reference to <u>[Exhibit 4.08](https://www.sec.gov/Archives/edgar/data/1056288/000105628820000015/exhibit408-description.htm)</u> to the Annual Report on Form 10-K for the fiscal year ended December 31, 2019.\n\nAll documents filed by the Registrant with the Commission pursuant to Sections 13(a), 13(c), 14 and 15(d) of the Securities Exchange Act of 1934, as amended, subsequent to the date of this Registration Statement and prior to the filing of a post-effective amendment that indicates that all the securities offered have been sold or that deregisters all securities then remaining unsold, shall be deemed to be incorporated by reference into this Registration Statement and to be a part hereof from the date of the filing of such documents with the Commission.\n\n\n------\n\n\n**Item 8. Exhibits.**\n\nThe following exhibits are filed as part of this Registration Statement and incorporated by reference herein.\n\n---\n\n\n\n| | |\n|:---|:---|\n| **Exhibit No.** | **Description** |\n| <u>[4.1](http://www.sec.gov/Archives/edgar/data/1056288/000105628820000012/exhibit31federatedherm.htm)</u> | Restated Articles of Incorporation of the Federated Hermes, Inc. (incorporated by reference to Exhibit 3.1 to the Registrant's Form 8-K dated February 3, 2020 (File No. 001-14818) |\n| <u>[4.2](http://www.sec.gov/Archives/edgar/data/1056288/000105628820000012/exhibit32federatedherm.htm)</u> | Restated By-Laws of Federated Hermes, Inc. (incorporated by reference to Exhibit 3.2 to the Registrant's Form 8-K dated February 3, 2020 (File No. 001-14818) |\n| <u>[4.3](http://www.sec.gov/Archives/edgar/data/1056288/0000950132-98-000371.txt)</u> | Form of Federated Investors, Inc. Class B Common Stock certificate (incorporated by reference to Exhibit 4.02 to the Registrant's Registration Statement on Form S-4 (File No. 333-48361) filed on April 24, 1998) |\n| <u>[4.4](http://www.sec.gov/Archives/edgar/data/1056288/000105628820000015/exhibit407formoffederate.htm)</u> | Form of Federated Hermes, Inc. Class B Common Stock certificate, as amended January 31, 2020 (incorporated by reference to Exhibit 4.07 to the Annual Report on Form 10-K for the fiscal year ended December 31, 2019 (File No. 001-14818)) |\n| <u>[5.1](exhibit51-legalopinionfors.htm)</u>\\* | Opinion of George F. Magera, Assistant Secretary and General Counsel of the Registrant |\n| <u>[10.1](http://www.sec.gov/Archives/edgar/data/1056288/000119312511121792/dex101.htm)</u> | Federated Investors, Inc. Stock Incentive Plan, amended as of April 28, 2011 (incorporated by reference to Exhibit 10.1 to the Registrant's March 31, 2011 Quarterly Report on Form 10-Q (File No. 001-14818)) |\n| <u>[10.2](http://www.sec.gov/Archives/edgar/data/1056288/000105628818000013/exhibit101-stockincentivep.htm)</u> | Federated Investors, Inc. Stock Incentive Plan, amended as of April 26, 2018 (incorporated by reference to Exhibit 10.1 to the Registrant's March 31, 2018 Quarterly Report on Form 10-Q (File No. 001-14818)) |\n| <u>[10.3](http://www.sec.gov/Archives/edgar/data/1056288/000105628820000015/exhibit10129-stockince.htm)</u> | Federated Hermes, Inc. Stock Incentive Plan, amended as of January 31, 2020 (incorporated by reference to Exhibit 10.129 to the Registrant's Annual Report on Form 10-K for the fiscal year ended December 31, 2019 (File No. 001-14818)) |\n| <u>[10.4](https://www.sec.gov/Archives/edgar/data/1056288/000105628822000002/exhibit101-stockincentivep.htm)</u> | Federated Hermes, Inc. Stock Incentive Plan, amended as of January 7, 2022 (incorporated by reference to Exhibit 10.1 to the Registrant's Current Report on Form 8-K dated January 7, 2022 (File No. 001-14818)) |\n| <u>[23.1](exhibit231eyconsentjanuary.htm)</u>\\* | Consent of Ernst & Young LLP |\n| <u>[23.2](exhibit51-legalopinionfors.htm)</u> | Consent of George F. Magera, Assistant Secretary and General Counsel of the Registrant (included in Exhibit 5.1) |\n| <u>[24.1](#i947848405d534c5587289770178830d6_10)</u> | Power of Attorney (see signature page) |\n\n---\n\n\n\n\\* Filed herewith\n\n\n------\n\n\n**SIGNATURES** \n\nPursuant to the requirements of the Securities Act of 1933, the registrant certifies that it has reasonable grounds to believe that it meets all of the requirements for filing on Form S-8 and has duly caused this registration statement to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of Pittsburgh, Commonwealth of Pennsylvania, on this 10th day of January 2022.\n\n---\n\n\n\n| | |\n|:---|:---|\n| **FEDERATED HERMES, INC.** | **FEDERATED HERMES, INC.** |\n| By: | /s/ Thomas R. Donahue |\n| | Thomas R. Donahue |\n| | Chief Financial Officer |\n\n---\n\n\n\n\n**POWER OF ATTORNEY**\n\nEach of the undersigned hereby constitutes and appoints Thomas R. Donahue his or her true and lawful attorney-in-fact and agent, with full power of substitution and resubstitution, for him or her and in his or her name, place and stead in any and all capacities, to sign this registration statement on Form S-8 filed pursuant to the Securities Act of 1933, as amended (the Securities Act), and any and all amendments to this registration statement (including post-effective amendments) under the Securities Act, and otherwise, and to file the same, with all exhibits thereto and all other documents in connection therewith, with the Securities and Exchange Commission, granting unto said attorney-in-fact and agent full power and authority to do and perform each and every act and thing requisite and necessary to be done to the end that such registration statement or registration statements shall comply with the Securities Act and the applicable rules and regulations adopted or issued pursuant thereto, as fully and to all intents and purposes as he or she might or could do in person, hereby ratifying and confirming all that said attorney-in-fact and agent, or resubstitutes, may lawfully do or cause to be done by virtue hereof.\n\n\nPursuant to the requirements of the Securities Act of 1933, this registration statement has been signed by the following persons in the capacities and on the dates indicated.\n\n---\n\n\n\n| | | |\n|:---|:---|:---|\n| **Signature** | **Title** | **Date** |\n| /s/ J. Christopher Donahue | President, Chief Executive Officer, Chairman and Director (Principal Executive Officer) | January 10, 2022 |\n| J. Christopher Donahue | President, Chief Executive Officer, Chairman and Director (Principal Executive Officer) | |\n| /s/ Thomas R. Donahue | Chief Financial Officer and Director <br>(Principal Financial Officer) | January 10, 2022 |\n| Thomas R. Donahue | Chief Financial Officer and Director <br>(Principal Financial Officer) | |\n| /s/ Richard A. Novak | Principal Accounting Officer | January 10, 2022 |\n| Richard A. Novak | | |\n| /s/ Joseph C. Bartolacci | Director | January 10, 2022 |\n| Joseph C. Bartolacci | | |\n| /s/ Michael J. Farrell | Director | January 10, 2022 |\n| Michael J. Farrell | | |\n| /s/ John B. Fisher | Director | January 10, 2022 |\n| John B. Fisher | | |\n| /s/ Marie Milie Jones | Director | January 10, 2022 |\n| Marie Milie Jones | | |\n\n---\n\n\n\n\n\n\n## Exhibit 5.1\n\n\n\n\nJanuary 10, 2022\n\n\n\nFederated Hermes, Inc.\n\n1001 Liberty Avenue\n\nPittsburgh, Pennsylvania 15222-3779\n\n\n\n** Re: Registration Statement on Form S-8 of Shares of Class B Common Stock, no par value per share, of Federated Hermes, Inc.**\n\n\nLadies and Gentlemen:\n\n\nI am General Counsel of Federated Hermes, Inc. (the \"Company\") and I have acted as counsel to the Company in connection with the preparation of a Registration Statement on Form S-8 (the \"Registration Statement\") under the Securities Act of 1933, as amended (the \"Act\"), which the Company is filing with the Securities and Exchange Commission (the \"Commission\") with respect to up to an additional 5,500,000 shares of Class B common stock of the Company, no par value per share (the \"Shares\"), which may be issued under the Federated Hermes Stock Incentive Plan, as amended (the \"Plan\").\n\n\nI have examined the Registration Statement and such documents and records of the Company as I have deemed necessary for the purpose of this opinion. In giving this opinion, I am assuming the authenticity of all instruments presented to me as originals, the conformity with originals of all instruments presented to me as copies and the genuineness of all signatures.\n\n\nBased upon and subject to the foregoing, I am of the opinion that any Shares that may be issued pursuant to the Plan have been duly authorized and that, upon the due execution by the Company of any certificates representing the Shares, the registration by its registrar of such Shares and the issuance thereof in accordance with the terms of the Plan, and the receipt of consideration therefor in accordance with the terms of the Plan, such Shares will be validly issued, fully paid and nonassessable.\n\n\nI hereby consent to the filing of this opinion as an exhibit to the Registration Statement. In giving such consent, I do not admit that I am in the category of persons whose consent is required under Section 7 of the Act.\n\n\n Very truly yours,\n\n\n /s/ George F. Magera\n\n\n George F. Magera\n\n General Counsel\n\n\n\n## Exhibit 23.1\n\n\nExhibit 23.1\n\n\n**Consent of Independent Registered Public Accounting Firm**\n\n\nWe consent to the incorporation by reference in the Registration Statement (Form S-8) pertaining to the Federated Hermes, Inc. Stock Incentive Plan of Federated Hermes, Inc. of our reports dated February 26, 2021, with respect to the consolidated financial statements of Federated Hermes, Inc. and the effectiveness of internal control over financial reporting of Federated Hermes, Inc. included in its Annual Report (Form 10-K) for the year ended December 31, 2020, filed with the Securities and Exchange Commission.\n\n\n\n---\n\n\n\n| |\n|:---|\n| /s/ Ernst & Young LLP |\n| Pittsburgh, Pennsylvania |\n| January 10, 2022 |\n\n---\n\n\n\n\n\n\n\n\n<br>"},"char_count":{"kind":"number","value":19714,"string":"19,714"},"md5":{"kind":"string","value":"e2206d8ad254e31ed41a87fb24226e67"},"has_ocr":{"kind":"bool","value":false,"string":"false"},"source_format":{"kind":"string","value":""}}},{"rowIdx":298,"cells":{"accession":{"kind":"string","value":"0001056288"},"file_stem":{"kind":"string","value":"0001056288-22-000008"},"year":{"kind":"number","value":2022,"string":"2,022"},"month":{"kind":"number","value":1,"string":"1"},"parsed_md":{"kind":"string","value":"## Filing Summary\n**0001056288-22-000008.hdr.sgml**: 20220127\n\n**ACCESSION NUMBER**: 0001056288-22-000008\n\n**CONFORMED SUBMISSION TYPE**: 8-K\n\n**PUBLIC DOCUMENT COUNT**: 14\n\n**CONFORMED PERIOD OF REPORT**: 20220127\n\n**ITEM INFORMATION**: Results of Operations and Financial Condition\n\n**ITEM INFORMATION**: Other Events\n\n**ITEM INFORMATION**: Financial Statements and Exhibits\n\n**FILED AS OF DATE**: 20220127\n\n**DATE AS OF CHANGE**: 20220127\n\n**FILER**: \n\n\n**COMPANY DATA:**\n- **COMPANY CONFORMED NAME:** FEDERATED HERMES, INC.