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
- 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.
- 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.
- The option award vests annually in four equal installments (within one share) beginning on February 1, 2010.
- This option award vests annually in three equal installments beginning on February 1, 2009.
- 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.
- 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.