Filing Details
- Accession Number:
- 0001436266-11-000002
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-02-04 18:18:50
- Reporting Period:
- 2011-02-02
- Filing Date:
- 2011-02-04
- Accepted Time:
- 2011-02-04 18:18:50
- 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 |
---|---|---|---|---|---|---|---|
1436266 | P. James Goff | 151 Detroit Street Denver CO 80206 | No | No | No | Yes |
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 | 2011-02-02 | 9,997 | $0.00 | 362,891 | 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 | 7,753 | 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) | $11.78 | 2017-02-05 | 79,310 | 79,310 | Direct | |
Common Stock | Stock Option (Right to Buy) | $5.32 | 2016-01-30 | 140,434 | 140,434 | Direct | |
Common Stock | Stock Option (Right to Buy) | $27.54 | 2011-02-01 | 2015-02-01 | 30,876 | 30,876 | Direct |
Common Stock | Stock Option (Right to Buy) | $21.01 | 2011-02-01 | 2014-02-01 | 58,463 | 58,463 | Direct |
Common Stock | Stock Option (Right to Buy) | $21.57 | 2009-02-02 | 2013-02-12 | 44,052 | 44,052 | Direct |
Common Stock | Stock Option (Right to Buy) and LSAR | $16.24 | 2006-12-31 | 2014-02-03 | 105,106 | 105,106 | Direct |
Common Stock | Stock Option (Right to Buy) and LSAR | $25.71 | 2007-01-28 | 2012-01-27 | 26,593 | 26,593 | Direct |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
2017-02-05 | 79,310 | 79,310 | Direct |
2016-01-30 | 140,434 | 140,434 | Direct |
2015-02-01 | 30,876 | 30,876 | Direct |
2014-02-01 | 58,463 | 58,463 | Direct |
2013-02-12 | 44,052 | 44,052 | Direct |
2014-02-03 | 105,106 | 105,106 | Direct |
2012-01-27 | 26,593 | 26,593 | 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: 300 at $12.74 per share; 700 at $12.75 per share; 400 at $12.76 per share; 3,197 at $12.77 per share; 1,700 at $12.78 per share; 2,200 at $12.79 per share; 1,500 at $12.80 per share.
- This option award vests annually in four equal installments (within one share) beginning on February 1, 2011.
- This option award vests annually in four equal installments (within one share) beginning on February 1, 2010.
- 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 results in the receipt of only cash by the option holder. All LSARs unvested as of January 1, 2005 have been terminated.