\n- **CENTRAL INDEX KEY:** 0001056288\n- **STANDARD INDUSTRIAL CLASSIFICATION:** INVESTMENT ADVICE [6282]\n- **IRS NUMBER:** 251111467\n- **STATE OF INCORPORATION:** PA\n- **FISCAL YEAR END:** 1231\n\n**FILING VALUES:**\n- **FORM TYPE:** 8-K\n- **SEC ACT:** 1934 Act\n- **SEC FILE NUMBER:** 001-14818\n- **FILM NUMBER:** 22563979\n\n**BUSINESS ADDRESS:**\n- **STREET 1:** 1001 LIBERTY AVENUE\n- **CITY:** PITTSBURGH\n- **STATE:** PA\n- **ZIP:** 15222\n- **BUSINESS PHONE:** 4122881900\n\n**MAIL ADDRESS:**\n- **STREET 1:** 1001 LIBERTY AVENUE\n- **CITY:** PITTSBURGH\n- **STATE:** PA\n- **ZIP:** 15222\n\n**FORMER COMPANY:**\n- **FORMER CONFORMED NAME:** FEDERATED INVESTORS INC /PA/\n- **DATE OF NAME CHANGE:** 20200130\n\n**FORMER COMPANY:**\n- **FORMER CONFORMED NAME:** FEDERATED HERMES, INC.\n- **DATE OF NAME CHANGE:** 20200130\n\n**FORMER COMPANY:**\n- **FORMER CONFORMED NAME:** FEDERATED INVESTORS INC /PA/\n- **DATE OF NAME CHANGE:** 19980219\n\n?xml version=\"1.0\" ? fhi-20220127\n\n**UNITED STATES**\n\n**SECURITIES AND EXCHANGE COMMISSION**\n\n**Washington, D.C. 20549** \n\n**Form 8-K** \n\n**CURRENT REPORT**\n\n**Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934**\n\n**Date of Report (Date of earliest event reported): January 27, 2022** \n\n**FEDERATED HERMES, INC.** \n\n**(Exact name of registrant as specified in its charter)** \n\n---\n\n\n\n| | | |\n|:---|:---|:---|\n| **Pennsylvania** | **001-14818** | **25-1111467** |\n| **(State or other jurisdiction** | **(Commission File Number)** | **(I.R.S. Employer** |\n| **of incorporation)** | | **Identification No.)** |\n\n---\n\n\n\n**1001 Liberty Avenue** \n\n**Pittsburgh, Pennsylvania 15222-3779** \n\n**(Address of principal executive offices, including zip code)**\n\n**(412) 288-1900** \n\n**(Registrant's telephone number, including area code)**\n\n**Not Applicable**\n\n**(Former name or former address, if changed since last report)**\n\nCheck the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:\n\n☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)\n\n☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)\n\n☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))\n\n☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))\n\nSecurities registered pursuant to Section 12(b) of the Act:\n\nTitle of each class Trading Symbol(s) Name of each exchange on which registered <br> Class B common stock, no par value FHI New York Stock Exchange\n\nIndicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).\n\n Emerging growth company ☐\n\nIf an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐\n\n------\n\nITEM 2.02 RESULTS OF OPERATIONS AND FINANCIAL CONDITION.\n\nOn January 27, 2022, Federated Hermes, Inc. issued the earnings press release attached hereto as Exhibit 99.1 to report fourth quarter 2021 results.\n\n \n\nITEM 8.01 OTHER EVENTS\n\nFederated Hermes is monitoring the debt financing market. Federated Hermes may pursue longer term financing arrangements to supplement its cash flow from operations to fund share repurchases, potential acquisitions, to pay down part of the existing debt and for other corporate purposes. Depending upon market conditions and other factors, Federated Hermes is considering longer-term financing of approximately $300 million.\n\nITEM 9.01 FINANCIAL STATEMENTS AND EXHIBITS.\n\n(d) Exhibits:\n\n---\n\n\n\n| | |\n|:---|:---|\n| <u>[Exhibit 99.1](a991-2021q4earningspressre.htm)</u> | Earnings press release issued by Federated Hermes, Inc. dated January 27, 2022 |\n| Exhibit 104 | Cover Page Interactive Data File (embedded within the Inline XBRL document) |\n\n---\n\n\n\n------\n\nSIGNATURES\n\n Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.\n\n \n\n---\n\n\n\n| | | | |\n|:---|:---|:---|:---|\n| | | | FEDERATED HERMES, INC. |\n| | | | (REGISTRANT) |\n| Date | January 27, 2022 | By: | /s/ Thomas R. Donahue |\n| | | | Thomas R. Donahue |\n| | | | Chief Financial Officer |\n\n---\n\n\n\n\n## Exhibit 99.1\n\n\nExhibit 99.1\n\n\n\n\n**Federated Hermes, Inc. reports fourth quarter and full-year 2021 earnings**\n\n**• Q4 2021 earnings per diluted share of $0.71; full-year 2021 EPS of $2.75** \n\n**• Total assets under management reach a record $668.9 billion**\n\n**• Long-term assets reach a record $221.0 billion**\n\n**• Board declares $0.27 per share quarterly dividend**\n\n(PITTSBURGH, Pa., Jan. 27, 2022) — Federated Hermes, Inc. (NYSE: FHI), a global leader in active, responsible investing, today reported earnings per diluted share (EPS) for Q4 2021 of $0.71, compared to $0.93 for the same quarter last year, on net income of $68.6 million for Q4 2021, compared to $95.2 million for Q4 2020. Full-year 2021 EPS was $2.75, compared to $3.23 for 2020 on net income of $270.3 million for 2021, compared to $326.4 million for 2020. As reported for Q2 2021, Federated Hermes' results include a $14.5 million noncash U.K. tax expense, which had an $0.11 per diluted share impact for 2021.\n\nFederated Hermes' total managed assets were a record $668.9 billion at Dec. 31, 2021, up $49.5 billion or 8% from $619.4 billion at Dec. 31, 2020 and up $34.8 billion or 5% from $634.1 billion at Sept. 30, 2021. Average managed assets for Q4 2021 were $640.4 billion, up $29.9 billion or 5% from $610.5 billion reported for Q4 2020 and up $7.3 billion or 1% from $633.1 billion reported for Q3 2021.\n\n\"Federated Hermes' record assets at year-end 2021 were driven by fourth-quarter money market asset increases, market gains in long-term assets and our highest-ever annual net sales of $9 billion in long-term products,\" said J. Christopher Donahue, president and chief executive officer. \"As a result of the historical low interest rates during the year, we derived 80% of our 2021 revenue from the diverse range of our actively managed strategies that comprise long-term categories—equity, fixed income, alternative/private markets and multi-asset.\"\n\nFederated Hermes' board of directors declared a quarterly dividend of $0.27 per share. The dividend is payable on Feb. 15, 2022 to shareholders of record as of Feb. 8, 2022. During Q4 2021, Federated Hermes purchased 4,054,119 shares of Federated Hermes class B common stock for $145.2 million, bringing the total shares of Class B common stock purchased in 2021 to 7,145,838 shares for $239.7 million.\n\nFederated Hermes' equity assets were $96.7 billion at Dec. 31, 2021, up $4.9 billion or 5% from $91.8 billion at Dec. 31, 2020 and down $0.7 billion or 1% from $97.4 billion at Sept. 30, 2021. Top-selling equity funds on a net basis during Q4 2021 were Federated Hermes Global Emerging Markets SMID Equity Fund, Federated Hermes U.S. SMID Equity Fund, Federated Hermes Global Equity ESG Fund, Federated Hermes Impact Opportunities Equity Fund and Federated Hermes MDT All Cap Core Fund.\n\nFederated Hermes' fixed-income assets were a record $97.6 billion at Dec. 31, 2021, up $13.3 billion or 16% from $84.3 billion at Dec. 31, 2020 and up $0.4 billion from $97.2 billion at Sept. 30, 2021. Top-selling fixed-income funds on a net basis during Q4 2021 were Federated Hermes SDG Engagement High Yield Credit Fund (UCITS), Federated Hermes Strategic Income Fund, Federated Hermes Municipal Ultrashort Fund, Federated Hermes Government Ultrashort Fund and Federated Hermes Inflation Protected Securities Fund.\n\n---\n\n\n\n| | | |\n|:---|:---|:---|\n| **MEDIA:** | **MEDIA:** | **ANALYSTS:** |\n| Ed Costello 412-288-7538 | Meghan McAndrew 412-288-8103 | Ray Hanley 412-288-1920 |\n\n---\n\n\n\n------\n\n---\n\n\n\n| | |\n|:---|:---|\n| **Federated Hermes reports Q4 and full-year 2021 earnings** | **Page 2 of 13** |\n\n---\n\n\n\nFederated Hermes' alternative/private markets assets were a record $22.9 billion at Dec. 31, 2021, up $3.8 billion or 20% from $19.1 billion at Dec. 31, 2020 and up $0.8 billion or 4% from $22.1 billion at Sept. 30, 2021.\n\nFederated Hermes' money market assets were $447.9 billion at Dec. 31, 2021, up $27.6 billion or 7% from $420.3 billion at Dec. 31, 2020 and up $34.2 billion or 8% from $413.7 billion at Sept. 30, 2021. Money market mutual fund assets were $312.8 billion at Dec. 31, 2021, up $10.9 billion or 4% from $301.9 billion at Dec. 31, 2020 and up $20.5 billion or 7% from $292.3 billion at Sept. 30, 2021. Federated Hermes' money market separate account assets were a record $135.1 billion at Dec. 31, 2021, up $16.6 billion or 14% from $118.5 billion at Dec. 31, 2020 and up $13.7 billion or 11% from $121.4 billion at Sept. 30, 2021.\n\n**Financial Summary** \n\n***Q4 2021 vs. Q4 2020***\n\nRevenue decreased $42.3 million or 12% primarily due to an increase in voluntary fee waivers related to certain money market funds in order for those funds to maintain positive or zero net yields (voluntary yield-related fee waivers), a decrease in performance fees and lower average money market assets. These decreases were partially offset by an increase in revenue due to higher average long-term assets. For further information on fee waivers, see \"Impact of voluntary yield-related fee waivers,\" below.\n\nDuring Q4 2021, Federated Hermes derived 81% of its revenue from long-term assets (52% from equity assets, 19% from fixed-income assets and 10% from alternative/private markets and multi-asset), 17% from money market assets, and 2% from sources other than managed assets.\n\nOperating expenses decreased $16.1 million or 6% primarily due to decreased distribution expenses predominantly resulting from higher voluntary yield-related fee waivers and lower incentive compensation and related expenses.\n\nNonoperating income (expenses), net decreased $11.6 million or 79% primarily due to a larger increase in the market value of investments in Q4 2020 compared to Q4 2021.\n\n***Q4 2021 vs. Q3 2021***\n\nRevenue decreased $4.9 million or 2% primarily due to lower average equity assets.\n\nOperating expenses increased by $4.9 million or 2% primarily due to an increase in advertising and promotional expenses and other expenses, partially offset by lower incentive compensation and related expenses.\n\nNonoperating income (expenses), net increased $4.8 million or 274% primarily due to a larger increase in the market value of investments in Q4 2021 compared to Q3 2021.