Filing Details
- Accession Number:
- 0001217986-10-000004
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-04-16 13:00:00
- Reporting Period:
- 2010-04-14
- Filing Date:
- 2010-04-16
- Accepted Time:
- 2010-04-16 18:12:38
- 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 |
---|---|---|---|---|---|---|---|
1217986 | H Landon Rowland | 920 Main Street, Suite 204 Kansas City, MO 64105 | Yes | No | 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 | 2010-04-14 | 20,000 | $15.26 | 280,000 | No | 4 | S | Indirect | By Preservation Investment Partners LP |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | S | Indirect | By Preservation Investment Partners LP |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 21,708 | Direct | |
Common Stock | 787,871 | Direct | |
Common Stock | 115,410 | Indirect | By Landon Rowland Revocable Trust |
Common Stock | 6,959 | Indirect | By Sarah Rowland Revocable Trust |
Common Stock | 2,015 | Indirect | By Spouse |
Reported Derivative Holdings
Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|---|---|---|---|
Common Stock | Option (Right to Buy) and LSAR | $34.28 | 2003-01-01 | 2010-05-04 | 443,957 | 443,957 | Direct |
Common Stock | Option (Right to Buy) and LSAR | $34.28 | 2001-05-05 | 2010-05-04 | 33,245 | 33,245 | Direct |
Common Stock | Option (Right to Buy) and LSAR | $42.34 | 2001-01-29 | 2011-01-28 | 4,335 | 4,335 | Direct |
Common Stock | Option (Right to Buy) and LSAR | $25.71 | 2002-01-28 | 2012-01-27 | 6,866 | 6,866 | Direct |
Common Stock | Option (Right to Buy) and LSAR | $0.00 | 2003-01-01 | 2012-07-17 | 212,000 | 212,000 | Direct |
Common Stock | Option (Right to Buy) and LSAR | $13.15 | 2002-12-11 | 2012-12-10 | 13,106 | 13,106 | Direct |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
2010-05-04 | 443,957 | 443,957 | Direct |
2010-05-04 | 33,245 | 33,245 | Direct |
2011-01-28 | 4,335 | 4,335 | Direct |
2012-01-27 | 6,866 | 6,866 | Direct |
2012-07-17 | 212,000 | 212,000 | Direct |
2012-12-10 | 13,106 | 13,106 | Direct |
Footnotes
- Shares were sold in the following manner: 100 @ $14.98; 100 @ $15.00; 800 @ $15.02; 400 @ 15.04; 1,000 @ $15.05; 400 @ $15.06; 400 @ $15.07; 100 @ $15.08; 300 @ $15.09; 400 @ $15.10; 200 @ $15.11; 100 @ $15.12; 100 @ $15.13; 400 @ $15.14; 500 @ $15.15; 100 @ $15.16; 800 @ $15.17; 100 @ $15.18; 400 @ $15.19; 500 @ $15.20; 100 @ $15.21; 200 @ $15.23; 300 @ $15.24; 900 @ $15.25; 100 @ $15.26; 300 @ $15.27; 200 @ $15.30; 500 @ $15.31; 100 @ $15.33; 1,900 @ $15.34; 1,500 @ $15.35; 700 @ $15.36; 1,600 @ $15.37; 700 @ $15.38; 200 @ $15.39; 1,300 @ $15.40; 100 @ $15.41; 1,200 @ $15.42; 700 @ $15.43; 100 @ $15.44; 100 @ $15.45
- Restricted stock units are payable in common stock upon the reporting person's termination of service as a director. Each restricted stock unit represents one share of common stock upon distribution.
- Subject to compliance with Section 409A of the Internal Revenue Code, Limited Stock Appreciation Rights ("LSAR") are granted in tandem with stock options. LSARs are automatically exercisable (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 terminate when the related options are exercised or terminated.
- Substitute options awarded in connection with the spin-off of Janus Capital Group Inc. (formerly Stilwell Financial Inc.) from Kansas City Southern Industries, Inc.
- Exercise price is $19.36 for 56,000 options, $21.59 for 56,000 options, $17.12 for 56,000 options and $14.89 for 44,000 options.