Filing Details

Accession Number:
0000950103-14-007510
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-10-29 13:51:27
Reporting Period:
2014-10-28
Filing Date:
2014-10-29
Accepted Time:
2014-10-29 12:51:27
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
948518 Dai Ichi Life Insurance Co., Ltd. 13-1, Yurakucho 1-Chome, Chiyoda-Ku
Tokyo M0 100-8411
No No Yes 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 2014-10-28 169,600 $13.84 37,085,054 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Direct
Footnotes
  1. In connection with the repurchase of Issuer Common Stock from the Reporting Person by the Issuer, the Reporting Person sold 169,600 shares of Issuer Common Stock at $13.8442204599057 per share for an aggregate purchase price of $2,347,979.79.
  2. Pursuant to and subject to the terms of the Investment and Strategic Cooperation Agreement, dated August 10, 2012, between the Issuer and the Reporting Person (the "Investment Agreement"), the Reporting Person's Beneficial Ownership (as defined therein) must remain below 20% of the issued and outstanding shares of Issuer Common Stock (the "Ownership Limit"). The Issuer recently engaged in certain repurchases of Issuer Common Stock, not involving the Reporting Person, that were expected to result in the Reporting Person's Beneficial Ownership exceeding the Ownership Limit. The transactions reported herein were effected to reduce the Reporting Person's Beneficial Ownership in order to maintain compliance with the Ownership Limit. Following the transactions reported herein, the Reporting Person's Beneficial Ownership will be approximately 19.97% of the issued and outstanding shares of Issuer Common Stock.