\n\n***2021 vs. 2020***\n\nRevenue decreased $147.8 million or 10% primarily due to an increase in voluntary yield-related fee waivers and a decrease in revenue from lower average money market assets. These decreases were partially offset by an increase in revenue due to higher average long-term assets.\n\nDuring 2021, Federated Hermes derived 80% of its revenue from long-term assets (52% from equity assets, 18% from fixed-income assets and 10% from alternative/private markets and multi-asset), 19% from money market assets, and 1% from sources other than managed assets.\n\nOperating expenses decreased by $95.9 million or 9% primarily due to decreased distribution expenses predominantly resulting from higher voluntary yield-related fee waivers.\n\n\n------\n\n---\n\n\n\n| | |\n|:---|:---|\n| **Federated Hermes reports Q4 and full-year 2021 earnings** | **Page 3 of 13** |\n\n---\n\n\n\nNonoperating income (expenses), net decreased $17.9 million or 64% primarily due to a larger increase in the market value of investments in 2020 compared to 2021 and a gain recorded in 2020 from a fair value adjustment to the equity investment of a previously nonconsolidated entity.\n\n***Impact of voluntary yield-related fee waivers***\n\nFor Q4 2021 and full-year 2021, voluntary yield-related fee waivers totaled $110.1 million and $420.3 million, respectively. These fee waivers were largely offset by related reductions in distribution expenses of $72.3 million and $277.2 million, respectively, such that the net negative pre-tax impact to Federated Hermes was $37.8 million and $143.2 million, respectively. During the three and 12 months ended Dec. 31, 2020, voluntary yield-related fee waivers totaled $56.1 million and $113.0 million, respectively. These fee waivers were largely offset by related reductions in distribution expenses of $47.4 million and $98.4 million, respectively, such that the net negative pre-tax impact to Federated Hermes was $8.7 million and $14.6 million for the three and 12 months ended Dec. 31, 2020, respectively.\n\nShort-term interest rates remained near historic lows during Q4 2021 as technical factors at the front end of the yield curve kept yields on short-term government securities—including repurchase agreements and Treasury bills—just above zero. Market expectations are that the central bank will raise interest rates multiple times in 2022, starting in March. Higher yields in 2022 will lower the impact of voluntary yield-related fee waivers. The net negative impact on pre-tax income from voluntary yield-related fee waivers on money market mutual funds and certain separate accounts may be approximately $22 million during Q1 2022. Assuming an increase in interest rates of 25 basis points by the Federal Reserve in March 2022, the Q1 estimated $22 million of net negative impact on pre-tax income from voluntary yield-related waivers is expected to be reduced by approximately 90% for Q2. The amount of voluntary yield-related fee waivers can vary based on a number of factors, including, among others, interest rates, yields, asset levels, asset flows and the ability of distributors to share in waivers. Any change in these factors can impact the amount and level of voluntary yield-related fee waivers, including in a material way.\n\nFederated Hermes' level of business activity and financial results are dependent upon many factors, including market conditions, investment performance and investor behavior. These factors and others, including asset levels and mix, product sales and redemptions, market appreciation or depreciation, revenues, fee waivers, expenses and regulatory changes, can significantly impact Federated Hermes' business activity levels and financial results. Risk factors and uncertainties that can influence Federated Hermes' financial results are discussed in the company's annual and quarterly reports as filed with the Securities and Exchange Commission (SEC).\n\nFederated Hermes will host an earnings conference call at 9 a.m. Eastern on Jan. 28, 2022. Investors are invited to listen to the earnings teleconference by calling 888-506-0062 (domestic) or 973-528-0011 (international) prior to the 9 a.m. start time. To listen online, go to the Investor Relations section and the Analyst Information tab of FederatedHermes.com at least 15 minutes prior to register and join the call. A replay will be available at approximately 12:30 p.m. Eastern on Jan. 28, 2022. To access the telephone replay, dial 877-481-4010 (domestic) or 919-882-2331 (international) and enter access code 44043. The online replay will be available via FederatedHermes.com for one year.\n\nFederated Hermes, Inc. is a global leader in active, responsible investment management, with $668.9 billion in assets under management<sup>1</sup>. We deliver investment solutions that help investors target a broad range of outcomes and provide equity, fixed-income, alternative/private markets, multi-asset and liquidity management strategies to more than 11,000 institutions and intermediaries worldwide. Our clients include corporations, government entities, insurance companies, foundations and endowments, banks and broker/dealers. At Federated Hermes, responsibility is central to our client relationships, our long-term perspective and our fiduciary mindset. It's part of our heritage and the foundation of our future.\n\n\n------\n\n---\n\n\n\n| | |\n|:---|:---|\n| **Federated Hermes reports Q4 and full-year 2021 earnings** | **Page 4 of 13** |\n\n---\n\n\n\nHeadquartered in Pittsburgh, Federated Hermes has nearly 2,000 employees in London, New York, Boston and offices worldwide. Federated Hermes ranks in the top 7% of equity fund managers in the industry, the top 10% of money market fund managers and the top 10% of fixed-income fund managers<sup>2</sup>. Federated Hermes also ranks as the 10th-largest manager of model-delivered SMAs<sup>3</sup>. For more information, including an analyst presentation, visit **FederatedHermes.com**.\n\n###\n\n*1) As of Dec. 31, 2021*\n\n*2) ISS Market Intelligence (SIMFUND), Dec. 31, 2021. Based on assets under management in U.S. open-end funds.*\n\n*3) Money Management Institute/Cerulli Associates, Q3 2021.*\n\n*Federated Securities Corp. is distributor of the Federated Hermes funds.* \n\n*Separately managed accounts are made available through Federated Global Investment Management Corp., Federated Investment Counseling, Federated MDTA LLC, Hermes Fund Managers Ireland Limited, Hermes Investment Management Limited, and Hermes GPE LLP (HGPE), each a registered investment advisor in one or more of the U.S., U.K. or Ireland.*\n\nCertain statements in this press release, such as those related to performance, investor preferences and demand, asset flows,\n\nasset mix, interest rates, and fee waivers constitute or may constitute forward-looking statements, which involve known and\n\nunknown risks, uncertainties and other factors that may cause the actual results, levels of activity, performance or achievements\n\nof the company, or industry results, to be materially different from any future results, levels of activity, performance or\n\nachievements expressed or implied by such forward-looking statements. Other risks and uncertainties include the ability of the\n\ncompany to predict the level of fee waivers and expenses in future quarters, predict whether performance fees or carried interest\n\nwill be earned and retained, and sustain product demand, asset flows and mix, which could vary significantly depending on\n\nvarious factors, such as market conditions, investment performance and investor behavior. Other risks and uncertainties include\n\nthe risk factors discussed in the company's annual and quarterly reports as filed with the SEC. As a result, no assurance can be\n\ngiven as to future results, levels of activity, performance or achievements, and neither the company nor any other person assumes responsibility for the accuracy and completeness, or updating, of such statements in the future.\n\n\n------\n\n---\n\n\n\n| | |\n|:---|:---|\n| **Federated Hermes reports Q4 and full-year 2021 earnings** | **Page 5 of 13** |\n\n---\n\n\n\n---\n\n\n\n| | | | | | |\n|:---|:---|:---|:---|:---|:---|\n| ***Unaudited Condensed Consolidated Statements of Income*** | ***Unaudited Condensed Consolidated Statements of Income*** | ***Unaudited Condensed Consolidated Statements of Income*** | ***Unaudited Condensed Consolidated Statements of Income*** | ***Unaudited Condensed Consolidated Statements of Income*** | ***Unaudited Condensed Consolidated Statements of Income*** |\n| *(in thousands, except per share data)* | | | | | |\n| | **Quarter Ended** | **Quarter Ended** | **% Change Q4 2020 to Q4 2021** | **Quarter Ended** | **% Change Q3 2021 to Q4 2021** |\n| | **Dec. 31, 2021** | **Dec. 31, 2020** | **% Change Q4 2020 to Q4 2021** | **Sept. 30, 2021** | **% Change Q3 2021 to Q4 2021** |\n| **Revenue** | | | | | |\n| Investment advisory fees, net | $223796 | $265593 | (16)% | $230210 | (3)% |\n| Administrative service fees, net | 77734 | 79192 | (2) | 76853 | 1 |\n| Other service fees, net | 20115 | 19133 | 5 | 19526 | 3 |\n| *Total Revenue* | 321645 | 363918 | (12) | 326589 | (2) |\n| **Operating Expenses** | | | | | |\n| Compensation and related | 124107 | 138296 | (10) | 131996 | (6) |\n| Distribution | 39894 | 59419 | (33) | 38486 | 4 |\n| Systems and communications | 19343 | 18518 | 4 | 18537 | 4 |\n| Professional service fees | 16279 | 13961 | 17 | 14294 | 14 |\n| Office and occupancy | 11215 | 6436 | 74 | 11036 | 2 |\n| Advertising and promotional | 9493 | 4853 | 96 | 4660 | 104 |\n| Travel and related | 2499 | 540 | 363 | 1643 | 52 |\n| Other | 10232 | 7120 | 44 | 7535 | 36 |\n| *Total Operating Expenses* | 233062 | 249143 | (6) | 228187 | 2 |\n| Operating Income | 88583 | 114775 | (23) | 98402 | (10) |\n| **Nonoperating Income (Expenses)** | | | | | |\n| Investment income (loss), net | 3257 | 15175 | (79) | 42 | NM |\n| Debt expense | (472) | (468) | 1 | (476) | (1) |\n| Other, net | 258 | (27) | NM | (1319) | 120 |\n| *Total Nonoperating Income (Expenses), net* | 3043 | 14680 | (79) | (1753) | 274 |\n| Income before income taxes | 91626 | 129455 | (29) | 96649 | (5) |\n| Income tax provision | 20629 | 28183 | (27) | 23163 | (11) |\n| Net income including the noncontrolling interests in subsidiaries | 70997 | 101272 | (30) | 73486 | (3) |\n| Less: Net income attributable to the noncontrolling interests in subsidiaries | 2434 | 6104 | (60) | 2124 | 15 |\n| Net Income | $68563 | $95168 | (28)% | $71362 | (4)% |\n| **Amounts Attributable to Federated Hermes, Inc.