Filing Details

Accession Number:
0001380747-10-000003
Form Type:
4
Zero Holdings:
No
Publication Time:
2010-02-04 12:00:00
Reporting Period:
2010-02-02
Filing Date:
2010-02-04
Accepted Time:
2010-02-04 20:26:57
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1065865 Janus Capital Group Inc JNS Investment Advice (6282) 431804048
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1217486 A Gregory Frost Evp, Chief Financial Officer No Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Disposition 2010-02-02 3,160 $12.30 45,236 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 5,075 Indirect Held by ESOP
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Stock Option (Right to Buy) $5.32 2016-01-30 47,199 47,199 Direct
Common Stock Stock Option (Right to Buy) $27.54 2015-01-31 11,478 11,478 Direct
Common Stock Stock Option (Right to Buy) $21.01 2014-02-01 8,661 8,661 Direct
Common Stock Stock Option (Right to Buy) $21.57 2009-02-02 2013-02-12 10,326 10,326 Direct
Common Stock Stock Option (Right to Buy) $14.39 2008-02-02 2015-02-03 13,762 13,762 Direct
Common Stock Stock Option (Right to Buy) and LSAR $16.24 2007-01-01 2014-02-03 20,031 20,031 Direct
Common Stock Stock Option (Right to Buy) and LSAR $14.37 2006-05-09 2013-05-07 8,757 8,757 Direct
Common Stock Stock Option (Right to Buy) and LSAR $14.37 2008-05-08 2013-05-07 2,225 2,225 Direct
Common Stock Stock Option (Right to Buy) and LSAR $25.71 2007-01-29 2012-01-27 2,111 2,111 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2016-01-30 47,199 47,199 Direct
2015-01-31 11,478 11,478 Direct
2014-02-01 8,661 8,661 Direct
2013-02-12 10,326 10,326 Direct
2015-02-03 13,762 13,762 Direct
2014-02-03 20,031 20,031 Direct
2013-05-07 8,757 8,757 Direct
2013-05-07 2,225 2,225 Direct
2012-01-27 2,111 2,111 Direct
Footnotes
  1. The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 plan adopted by the reporting person to cover tax liabilities arising from vesting events.
  2. Shares were sold in the following manner: 429 at $12.22; 700 at $12.23; 519 at $12.24; 112 at $12.25; 100 at $12.26; 100 at $12.27; 200 at $12.31; 500 at $12.35; 200 at $12.36; 200 at $12.40; and 100 at $12.41 per share.
  3. The option award vests annually in four equal installments (within one share) beginning on February 1, 2010.
  4. This option award vests annually in three equal installments beginning on February 1, 2009.
  5. The option award vests annually in four equal installments (within one share) beginning on February 1, 2008, subject to acceleration if certain performance criteria are met.
  6. Limited Stock Appreciation Rights ("LSARs") are granted in tandem with stock options. LSARs are automatically exercised (in lieu of related options) upon a change of control of the issuer which has not been approved by certain members of the issuer's board of directors and result in the receipt of only cash by the option holder. LSARs termiante when the related options are exercised or terminated. All LSARs unvested as of January 1, 2005 have been terminated.