** | | | | | |\n| **Earnings Per Share**<sup>1</sup> | | | | | |\n| Basic | $0.71 | $0.94 | (24)% | $0.73 | (3)% |\n| Diluted | $0.71 | $0.93 | (24)% | $0.73 | (3)% |\n| **Weighted-Average Shares Outstanding** | | | | | |\n| Basic and diluted | 91924 | 95504 | | 93320 | |\n| **Dividends Declared Per Share** | $0.27 | $1.27 | | $0.27 | |\n\n---\n\n\n\n*1) Unvested share-based awards that receive non-forfeitable dividend rights are deemed participating securities and are required to be considered in the computation of earnings per share under the \"two-class method.\" As such, total net income of $2.9 million, $5.0 million and $3.0 million available to unvested restricted Federated Hermes shareholders for the quarterly periods ended Dec. 31, 2021, Dec. 31, 2020 and Sept. 30, 2021, respectively, was excluded from the computation of basic earnings per share. In addition to the amounts excluded from the basic earnings per share calculation, the computation of diluted earnings per share excludes net income available to unvested shareholders of a nonpublic consolidated subsidiary.* \n\n* *\n\n\n\n------\n\n---\n\n\n\n| | |\n|:---|:---|\n| **Federated Hermes reports Q4 and full-year 2021 earnings** | **Page 6 of 13** |\n\n---\n\n\n\n---\n\n\n\n| | | | |\n|:---|:---|:---|:---|\n| ***Unaudited Condensed Consolidated Statements of Income*** | ***Unaudited Condensed Consolidated Statements of Income*** | ***Unaudited Condensed Consolidated Statements of Income*** | ***Unaudited Condensed Consolidated Statements of Income*** |\n| *(in thousands, except per share data)* | | | |\n| | **Year Ended** | **Year Ended** | **Year Ended** |\n| | **Dec. 31, 2021** | **Dec. 31, 2020** | **% Change** |\n| **Revenue** | | | |\n| Investment advisory fees, net | $915984 | $1011467 | (9)% |\n| Administrative service fees, net—affiliates | 306639 | 318152 | (4) |\n| Other service fees, net | 77824 | 118649 | (34) |\n| * Total Revenue* | 1300447 | 1448268 | (10) |\n| **Operating Expenses** | | | |\n| Compensation and related | 532492 | 503400 | 6 |\n| Distribution | 160884 | 318343 | (49) |\n| Systems and communications | 75429 | 64698 | 17 |\n| Professional service fees | 60331 | 55123 | 9 |\n| Office and occupancy | 44573 | 38975 | 14 |\n| Advertising and promotional | 21600 | 15834 | 36 |\n| Travel and related | 5337 | 4566 | 17 |\n| Other | 33529 | 29178 | 15 |\n| * Total Operating Expenses* | 934175 | 1030117 | (9) |\n| Operating Income | 366272 | 418151 | (12) |\n| **Nonoperating Income (Expenses)** | | | |\n| Investment income (loss), net | 12703 | 22186 | (43) |\n| Debt expense | (1785) | (2678) | (33) |\n| Other, net | (900) | 8398 | (111) |\n| * Total Nonoperating Income (Expenses), net* | 10018 | 27906 | (64) |\n| Income before income taxes | 376290 | 446057 | (16) |\n| Income tax provision | 103982 | 110035 | (6) |\n| Net income including the noncontrolling interests in subsidiaries | 272308 | 336022 | (19) |\n| Less: Net income attributable to the noncontrolling<br>interests in subsidiaries | 2015 | 9658 | (79) |\n| Net Income | $270293 | $326364 | (17)% |\n| **Amounts Attributable to Federated Hermes, Inc.** | | | |\n| **Earnings Per Share**<sup>1</sup> | | | |\n| Basic | $2.77 | $3.25 | (15)% |\n| Diluted | $2.75 | $3.23 | (15)% |\n| **Weighted-Average Shares Outstanding** | | | |\n| Basic and diluted | 93597 | 96419 | |\n| **Dividends Declared Per Share** | $1.08 | $2.08 | |\n\n---\n\n\n\n*1) Unvested share-based awards that receive non-forfeitable dividend rights are deemed participating securities and are required to be considered in the computation of earnings per share under the \"two-class method.\" As such, total net income of $11.3 million and $12.8 million available to unvested restricted Federated Hermes shareholders for the years ended Dec. 31, 2021 and Dec. 31, 2020, respectively, was excluded from the computation of basic earnings per share. In addition to the amounts excluded from the basic earnings per share calculation, the computation of diluted earnings per share excludes net income available to unvested shareholders of a nonpublic consolidated subsidiary.*\n\n\n\n\n------\n\n---\n\n\n\n| | |\n|:---|:---|\n| **Federated Hermes reports Q4 and full-year 2021 earnings** | **Page 7 of 13** |\n\n---\n\n\n\n---\n\n\n\n| | | |\n|:---|:---|:---|\n| ***Unaudited Condensed Consolidated Balance Sheets*** | | |\n| *(in thousands)* |<br>**Dec. 31, 2021** |<br>**Dec. 31, 2020** |\n| **Assets** | | |\n| Cash and other investments | $426674 | $438771 |\n| Other current assets | 132773 | 136572 |\n| Intangible assets, net, including goodwill | 1270080 | 1282020 |\n| Other long-term assets | 188660 | 203476 |\n| * Total Assets* | $2018187 | $2060839 |\n| **Liabilities, Redeemable Noncontrolling Interests and Equity** | | |\n| Current liabilities | $270707 | $265446 |\n| Long-term debt | 223350 | 75000 |\n| Other long-term liabilities | 346911 | 346409 |\n| Redeemable noncontrolling interests | 63202 | 236987 |\n| Equity excluding treasury stock | 1652481 | 1461728 |\n| Treasury stock | (538464) | (324731) |\n| * Total Liabilities, Redeemable Noncontrolling Interests and Equity* | $2018187 | $2060839 |\n\n---\n\n\n\n\n\n------\n\n---\n\n\n\n| | |\n|:---|:---|\n| **Federated Hermes reports Q4 and full-year 2021 earnings** | **Page 8 of 13** |\n\n---\n\n\n\n---\n\n\n\n| | | | | | |\n|:---|:---|:---|:---|:---|:---|\n| ***Unaudited Changes in Long-Term Assets - By Asset Class*** | ***Unaudited Changes in Long-Term Assets - By Asset Class*** | ***Unaudited Changes in Long-Term Assets - By Asset Class*** | ***Unaudited Changes in Long-Term Assets - By Asset Class*** | ***Unaudited Changes in Long-Term Assets - By Asset Class*** | ***Unaudited Changes in Long-Term Assets - By Asset Class*** |\n| *(in millions)* | **Quarter Ended** | **Quarter Ended** | **Quarter Ended** | **Year Ended** | **Year Ended** |\n| | **Dec. 31, 2021** | **Sept. 30, 2021** | **Dec. 31, 2020** | **Dec. 31, 2021** | **Dec. 31, 2020** |\n| **Equity** | | | | | |\n| Beginning assets | $97425 | $100506 | $80405 | $91788 | $89011 |\n| Sales<sup>1</sup> | 4371 | 4332 | 5618 | 21829 | 20463 |\n| Redemptions<sup>1</sup> | (7106) | (5707) | (6047) | (26761) | (26721) |\n| Net sales (redemptions)<sup>1</sup> | (2735) | (1375) | (429) | (4932) | (6258) |\n| Net exchanges | (2) | 3 | (8) | 41 | (70) |\n| Acquisitions/(dispositions) | 0 | 408 | 0 | 408 | (71) |\n| Impact of foreign exchange<sup>2</sup> | (162) | (510) | 946 | (1096) | 1195 |\n| Market gains and (losses)<sup>3</sup> | 2190 | (1607) | 10874 | 10507 | 7981 |\n| Ending assets | $96716 | $97425 | $91788 | $96716 | $91788 |\n| **Fixed Income** | | | | | |\n| Beginning assets | $97226 | $90801 | $79546 | $84277 | $69023 |\n| Sales<sup>1</sup> | 7920 | 12935 | 9046 | 42626 | 37283 |\n| Redemptions<sup>1</sup> | (7438) | (6604) | (6046) | (29744) | (26138) |\n| Net sales (redemptions)<sup>1</sup> | 482 | 6331 | 3000 | 12882 | 11145 |\n| Net exchanges | (23) | (7) | (10) | (81) | (15) |\n| Acquisitions/(dispositions) | 0 | 17 | 0 | 17 | (1) |\n| Impact of foreign exchange<sup>2</sup> | (9) | (89) | 181 | (133) | 190 |\n| Market gains and (losses)<sup>3</sup> | (126) | 173 | 1560 | 588 | 3935 |\n| Ending assets | $97550 | $97226 | $84277 | $97550 | $84277 |\n| **Alternative / Private Markets** | | | | | |\n| Beginning assets<sup>4</sup> | $22064 | $20962 | $18146 | $19084 | $18102 |\n| Sales<sup>1</sup> | 1696 | 1319 | 574 | 4823 | 2840 |\n| Redemptions<sup>1</sup> | (1460) | (533) | (661) | (3170) | (2615) |\n| Net sales (redemptions)<sup>1</sup> | 236 | 786 | (87) | 1653 | 225 |\n| Net exchanges | 0 | 0 | (3) | (2) | (4) |\n| Acquisitions/(dispositions) | 0 | 81 | 0 | 81 | 452 |\n| Impact of foreign exchange<sup>2</sup> | 107 | (554) | 1061 | (254) | 615 |\n| Market gains and (losses)<sup>3</sup> | 513 | 789 | (33) | 2358 | (306) |\n| Ending assets | $22920 | $22064 | $19084 | $22920 | $19084 |\n| **Multi-asset** | | | | | |\n| Beginning assets | $3692 | $3699 | $3737 | $3948 | $4199 |\n| Sales<sup>1</sup> | 75 | 71 | 50 | 301 | 241 |\n| Redemptions<sup>1</sup> | (119) | (103) | (166) | (936) | (724) |\n| Net sales (redemptions)<sup>1</sup> | (44) | (32) | (116) | (635) | (483) |\n| Net exchanges | 14 | 9 | 3 | 42 | (20) |\n| Acquisitions/(dispositions) | 0 | 54 | 0 | 54 | 0 |\n| Impact of foreign exchange<sup>2</sup> | 0 | 0 | 0 | (1) | 1 |\n| Market gains and (losses)<sup>3</sup> | 118 | (38) | 324 | 372 | 251 |\n| Ending assets | $3780 | $3692 | $3948 | $3780 | $3948 |\n| **Total Long-term Assets** | | | | | |\n| Beginning assets<sup>4</sup> | $220407 | $215968 | $181834 | $199097 | $180335 |\n| Sales<sup>1</sup> | 14062 | 18657 | 15288 | 69579 | 60827 |\n| Redemptions<sup>1</sup> | (16123) | (12947) | (12920) | (60611) | (56198) |\n| Net sales (redemptions)<sup>1</sup> | (2061) | 5710 | 2368 | 8968 | 4629 |\n| Net exchanges | (11) | 5 | (18) | 0 | (109) |\n| Acquisitions/(dispositions) | 0 | 560 | 0 | 560 | 380 |\n| Impact of foreign exchange<sup>2</sup> | (64) | (1153) | 2188 | (1484) | 2001 |\n| Market gains and (losses)<sup>3</sup> | 2695 | (683) | 12725 | 13825 | 11861 |\n| Ending assets | $220966 | $220407 | $199097 | $220966 | $199097 |\n\n---\n\n\n\n*1) For certain accounts, Sales and Redemptions are calculated as the remaining difference between beginning and ending assets after the calculation of total investment return.*\n\n*2) Reflects the impact of translating non-U.S. dollar denominated AUM into U.S. dollars for reporting purposes.*\n\n*3) Reflects the approximate changes in the fair value of the securities held by the portfolios and, to a lesser extent, reinvested dividends, distributions and net investment income.*\n\n*4) The beginning assets for the year ended December 31, 2020 include $8.2 billion of fund assets managed by a previously non-consolidated entity, HGPE, in which Federated Hermes held an equity method investment. Effective March 1, 2020, HGPE became a consolidated subsidiary.*\n\n\n------\n\n---\n\n\n\n| | |\n|:---|:---|\n| **Federated Hermes reports Q4 and full-year 2021 earnings** | **Page 9 of 13** |\n\n---\n\n\n\n---\n\n\n\n| | | | | | | | | | | |\n|:---|:---|:---|:---|:---|:---|:---|:---|:---|:---|:---|\n| ***Unaudited Changes in Long-Term Assets - By Asset Class and Product Type*** | ***Unaudited Changes in Long-Term Assets - By Asset Class and Product Type*** | ***Unaudited Changes in Long-Term Assets - By Asset Class and Product Type*** | ***Unaudited Changes in Long-Term Assets - By Asset Class and Product Type*** | ***Unaudited Changes in Long-Term Assets - By Asset Class and Product Type*** | ***Unaudited Changes in Long-Term Assets - By Asset Class and Product Type*** | ***Unaudited Changes in Long-Term Assets - By Asset Class and Product Type*** | ***Unaudited Changes in Long-Term Assets - By Asset Class and Product Type*** | ***Unaudited Changes in Long-Term Assets - By Asset Class and Product Type*** | ***Unaudited Changes in Long-Term Assets - By Asset Class and Product Type*** | ***Unaudited Changes in Long-Term Assets - By Asset Class and Product Type*** |\n| *(in millions)* | | | | | | | | | | |\n| | **Quarter Ended** | **Quarter Ended** | **Quarter Ended** | **Quarter Ended** | **Quarter Ended** | **Quarter Ended** | **Quarter Ended** | **Quarter Ended** | **Quarter Ended** | **Quarter Ended** |\n| | **Dec. 31, 2021** | **Dec. 31, 2021** | **Dec. 31, 2021** | **Dec. 31, 2021** | **Dec. 31, 2021** | **Dec. 31, 2021** | **Dec. 31, 2021** | **Dec. 31, 2021** | **Dec. 31, 2021** | **Dec. 31, 2021** |\n| | **Equity** | **Equity** | **Fixed Income** | **Fixed Income** | **Alternative / Private Markets** | **Alternative / Private Markets** | **Multi-asset** | **Multi-asset** | **Total** | **Total** |\n| | Funds | Separate Accounts<sup>1</sup> | Funds | Separate Accounts<sup>1</sup> | Funds | Separate Accounts<sup>1</sup> | Funds | Separate Accounts<sup>1</sup> | Funds | Separate Accounts<sup>1</sup> |\n| Beginning assets | $58218 | $39207 | $60262 | $36964 | $14299 | $7765 | $3518 | $174 | $136297 | $84110 |\n| Sales | 2507 | 1864 | 6138 | 1782 | 1374 | 322 | 75 | 0 | 10094 | 3968 |\n| Redemptions | (4198) | (2908) | (6468) | (970) | (1174) | (286) | (115) | (4) | (11955) | (4168) |\n| Net sales (redemptions) | (1691) | (1044) | (330) | 812 | 200 | 36 | (40) | (4) | (1861) | (200) |\n| Net exchanges | (2) | 0 | (23) | 0 | 0 | 0 | 14 | 0 | (11) | 0 |\n| Impact of foreign exchange<sup>2</sup> | (59) | (103) | 0 | (9) | 63 | 44 | 0 | 0 | 4 | (68) |\n| Market gains and (losses)<sup>3</sup> | 570 | 1620 | (47) | (79) | 226 | 287 | 116 | 2 | 865 | 1830 |\n| Ending assets | $57036 | $39680 | $59862 | $37688 | $14788 | $8132 | $3608 | $172 | $135294 | $85672 |\n| | **Year Ended** | **Year Ended** | **Year Ended** | **Year Ended** | **Year Ended** | **Year Ended** | **Year Ended** | **Year Ended** | **Year Ended** | **Year Ended** |\n| | **Dec. 31, 2021** | **Dec. 31, 2021** | **Dec. 31, 2021** | **Dec. 31, 2021** | **Dec. 31, 2021** | **Dec. 31, 2021** | **Dec. 31, 2021** | **Dec. 31, 2021** | **Dec. 31, 2021** | **Dec. 31, 2021** |\n| | **Equity** | **Equity** | **Fixed Income** | **Fixed Income** | **Alternative / Private Markets** | **Alternative / Private Markets** | **Multi-asset** | **Multi-asset** | **Total** | **Total** |\n| | Funds | Separate Accounts<sup>1</sup> | Funds | Separate Accounts<sup>1</sup> | Funds | Separate Accounts<sup>1</sup> | Funds | Separate Accounts<sup>1</sup> | Funds | Separate Accounts<sup>1</sup> |\n| Beginning assets | $54312 | $37476 | $53557 | $30720 | $12100 | $6984 | $3744 | $204 | $123713 | $75384 |\n| Sales | 14265 | 7564 | 30862 | 11764 | 3699 | 1124 | 299 | 2 | 49125 | 20454 |\n| Redemptions | (15915) | (10846) | (24902) | (4842) | (2657) | (513) | (894) | (42) | (44368) | (16243) |\n| Net sales (redemptions) | (1650) | (3282) | 5960 | 6922 | 1042 | 611 | (595) | (40) | 4757 | 4211 |\n| Net exchanges | (362) | 403 | (33) | (48) | (2) | 0 | 41 | 1 | (356) | 356 |\n| Acquisitions/(dispositions) | 408 | 0 | 17 | 0 | 81 | 0 | 54 | 0 | 560 | 0 |\n| Impact of foreign exchange<sup>2</sup> | (522) | (574) | (90) | (43) | (162) | (92) | 0 | (1) | (774) | (710) |\n| Market gains and (losses)<sup>3</sup> | 4850 | 5657 | 451 | 137 | 1729 | 629 | 364 | 8 | 7394 | 6431 |\n| Ending assets | $57036 | $39680 | $59862 | $37688 | $14788 | $8132 | $3608 | $172 | $135294 | $85672 |\n\n---\n\n\n\n*1) Includes separately managed accounts, institutional accounts, sub-advised funds and other managed products. For certain accounts, Sales and Redemptions are calculated as the remaining difference between beginning and ending assets after the calculation of total investment return.*\n\n*2) Reflects the impact of translating non-U.S. dollar denominated AUM into U.S. dollars for reporting purposes.*\n\n*3) Reflects the approximate changes in the fair value of the securities held by the portfolios and, to a lesser extent, reinvested dividends, distributions and net investment income.*\n\n\n\n\n\n------\n\n---\n\n\n\n| | |\n|:---|:---|\n| **Federated Hermes reports Q4 and full-year 2021 earnings** | **Page 10 of 13** |\n\n---\n\n\n\n***Unaudited Changes in Long-Term Assets - By Product Type***\n\n*(in millions)* \n\n---\n\n\n\n| | | | | | |\n|:---|:---|:---|:---|:---|:---|\n| | **Quarter Ended** | **Quarter Ended** | **Quarter Ended** | **Year Ended** | **Year Ended** |\n| | **Dec. 31, 2021** | **Sept. 30, 2021** | **Dec. 31, 2020** | **Dec. 31, 2021** | **Dec. 31, 2020** |\n| **Total Fund Assets** | | | | | |\n| Beginning assets<sup>5</sup> | $136297 | $135161 | $110811 | $123713 | $107724 |\n| Sales | 10094 | 11139 | 12204 | 49125 | 46401 |\n| Redemptions | (11955) | (9702) | (9020) | (44368) | (40974) |\n| Net sales (redemptions) | (1861) | 1437 | 3184 | 4757 | 5427 |\n| Net exchanges | (11) | 55 | (18) | (356) | (103) |\n| Acquisitions/(dispositions) | 0 | 560 | 0 | 560 | 0 |\n| Impact of foreign exchange<sup>1</sup> | 4 | (699) | 1258 | (774) | 1038 |\n| Market gains and (losses)<sup>2</sup> | 865 | (217) | 8478 | 7394 | 9627 |\n| Ending assets | $135294 | $136297 | $123713 | $135294 | $123713 |\n| **Total Separate Accounts Assets**<sup>3</sup> | | | | | |\n| Beginning assets | $84110 | $80807 | $71023 | $75384 | $72611 |\n| Sales<sup>4</sup> | 3968 | 7518 | 3084 | 20454 | 14426 |\n| Redemptions<sup>4</sup> | (4168) | (3245) | (3900) | (16243) | (15224) |\n| Net sales (redemptions)<sup>4</sup> | (200) | 4273 | (816) | 4211 | (798) |\n| Net exchanges | 0 | (50) | 0 | 356 | (6) |\n| Acquisitions/(dispositions) | 0 | 0 | 0 | 0 | 380 |\n| Impact of foreign exchange<sup>1</sup> | (68) | (454) | 930 | (710) | 963 |\n| Market gains and (losses)<sup>2</sup> | 1830 | (466) | 4247 | 6431 | 2234 |\n| Ending assets | $85672 | $84110 | $75384 | $85672 | $75384 |\n| **Total Long-term Assets**<sup>3</sup> | | | | | |\n| Beginning assets<sup>5</sup> | $220407 | $215968 | $181834 | $199097 | $180335 |\n| Sales<sup>4</sup> | 14062 | 18657 | 15288 | 69579 | 60827 |\n| Redemptions<sup>4</sup> | (16123) | (12947) | (12920) | (60611) | (56198) |\n| Net sales (redemptions)<sup>4</sup> | (2061) | 5710 | 2368 | 8968 | 4629 |\n| Net exchanges | (11) | 5 | (18) | 0 | (109) |\n| Acquisitions/(dispositions) | 0 | 560 | 0 | 560 | 380 |\n| Impact of foreign exchange<sup>1</sup> | (64) | (1153) | 2188 | (1484) | 2001 |\n| Market gains and (losses)<sup>2</sup> | 2695 | (683) | 12725 | 13825 | 11861 |\n| Ending assets | $220966 | $220407 | $199097 | $220966 | $199097 |\n\n---\n\n\n\n*1) Reflects the impact of translating non-U.S. dollar denominated AUM into U.S. dollars for reporting purposes.* \n\n*2) Reflects the approximate changes in the fair value of the securities held by the portfolios and, to a lesser extent, reinvested dividends, distributions and net investment income.*\n\n*3) Includes separately managed accounts, institutional accounts, certain sub-advised funds and other managed products.*\n\n*4) For certain accounts, Sales and Redemptions are calculated as the remaining difference between beginning and ending assets after the calculation of total investment return.*\n\n*5) The beginning assets for the year ended December 31, 2020 includes $8.2 billion of fund assets managed by a previously non-consolidated entity, HGPE, in which Federated Hermes held an equity method investment. Effective March 1, 2020, HGPE became a consolidated subsidiary.*\n\n\n\n------\n\n---\n\n\n\n| | |\n|:---|:---|\n| **Federated Hermes reports Q4 and full-year 2021 earnings** | **Page 11 of 13** |\n\n---\n\n\n\n---\n\n\n\n| | | | | | |\n|:---|:---|:---|:---|:---|:---|\n| ***Unaudited Managed Assets***<br> *(in millions)* | **Dec. 31, 2021** | **Sept. 30, 2021** | **June 30, 2021** | **March 31, 2021** | **Dec. 31, 2020** |\n| **<u>By Asset Class</u>** | | | | | |\n| Equity | $96716 | $97425 | $100506 | $96170 | $91788 |\n| Fixed-income | 97550 | 97226 | 90801 | 86464 | 84277 |\n| Alternative / private markets | 22920 | 22064 | 20962 | 19301 | 19084 |\n| Multi-asset | 3780 | 3692 | 3699 | 3981 | 3948 |\n| Total long-term assets | 220966 | 220407 | 215968 | 205916 | 199097 |\n| Money market | 447907 | 413713 | 429804 | 419080 | 420333 |\n| *Total Managed Assets* | $668873 | $634120 | $645772 | $624996 | $619430 |\n| **<u>By Product Type</u>** | | | | | |\n| **Funds:** | | | | | |\n| Equity | $57036 | $58218 | $59933 | $56767 | $54312 |\n| Fixed-income | 59862 | 60262 | 58486 | 55581 | 53557 |\n| Alternative / private markets | 14788 | 14299 | 13225 | 12231 | 12100 |\n| Multi-asset | 3608 | 3518 | 3517 | 3797 | 3744 |\n| Total long-term assets | 135294 | 136297 | 135161 | 128376 | 123713 |\n| Money market | 312834 | 292311 | 301971 | 297182 | 301855 |\n| *Total Fund Assets* | $448128 | $428608 | $437132 | $425558 | $425568 |\n| **Separate Accounts:** | | | | | |\n| Equity | $39680 | $39207 | $40573 | $39403 | $37476 |\n| Fixed-income | 37688 | 36964 | 32315 | 30883 | 30720 |\n| Alternative / private markets | 8132 | 7765 | 7737 | 7070 | 6984 |\n| Multi-asset | 172 | 174 | 182 | 184 | 204 |\n| Total long-term assets | 85672 | 84110 | 80807 | 77540 | 75384 |\n| Money market | 135073 | 121402 | 127833 | 121898 | 118478 |\n| *Total Separate Account Assets* | $220745 | $205512 | $208640 | $199438 | $193862 |\n| *Total Managed Assets* | $668873 | $634120 | $645772 | $624996 | $619430 |\n\n---\n\n\n\n\n\n\n------\n\n---\n\n\n\n| | |\n|:---|:---|\n| **Federated Hermes reports Q4 and full-year 2021 earnings** | **Page 12 of 13** |\n\n---\n\n\n\n---\n\n\n\n| | | | | | |\n|:---|:---|:---|:---|:---|:---|\n| ***Unaudited Average Managed Assets*** | **Quarter Ended** | **Quarter Ended** | **Quarter Ended** | **Quarter Ended** | **Quarter Ended** |\n| *(in millions)* | **Dec. 31, 2021** | **Sept. 30, 2021** | **June 30, 2021** | **March 31, 2021** | **Dec. 31, 2020** |\n| **<u>By Asset Class</u>** | | | | | |\n| Equity | $97751 | $100076 | $99165 | $95167 | $85572 |\n| Fixed-income | 97229 | 93685 | 88405 | 86939 | 82144 |\n| Alternative / private markets | 22243 | 21446 | 20047 | 19278 | 18549 |\n| Multi-asset | 3763 | 3713 | 4067 | 3974 | 3831 |\n| Total long-term assets | 220986 | 218920 | 211684 | 205358 | 190096 |\n| Money market | 419392 | 414141 | 427993 | 412720 | 420436 |\n| *Total Avg. Managed Assets* | $640378 | $633061 | $639677 | $618078 | $610532 |\n| **<u>By Product Type</u>** | | | | | |\n| **Funds:** | | | | | |\n| Equity | $58290 | $59918 | $58662 | $56832 | $50022 |\n| Fixed-income | 60339 | 59618 | 57006 | 55416 | 51934 |\n| Alternative / private markets | 14419 | 13704 | 12703 | 12239 | 11670 |\n| Multi-asset | 3590 | 3533 | 3880 | 3783 | 3634 |\n| Total long-term assets | 136638 | 136773 | 132251 | 128270 | 117260 |\n| Money market | 294618 | 289566 | 301990 | 288403 | 311769 |\n| *Total Avg. Fund Assets* | $431256 | $426339 | $434241 | $416673 | $429029 |\n| **Separate Accounts:** | | | | | |\n| Equity | $39461 | $40158 | $40503 | $38335 | $35550 |\n| Fixed-income | 36890 | 34067 | 31399 | 31523 | 30210 |\n| Alternative / private markets | 7824 | 7742 | 7344 | 7039 | 6879 |\n| Multi-asset | 173 | 180 | 187 | 191 | 197 |\n| Total long-term assets | 84348 | 82147 | 79433 | 77088 | 72836 |\n| Money market | 124774 | 124575 | 126003 | 124317 | 108667 |\n| *Total Avg. Separate Account Assets* | $209122 | $206722 | $205436 | $201405 | $181503 |\n| *Total Avg. Managed Assets* | $640378 | $633061 | $639677 | $618078 | $610532 |\n\n---\n\n\n\n\n\n\n\n------\n\n---\n\n\n\n| | |\n|:---|:---|\n| **Federated Hermes reports Q4 and full-year 2021 earnings** | **Page 13 of 13** |\n\n---\n\n\n\n---\n\n\n\n| | | |\n|:---|:---|:---|\n| ***Unaudited Average Managed Assets*** | **Year Ended** | **Year Ended** |\n| (*in millions)* | **Dec. 31, 2021** | **Dec. 31, 2020** |\n| **<u>By Asset Class</u>** | | |\n| Equity | $98040 | $80591 |\n| Fixed-income | 91564 | 74403 |\n| Alternative / private markets<sup>1</sup> | 20754 | 18206 |\n| Multi-asset | 3879 | 3813 |\n| Total long-term assets | 214237 | 177013 |\n| Money market | 418562 | 436895 |\n| *Total Avg. Managed Assets* | $632799 | $613908 |\n| **<u>By Product Type</u>** | | |\n| **Funds:** | | |\n| Equity | $58426 | $45585 |\n| Fixed-income | 58095 | 46899 |\n| Alternative / private markets<sup>1</sup> | 13266 | 11424 |\n| Multi-asset | 3696 | 3622 |\n| Total long-term assets | 133483 | 107530 |\n| Money market | 293644 | 324490 |\n| *Total Avg. Fund Assets* | $427127 | $432020 |\n| **Separate Accounts:** | | |\n| Equity | $39614 | $35006 |\n| Fixed-income | 33469 | 27504 |\n| Alternative / private markets | 7488 | 6782 |\n| Multi-asset | 183 | 191 |\n| Total long-term assets | 80754 | 69483 |\n| Money market | 124918 | 112405 |\n| *Total Avg. Separate Account Assets* | $205672 | $181888 |\n| *Total Avg. Managed Assets* | $632799 | $613908 |\n\n---\n\n\n\n*1) The average balance at Dec. 31, 2020 includes $8.2 billion of assets managed by a previously nonconsolidated entity, Hermes GPE LLP, in which Federated Hermes held an equity method investment. As of March 1, 2020, Hermes GPE LLP is a consolidated subsidiary as a result of Federated Hermes' acquisition of the remaining equity interests in Hermes GPE LLP.*\n\n\n<br>"},"char_count":{"kind":"number","value":52038,"string":"52,038"},"md5":{"kind":"string","value":"266705f3842f931d3e822e10d5d4a7f2"},"has_ocr":{"kind":"bool","value":false,"string":"false"},"source_format":{"kind":"string","value":""}}},{"rowIdx":299,"cells":{"accession":{"kind":"string","value":"0001056288"},"file_stem":{"kind":"string","value":"0000834237-22-000865"},"year":{"kind":"number","value":2022,"string":"2,022"},"month":{"kind":"number","value":1,"string":"1"},"parsed_md":{"kind":"string","value":"## Filing Summary\n**0000834237-22-000865.hdr.sgml**: 20220126\n\n**ACCESSION NUMBER**: 0000834237-22-000865\n\n**CONFORMED SUBMISSION TYPE**: SC 13G/A\n\n**PUBLIC DOCUMENT COUNT**: 1\n\n**FILED AS OF DATE**: 20220126\n\n**DATE AS OF CHANGE**: 20220125\n\n**SUBJECT COMPANY**: \n\n\n**COMPANY DATA:**\n- **COMPANY CONFORMED NAME:** FEDERATED HERMES, INC.\n- **CENTRAL INDEX KEY:** 0001056288\n- **STANDARD INDUSTRIAL CLASSIFICATION:** INVESTMENT ADVICE [6282]\n- **IRS NUMBER:** 251111467\n- **STATE OF INCORPORATION:** PA\n- **FISCAL YEAR END:** 1231\n\n**FILING VALUES:**\n- **FORM TYPE:** SC 13G/A\n- **SEC ACT:** 1934 Act\n- **SEC FILE NUMBER:** 005-78078\n- **FILM NUMBER:** 22555243\n\n**BUSINESS ADDRESS:**\n- **STREET 1:** 1001 LIBERTY AVENUE\n- **CITY:** PITTSBURGH\n- **STATE:** PA\n- **ZIP:** 15222\n- **BUSINESS PHONE:** 4122881900\n\n**MAIL ADDRESS:**\n- **STREET 1:** 1001 LIBERTY AVENUE\n- **CITY:** PITTSBURGH\n- **STATE:** PA\n- **ZIP:** 15222\n\n**FORMER COMPANY:**\n- **FORMER CONFORMED NAME:** FEDERATED INVESTORS INC /PA/\n- **DATE OF NAME CHANGE:** 20200130\n\n**FORMER COMPANY:**\n- **FORMER CONFORMED NAME:** FEDERATED HERMES, INC.\n- **DATE OF NAME CHANGE:** 20200130\n\n**FORMER COMPANY:**\n- **FORMER CONFORMED NAME:** FEDERATED INVESTORS INC /PA/\n- **DATE OF NAME CHANGE:** 19980219\n**FILED BY**: \n\n\n**COMPANY DATA:**\n- **COMPANY CONFORMED NAME:** BlackRock Inc.\n- **CENTRAL INDEX KEY:** 0001364742\n- **STANDARD INDUSTRIAL CLASSIFICATION:** SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211]\n- **IRS NUMBER:** 320174431\n- **STATE OF INCORPORATION:** DE\n- **FISCAL YEAR END:** 1231\n\n**FILING VALUES:**\n- **FORM TYPE:** SC 13G/A\n\n**BUSINESS ADDRESS:**\n- **STREET 1:** 55 EAST 52ND STREET\n- **CITY:** NEW YORK\n- **STATE:** NY\n- **ZIP:** 10055\n- **BUSINESS PHONE:** 212-810-5300\n\n**MAIL ADDRESS:**\n- **STREET 1:** 55 EAST 52ND STREET\n- **CITY:** NEW YORK\n- **STATE:** NY\n- **ZIP:** 10055\n\n**FORMER COMPANY:**\n- **FORMER CONFORMED NAME:** BlackRock, Inc.\n- **DATE OF NAME CHANGE:** 20060929\n\n**FORMER COMPANY:**\n- **FORMER CONFORMED NAME:** New BlackRock, Inc.\n- **DATE OF NAME CHANGE:** 20060601\n\n\n```\n\nus3142111034_012522.txt\n\nSECURITIES AND EXCHANGE COMMISSION\n\nWashington, D.C. 20549\n\nSCHEDULE 13G\n\nUnder the Securities Exchange Act of 1934\n\n(Amendment No: 9)\n\nFEDERATED HERMES, INC\n--------------------------------------------------------\n(Name of Issuer)\n\n Class B Common Stock\n--------------------------------------------------------\n(Title of Class of Securities)\n\n314211103\n--------------------------------------------------------\n(CUSIP Number)\n\nDecember 31, 2021\n--------------------------------------------------------\n(Date of Event Which Requires Filing of this Statement)\n\nCheck the appropriate box to designate the rule pursuant to\nwhich this Schedule is filed:\n\n[X] Rule 13d-1(b)\n[ ] Rule 13d-1(c)\n[ ] Rule 13d-1(d)\n\n*The remainder of this cover page shall be filled out\nfor a reporting person's initial filing on this form with\nrespect to the subject class of securities, and for any\nsubsequent amendment containing information which\nwould alter the disclosures provided in a prior cover page.\n\nThe information required in the remainder of this cover\npage shall not be deemed to be \"filed\" for the purpose\nof Section 18 of the Securities Exchange Act of 1934\n(\"Act\") or otherwise subject to the liabilities of that\nsection of the Act but shall be subject to all other\nprovisions of the Act (however, see the Notes).\n\nCUSIP No. 314211103\n\n(1)Names of reporting persons. BlackRock, Inc.\n\n(2) Check the appropriate box if a member of a group\n(a) [ ]\n(b) [X]\n\n(3) SEC use only\n\n(4) Citizenship or place of organization\n\nDelaware\n\nNumber of shares beneficially owned by each reporting person with:\n\n(5) Sole voting power\n\n 12369252\n\n(6) Shared voting power\n\n 0\n\n(7) Sole dispositive power\n\n 12535215\n\n(8) Shared dispositive power\n\n 0\n\n(9) Aggregate amount beneficially owned by each reporting person\n\n 12535215\n\n(10) Check if the aggregate amount in Row (9) excludes certain shares\n\n(11) Percent of class represented by amount in Row 9\n\n 12.9%\n\n(12) Type of reporting person\n\nHC\n\nItem 1.\n\nItem 1(a) Name of issuer:\n-----------------------------------------------------------------------\n\nFEDERATED HERMES, INC\n\nItem 1(b) Address of issuer's principal executive offices:\n-----------------------------------------------------------------------\n\n1001 LIBERTY AVENUE\nPITTSBURGH PA 15222\n\nItem 2.\n\n2(a) Name of person filing:\n----------------------------------------------------------------------\nBlackRock, Inc.\n\n2(b) Address or principal business office or, if none, residence:\n-----------------------------------------------------------------------\nBlackRock, Inc.\n55 East 52nd Street\nNew York, NY 10055\n\n2(c) Citizenship:\n--------------------------------------------------------------------\n See Item 4 of Cover Page\n\n2(d) Title of class of securities:\n-------------------------------------------------------------------\n\n Class B Common Stock\n\n2(e) CUSIP No.:\nSee Cover Page\n\nItem 3.\n\nIf this statement is filed pursuant to Rules 13d-1(b), or 13d-2(b) or (c),\ncheck whether the person filing is a:\n[ ] Broker or dealer registered under Section 15 of the Act;\n[ ] Bank as defined in Section 3(a)(6) of the Act;\n[ ] Insurance company as defined in Section 3(a)(19) of the Act;\n[ ] Investment company registered under Section 8 of the\nInvestment Company Act of 1940;\n[ ] An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E);\n[ ] An employee benefit plan or endowment fund in accordance with\n Rule 13d-1(b)(1)(ii)(F);\n[X] A parent holding company or control person in accordance with\n Rule 13d-1(b)(1)(ii)(G);\n[ ] A savings associations as defined in Section 3(b) of the Federal\n Deposit Insurance Act (12 U.S.C. 1813);\n[ ] A church plan that is excluded from the definition of an\n investment company under section 3(c)(14) of the Investment Company\n Act of 1940;\n[ ] A non-U.S. institution in accordance with\n Rule 240.13d-1(b)(1)(ii)(J);\n[ ] Group, in accordance with Rule 240.13d-1(b)(1)(ii)(K). If filing\n as a non-U.S. institution in accordance with\n Rule 240.13d-1(b)(1)(ii)(J), please specify the type of\n institution:\n\nItem 4. Ownership\n\nProvide the following information regarding the aggregate number\nand percentage of the class of securities of the issuer identified in Item 1.\n\nAmount beneficially owned:\n\n 12535215\n\nPercent of class\n\n12.9%\n\nNumber of shares as to which such person has:\n\nSole power to vote or to direct the vote\n\n 12369252\n\nShared power to vote or to direct the vote\n\n 0\n\nSole power to dispose or to direct the disposition of\n\n 12535215\n\nShared power to dispose or to direct the disposition of\n\n 0\n\nItem 5.\n\nOwnership of 5 Percent or Less of a Class. If this statement is being\nfiled to report the fact that as of the date hereof the reporting person\nhas ceased to be the beneficial owner of more than 5 percent of the\nclass of securities, check the following [ ].\n\nItem 6. Ownership of More than 5 Percent on Behalf of Another Person\n\n If any other person is known to have the right to receive or the power\n to direct the receipt of dividends from, or the proceeds from the sale\n of, such securities, a statement to that effect should be included in\n response to this item and, if such interest relates to more than 5 percent\n of the class, such person should be identified. A listing of the\n shareholders of an investment company registered under the Investment\n Company Act of 1940 or the beneficiaries of employee benefit plan,\n pension fund or endowment fund is not required.\n\n Various persons have the right to receive or the power to direct\n the receipt of dividends from, or the proceeds from the sale of\n the common stock of\n FEDERATED HERMES, INC.\n No one person's interest in the common stock of\n FEDERATED HERMES, INC\n is more than five percent of the total outstanding common shares.\n\nItem 7. Identification and Classification of the Subsidiary Which\nAcquired the Security Being Reported on by the Parent Holding\nCompany or Control Person.\n\nSee Exhibit A\n\nItem 8. Identification and Classification of Members of the Group\n\nIf a group has filed this schedule pursuant to Rule 13d-1(b)(ii)(J),\nso indicate under Item 3(j) and attach an exhibit stating the identity\nand Item 3 classification of each member of the group. If a group\nhas filed this schedule pursuant to Rule 13d-1(c) or Rule 13d-1(d),\nattach an exhibit stating the identity of each member of the group.\n\nItem 9. Notice of Dissolution of Group\n\nNotice of dissolution of a group may be furnished as an exhibit\nstating the date of the dissolution and that all further filings with\nrespect to transactions in the security reported on will be filed,\nif required, by members of the group, in their individual capacity.\n\nSee Item 5.\n\nItem 10. Certifications\nBy signing below I certify that, to the best of my knowledge and\nbelief, the securities referred to above were acquired and are\nheld in the ordinary course of business and were not acquired\nand are not held for the purpose of or with the effect of changing\nor influencing the control of the issuer of the securities and were\nnot acquired and are not held in connection with or as a participant\nin any transaction having that purpose or effect.\n\nSignature.\n\nAfter reasonable inquiry and to the best of my knowledge and\nbelief, I certify that the information set forth in this statement\nis true, complete and correct.\n\nDated: January 25, 2022\nBlackRock, Inc.\n\nSignature: Spencer Fleming\n\n-------------------------------------------\n\nName/Title Attorney-In-Fact\n\nThe original statement shall be signed by each person on whose\nbehalf the statement is filed or his authorized representative.\nIf the statement is signed on behalf of a person by his authorized\nrepresentative other than an executive officer or general partner\nof the filing person, evidence of the representative's authority to\nsign on behalf of such person shall be filed with the statement,\nprovided, however, that a power of attorney for this purpose\nwhich is already on file with the Commission may be incorporated\nby reference. The name and any title of each person who\nsigns the statement shall be typed or printed beneath his signature.\n\nAttention: Intentional misstatements or omissions of fact constitute\nFederal criminal violations (see 18 U.S.C. 1001).\n\nExhibit A\n\nSubsidiary\n\n BlackRock Life Limited\n BlackRock Advisors, LLC\n Aperio Group, LLC\n BlackRock (Netherlands) B.V.\n BlackRock Fund Advisors*\n BlackRock Institutional Trust Company, National Association\n BlackRock Asset Management Ireland Limited\n BlackRock Financial Management, Inc.\n BlackRock Asset Management Schweiz AG\n BlackRock Investment Management, LLC\n BlackRock Investment Management (UK) Limited\n BlackRock Asset Management Canada Limited\n BlackRock Asset Management Deutschland AG\n BlackRock Investment Management (Australia) Limited\n BlackRock Fund Managers Ltd\n\n*Entity beneficially owns 5% or greater of the outstanding\nshares of the security class being reported on this\nSchedule 13G.\nExhibit B\n\nPOWER OF ATTORNEY\n\nThe undersigned, BLACKROCK, INC., a corporation duly organized\nunder the laws of the State of Delaware, United States (the\n\"Company\"), does hereby make, constitute and appoint each of\nChristopher Meade, Daniel Waltcher, Una Neary, Richard Cundiff,\nCharles Park, Enda McMahon, Arlene Klein, Con Tzatzakis, Karen Clark,\nDavid Maryles, Daniel Ronnen, John Stelley, Daniel Riemer,\nElizabeth Kogut, Maureen Gleeson, Daniel Kalish and Spencer Fleming acting\nseverally, as its true and lawful attorneys-in-fact, for the purpose of, from\ntime to time, executing in its name and on its behalf, whether the Company\nindividually or as representative of others, any and all documents, is acting\ncertificates, instruments, statements, other filings and amendments to the\nforegoing (collectively, \"documents\") determined by such person to\nbe necessary or appropriate to comply with ownership or control-person\nreporting requirements imposed by any United States or non-United States\ngovernmental or regulatory authority, Including without limitation\nForms 3, 4, 5, 13D, 13F, 13G and 13H and any amendments to any of the\nForegoing as may be required to be filed with the Securities and\nExchange Commission, and delivering, furnishing or filing any\nsuch documents with the appropriate governmental, regulatory\nauthority or other person, and giving and granting to each such\nattorney-in-fact power and authority to act in the premises as fully\nand to all intents and purposes as the Company might or could\ndo if personally present by one of its authorized signatories,\nhereby ratifying and confirming all that said attorney-in-fact shall\nlawfully do or cause to be done by virtue hereof. Any such\ndetermination by an attorney-in-fact named herein shall be\nconclusively evidenced by such person's execution, delivery,\nfurnishing or filing of the applicable document.\n\nThis power of attorney shall expressly revoke the power of attorney\ndated 8th day of December, 2015 in respect of the subject matter hereof,\nshall be valid from the date hereof and shall remain in full force and\neffect until either revoked in writing by the Company, or, in respect of\nany attorney-in-fact named herein, until such person ceases to be an\nemployee of the Company or one of its affiliates.\n\nIN WITNESS WHEREOF, the undersigned has caused this power of\nattorney to be executed as of this 2nd day of January, 2019.\n\nBLACKROCK, INC.\n\nBy:_ /s/ Daniel Waltcher\nName: Daniel Waltcher\nTitle: Deputy General Counsel\n\n\n```"},"char_count":{"kind":"number","value":13624,"string":"13,624"},"md5":{"kind":"string","value":"7f247c271e50bc528656b49414f11c10"},"has_ocr":{"kind":"bool","value":false,"string":"false"},"source_format":{"kind":"string","value":""}}}],"truncated":false,"partial":false},"paginationData":{"pageIndex":2,"numItemsPerPage":100,"numTotalItems":3775646,"offset":200,"length":100}},"jwt":"eyJhbGciOiJFZERTQSIsImtpZCI6IjVHZDBvd0g5MTM2eDZjc1FvbE1zcktNWUZoRVFoUm5PVVVybEpjOUhaUEEifQ.eyJyZWFkIjp0cnVlLCJwZXJtaXNzaW9ucyI6eyJyZXBvLmNvbnRlbnQucmVhZCI6dHJ1ZX0sImlhdCI6MTc4NzU3NDYyMiwianRpIjoiMGFkZjg0YjUtYzg1OC00NjBmLTk2ZjUtMjM4ZmU0MjExNmZmIiwic3ViIjoiL2RhdGFzZXRzL2Fub255bW91cy1tZC9FREdBUl9GSUxJTkdTX0RBVEFTRVQiLCJleHAiOjE3ODc1NzgyMjIsImlzcyI6Imh0dHBzOi8vaHVnZ2luZ2ZhY2UuY28ifQ.ZaREFPt8LgQ3W1zhAtAv1eUfuR9qEcEFVbkr8tlhAS5PWUPCUgAURtZT04LlhhJAXGGgXbZ6C9qm2Bz85uKAAA","displayUrls":true,"splitSizeSummaries":[{"config":"default","split":"train","numRows":3775646,"numBytesParquet":41390751225}]},"discussionsStats":{"closed":1,"open":1,"total":2},"fullWidth":true,"hasGatedAccess":true,"hasFullAccess":true,"isEmbedded":false,"savedQueries":{"community":[],"user":[]}}">
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0001760346 | 0001127602-22-001051 | 2,022 | 1 | ## Filing Summary
**0001127602-22-001051.hdr.sgml**: 20220106
**ACCESSION NUMBER**: 0001127602-22-001051
**CONFORMED SUBMISSION TYPE**: 4
**PUBLIC DOCUMENT COUNT**: 1
**CONFORMED PERIOD OF REPORT**: 20220104
**FILED AS OF DATE**: 20220106
**DATE AS OF CHANGE**: 20220106
**REPORTING-OWNER**:
**OWNER DATA:**
- ... | 7,104 | 36d5df47fe6a4dad6ac5b2e776dc35fa | false | |
0001235112 | 0001209191-22-002224 | 2,022 | 1 | ## Filing Summary
**0001209191-22-002224.hdr.sgml**: 20220106
**ACCESSION NUMBER**: 0001209191-22-002224
**CONFORMED SUBMISSION TYPE**: 4
**PUBLIC DOCUMENT COUNT**: 1
**CONFORMED PERIOD OF REPORT**: 20220104
**FILED AS OF DATE**: 20220106
**DATE AS OF CHANGE**: 20220106
**REPORTING-OWNER**:
**OWNER DATA:**
- ... | 15,297 | b76118ef125214a405ce7a58fb638bb9 | false | |
0001235112 | 0001209191-22-003357 | 2,022 | 1 | ## Filing Summary
**0001209191-22-003357.hdr.sgml**: 20220114
**ACCESSION NUMBER**: 0001209191-22-003357
**CONFORMED SUBMISSION TYPE**: 4
**PUBLIC DOCUMENT COUNT**: 1
**CONFORMED PERIOD OF REPORT**: 20220112
**FILED AS OF DATE**: 20220114
**DATE AS OF CHANGE**: 20220114
**REPORTING-OWNER**:
**OWNER DATA:**
- ... | 15,295 | d8f4f7ac7979c144c434c45f12204fad | false | |
0001235112 | 0001209191-22-004877 | 2,022 | 1 | ## Filing Summary
**0001209191-22-004877.hdr.sgml**: 20220125
**ACCESSION NUMBER**: 0001209191-22-004877
**CONFORMED SUBMISSION TYPE**: 4
**PUBLIC DOCUMENT COUNT**: 1
**CONFORMED PERIOD OF REPORT**: 20220121
**FILED AS OF DATE**: 20220125
**DATE AS OF CHANGE**: 20220125
**REPORTING-OWNER**:
**OWNER DATA:**
- ... | 15,303 | 89255a92c80c1c523bcae601dbb36acb | false | |
0001235112 | 0001209191-22-002930 | 2,022 | 1 | ## Filing Summary
**0001209191-22-002930.hdr.sgml**: 20220111
**ACCESSION NUMBER**: 0001209191-22-002930
**CONFORMED SUBMISSION TYPE**: 4
**PUBLIC DOCUMENT COUNT**: 1
**CONFORMED PERIOD OF REPORT**: 20220107
**FILED AS OF DATE**: 20220111
**DATE AS OF CHANGE**: 20220111
**REPORTING-OWNER**:
**OWNER DATA:**
- ... | 15,294 | 76663ed0f8e090c45b68c6a5b1042660 | false | |
0001235112 | 0001209191-22-004110 | 2,022 | 1 | ## Filing Summary
**0001209191-22-004110.hdr.sgml**: 20220120
**ACCESSION NUMBER**: 0001209191-22-004110
**CONFORMED SUBMISSION TYPE**: 4
**PUBLIC DOCUMENT COUNT**: 1
**CONFORMED PERIOD OF REPORT**: 20220118
**FILED AS OF DATE**: 20220120
**DATE AS OF CHANGE**: 20220120
**REPORTING-OWNER**:
**OWNER DATA:**
- ... | 15,296 | a7b3d7bd248be855774acf8ae6546b6a | false | |
0001235112 | 0001209191-22-000354 | 2,022 | 1 | ## Filing Summary
**0001209191-22-000354.hdr.sgml**: 20220103
**ACCESSION NUMBER**: 0001209191-22-000354
**CONFORMED SUBMISSION TYPE**: 4
**PUBLIC DOCUMENT COUNT**: 1
**CONFORMED PERIOD OF REPORT**: 20211230
**FILED AS OF DATE**: 20220103
**DATE AS OF CHANGE**: 20220103
**REPORTING-OWNER**:
**OWNER DATA:**
- ... | 15,777 | 8eed6cf401721d572a71bdd9f302b91b | false | |
0001235112 | 0001209191-22-005111 | 2,022 | 1 | ## Filing Summary
**0001209191-22-005111.hdr.sgml**: 20220126
**ACCESSION NUMBER**: 0001209191-22-005111
**CONFORMED SUBMISSION TYPE**: 4
**PUBLIC DOCUMENT COUNT**: 1
**CONFORMED PERIOD OF REPORT**: 20220125
**FILED AS OF DATE**: 20220126
**DATE AS OF CHANGE**: 20220126
**REPORTING-OWNER**:
**OWNER DATA:**
- ... | 14,878 | c549b772a746da91c1e799046e3f2668 | false | |
0001799980 | 0000902664-22-000254 | 2,022 | 1 | ## Filing Summary
**0000902664-22-000254.hdr.sgml**: 20220114
**ACCESSION NUMBER**: 0000902664-22-000254
**CONFORMED SUBMISSION TYPE**: D/A
**PUBLIC DOCUMENT COUNT**: 1
**ITEM INFORMATION**: <ITEMS>06b
**ITEM INFORMATION**: Investment Company Act Section 3(c)
**ITEM INFORMATION**: Section 3(c)(7)
**FILED AS OF D... | 11,163 | 8043420e5f1f898630df81b40d2ddc8e | false | |
0000037785 | 0000037785-22-000004 | 2,022 | 1 | ## Filing Summary
**0000037785-22-000004.hdr.sgml**: 20220131
**ACCESSION NUMBER**: 0000037785-22-000004
**CONFORMED SUBMISSION TYPE**: 8-K
**PUBLIC DOCUMENT COUNT**: 13
**CONFORMED PERIOD OF REPORT**: 20220131
**ITEM INFORMATION**: Temporary Suspension of Trading Under Registrant's Employee Benefit Plans
**FILED... | 12,412 | e1a6b06ed2a61746586ae7e7f685938e | false | |
0000037785 | 0001127602-22-000326 | 2,022 | 1 | ## Filing Summary
**0001127602-22-000326.hdr.sgml**: 20220104
**ACCESSION NUMBER**: 0001127602-22-000326
**CONFORMED SUBMISSION TYPE**: 4
**PUBLIC DOCUMENT COUNT**: 1
**CONFORMED PERIOD OF REPORT**: 20220103
**FILED AS OF DATE**: 20220104
**DATE AS OF CHANGE**: 20220104
**REPORTING-OWNER**:
**OWNER DATA:**
- ... | 5,671 | 60cbf7648ee29189c2177d1df84a9a49 | false | |
0000037785 | 0001127602-22-001806 | 2,022 | 1 | ## Filing Summary
**0001127602-22-001806.hdr.sgml**: 20220121
**ACCESSION NUMBER**: 0001127602-22-001806
**CONFORMED SUBMISSION TYPE**: 4
**PUBLIC DOCUMENT COUNT**: 1
**CONFORMED PERIOD OF REPORT**: 20220120
**FILED AS OF DATE**: 20220121
**DATE AS OF CHANGE**: 20220121
**REPORTING-OWNER**:
**OWNER DATA:**
- ... | 5,813 | d28a0caed421a12d2b0eda33bd753db0 | false | |
0000037785 | 0001127602-22-001798 | 2,022 | 1 | ## Filing Summary
**0001127602-22-001798.hdr.sgml**: 20220121
**ACCESSION NUMBER**: 0001127602-22-001798
**CONFORMED SUBMISSION TYPE**: 4
**PUBLIC DOCUMENT COUNT**: 1
**CONFORMED PERIOD OF REPORT**: 20220120
**FILED AS OF DATE**: 20220121
**DATE AS OF CHANGE**: 20220121
**REPORTING-OWNER**:
**OWNER DATA:**
- ... | 5,705 | bb4e9efc9c2908acba2ccdf452d5993b | false | |
0000037785 | 0001127602-22-000323 | 2,022 | 1 | ## Filing Summary
**0001127602-22-000323.hdr.sgml**: 20220104
**ACCESSION NUMBER**: 0001127602-22-000323
**CONFORMED SUBMISSION TYPE**: 4
**PUBLIC DOCUMENT COUNT**: 1
**CONFORMED PERIOD OF REPORT**: 20220103
**FILED AS OF DATE**: 20220104
**DATE AS OF CHANGE**: 20220104
**REPORTING-OWNER**:
**OWNER DATA:**
- ... | 5,620 | 426049ff2bbbf2dcb1c42d839685893b | false | |
0000037785 | 0001127602-22-001809 | 2,022 | 1 | ## Filing Summary
**0001127602-22-001809.hdr.sgml**: 20220121
**ACCESSION NUMBER**: 0001127602-22-001809
**CONFORMED SUBMISSION TYPE**: 4
**PUBLIC DOCUMENT COUNT**: 1
**CONFORMED PERIOD OF REPORT**: 20220120
**FILED AS OF DATE**: 20220121
**DATE AS OF CHANGE**: 20220121
**REPORTING-OWNER**:
**OWNER DATA:**
- ... | 5,828 | c3dc574815f291edcc7787928022ea08 | false | |
0000037785 | 0001127602-22-001815 | 2,022 | 1 | ## Filing Summary
**0001127602-22-001815.hdr.sgml**: 20220121
**ACCESSION NUMBER**: 0001127602-22-001815
**CONFORMED SUBMISSION TYPE**: 4
**PUBLIC DOCUMENT COUNT**: 1
**CONFORMED PERIOD OF REPORT**: 20220120
**FILED AS OF DATE**: 20220121
**DATE AS OF CHANGE**: 20220121
**REPORTING-OWNER**:
**OWNER DATA:**
- ... | 5,895 | 88131246cc3b357fb393deb295353061 | false | |
0000037785 | 0001127602-22-001800 | 2,022 | 1 | ## Filing Summary
**0001127602-22-001800.hdr.sgml**: 20220121
**ACCESSION NUMBER**: 0001127602-22-001800
**CONFORMED SUBMISSION TYPE**: 4
**PUBLIC DOCUMENT COUNT**: 1
**CONFORMED PERIOD OF REPORT**: 20220120
**FILED AS OF DATE**: 20220121
**DATE AS OF CHANGE**: 20220121
**REPORTING-OWNER**:
**OWNER DATA:**
- ... | 5,785 | 761b78d2d53cbb997bd0b8f1a3ed2e71 | false | |
0000037785 | 0001127602-22-001802 | 2,022 | 1 | ## Filing Summary
**0001127602-22-001802.hdr.sgml**: 20220121
**ACCESSION NUMBER**: 0001127602-22-001802
**CONFORMED SUBMISSION TYPE**: 4
**PUBLIC DOCUMENT COUNT**: 1
**CONFORMED PERIOD OF REPORT**: 20220120
**FILED AS OF DATE**: 20220121
**DATE AS OF CHANGE**: 20220121
**REPORTING-OWNER**:
**OWNER DATA:**
- ... | 5,795 | 6d85dece5fad4a43d83be20f458d7fb9 | false | |
0000037785 | 0001127602-22-001818 | 2,022 | 1 | ## Filing Summary
**0001127602-22-001818.hdr.sgml**: 20220121
**ACCESSION NUMBER**: 0001127602-22-001818
**CONFORMED SUBMISSION TYPE**: 4
**PUBLIC DOCUMENT COUNT**: 1
**CONFORMED PERIOD OF REPORT**: 20220120
**FILED AS OF DATE**: 20220121
**DATE AS OF CHANGE**: 20220121
**REPORTING-OWNER**:
**OWNER DATA:**
- ... | 5,840 | 08f4dd27aa292f21267b925db790e767 | false | |
0000037785 | 0001127602-22-001804 | 2,022 | 1 | ## Filing Summary
**0001127602-22-001804.hdr.sgml**: 20220121
**ACCESSION NUMBER**: 0001127602-22-001804
**CONFORMED SUBMISSION TYPE**: 4
**PUBLIC DOCUMENT COUNT**: 1
**CONFORMED PERIOD OF REPORT**: 20220120
**FILED AS OF DATE**: 20220121
**DATE AS OF CHANGE**: 20220121
**REPORTING-OWNER**:
**OWNER DATA:**
- ... | 5,801 | 957d967342c0bab79810e69c5a9ac125 | false | |
0000037785 | 0001127602-22-001796 | 2,022 | 1 | ## Filing Summary
**0001127602-22-001796.hdr.sgml**: 20220121
**ACCESSION NUMBER**: 0001127602-22-001796
**CONFORMED SUBMISSION TYPE**: 4
**PUBLIC DOCUMENT COUNT**: 1
**CONFORMED PERIOD OF REPORT**: 20220120
**FILED AS OF DATE**: 20220121
**DATE AS OF CHANGE**: 20220121
**REPORTING-OWNER**:
**OWNER DATA:**
- ... | 5,845 | 4c74a3993965d52ca8c1c67d9852c5a8 | false | |
0001577445 | 0001493152-22-001470 | 2,022 | 1 | ## Filing Summary
**0001493152-22-001470.hdr.sgml**: 20220118
**ACCESSION NUMBER**: 0001493152-22-001470
**CONFORMED SUBMISSION TYPE**: 8-K
**PUBLIC DOCUMENT COUNT**: 34
**CONFORMED PERIOD OF REPORT**: 20220118
**ITEM INFORMATION**: Regulation FD Disclosure
**ITEM INFORMATION**: Financial Statements and Exhibits
... | 5,721 | 5788136a66e5c10d7066440a5263cfdf | false | |
0001189874 | 0001209191-22-003139 | 2,022 | 1 | ## Filing Summary
**0001209191-22-003139.hdr.sgml**: 20220112
**ACCESSION NUMBER**: 0001209191-22-003139
**CONFORMED SUBMISSION TYPE**: 4
**PUBLIC DOCUMENT COUNT**: 1
**CONFORMED PERIOD OF REPORT**: 20220110
**FILED AS OF DATE**: 20220112
**DATE AS OF CHANGE**: 20220112
**REPORTING-OWNER**:
**OWNER DATA:**
- ... | 6,522 | 1ddabb2126fe23fe938072a7b21c42f6 | false | |
0001186879 | 0001209191-22-001453 | 2,022 | 1 | ## Filing Summary
**0001209191-22-001453.hdr.sgml**: 20220105
**ACCESSION NUMBER**: 0001209191-22-001453
**CONFORMED SUBMISSION TYPE**: 4
**PUBLIC DOCUMENT COUNT**: 1
**CONFORMED PERIOD OF REPORT**: 20220103
**FILED AS OF DATE**: 20220105
**DATE AS OF CHANGE**: 20220105
**REPORTING-OWNER**:
**OWNER DATA:**
- ... | 6,139 | a145bf1c008a117f2e66981e33437b6a | false | |
0001186879 | 0001127602-22-000846 | 2,022 | 1 | ## Filing Summary
**0001127602-22-000846.hdr.sgml**: 20220105
**ACCESSION NUMBER**: 0001127602-22-000846
**CONFORMED SUBMISSION TYPE**: 4
**PUBLIC DOCUMENT COUNT**: 1
**CONFORMED PERIOD OF REPORT**: 20220103
**FILED AS OF DATE**: 20220105
**DATE AS OF CHANGE**: 20220105
**REPORTING-OWNER**:
**OWNER DATA:**
- ... | 6,013 | 6d862338048e28439a1094e6b436086e | false | |
0001900472 | 0001900472-22-000001 | 2,022 | 1 | ## Filing Summary
**0001900472-22-000001.hdr.sgml**: 20220118
**ACCESSION NUMBER**: 0001900472-22-000001
**CONFORMED SUBMISSION TYPE**: D
**PUBLIC DOCUMENT COUNT**: 1
**ITEM INFORMATION**: <ITEMS>06b
**FILED AS OF DATE**: 20220118
**DATE AS OF CHANGE**: 20220118
**EFFECTIVENESS DATE**: 20220118
**FILER**:
**... | 9,540 | 78d83a150f0bba32bf8977608a7956dc | false | |
0001837584 | 0001837584-22-000001 | 2,022 | 1 | ## Filing Summary
**0001837584-22-000001.hdr.sgml**: 20220104
**ACCESSION NUMBER**: 0001837584-22-000001
**CONFORMED SUBMISSION TYPE**: D/A
**PUBLIC DOCUMENT COUNT**: 1
**ITEM INFORMATION**: <ITEMS>06c
**ITEM INFORMATION**: Investment Company Act Section 3(c)
**ITEM INFORMATION**: Section 3(c)(7)
**FILED AS OF D... | 19,075 | 7ad4f05cb1709607f603cd4bcec49041 | false | |
0001393081 | 0000073124-22-000033 | 2,022 | 1 | ## Filing Summary
**0000073124-22-000033.hdr.sgml**: 20220120
**ACCESSION NUMBER**: 0000073124-22-000033
**CONFORMED SUBMISSION TYPE**: 4
**PUBLIC DOCUMENT COUNT**: 1
**CONFORMED PERIOD OF REPORT**: 20220118
**FILED AS OF DATE**: 20220120
**DATE AS OF CHANGE**: 20220120
**REPORTING-OWNER**:
**OWNER DATA:**
- ... | 6,009 | 562f30bd799bcb0b706c524e316ee213 | false | |
0001472595 | 0001193125-22-006726 | 2,022 | 1 | ## Filing Summary
**0001193125-22-006726.hdr.sgml**: 20220111
**ACCESSION NUMBER**: 0001193125-22-006726
**CONFORMED SUBMISSION TYPE**: 425
**PUBLIC DOCUMENT COUNT**: 1
**FILED AS OF DATE**: 20220111
**DATE AS OF CHANGE**: 20220111
**SUBJECT COMPANY**:
**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** R1 RCM INC... | 716,243 | ef428e6eb50851fce8fda19d534df245 | false | |
0001472595 | 0001628280-22-000275 | 2,022 | 1 | ## Filing Summary
**0001628280-22-000275.hdr.sgml**: 20220104
**ACCESSION NUMBER**: 0001628280-22-000275
**CONFORMED SUBMISSION TYPE**: 4
**PUBLIC DOCUMENT COUNT**: 1
**CONFORMED PERIOD OF REPORT**: 20211231
**FILED AS OF DATE**: 20220104
**DATE AS OF CHANGE**: 20220104
**REPORTING-OWNER**:
**OWNER DATA:**
- ... | 6,571 | 7f11b43024c90d2697be57ef68f8063c | false | |
0001472595 | 0001193125-22-005857 | 2,022 | 1 | ## Filing Summary
**0001193125-22-005857.hdr.sgml**: 20220110
**ACCESSION NUMBER**: 0001193125-22-005857
**CONFORMED SUBMISSION TYPE**: 425
**PUBLIC DOCUMENT COUNT**: 1
**FILED AS OF DATE**: 20220110
**DATE AS OF CHANGE**: 20220110
**SUBJECT COMPANY**:
**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** R1 RCM INC... | 14,515 | 8e3b29cff7cdf3cca27fa16f8c540191 | false | |
0001472595 | 0001193125-22-005880 | 2,022 | 1 | ## Filing Summary
**0001193125-22-005880.hdr.sgml**: 20220111
**ACCESSION NUMBER**: 0001193125-22-005880
**CONFORMED SUBMISSION TYPE**: 425
**PUBLIC DOCUMENT COUNT**: 2
**FILED AS OF DATE**: 20220111
**DATE AS OF CHANGE**: 20220110
**SUBJECT COMPANY**:
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