4//SEC Filing
Howes Kelley Abbott 4
Accession 0001065865-09-000004
CIK 0001065865other
Filed
Oct 5, 8:00 PM ET
Accepted
Oct 6, 6:48 PM ET
Size
20.1 KB
Accession
0001065865-09-000004
Insider Transaction Report
Form 4
Howes Kelley Abbott
EVP, Gen. Counsel, Secretary
Transactions
- Sale
Common Stock
2009-10-02$13.24/sh−4,300$56,932→ 60,411 total - Sale
Common Stock
2009-10-02$13.23/sh−305$4,035→ 64,711 total - Sale
Common Stock
2009-10-02$13.25/sh−300$3,975→ 60,111 total
Holdings
- 9,915
Stock Option (Right to Buy)
Exercise: $21.01Exp: 2014-02-01→ Common Stock (9,915 underlying) - 12,512
Stock Option (Right to Buy) and LSAR
Exercise: $16.24From: 2006-05-08Exp: 2014-02-03→ Common Stock (12,512 underlying) - 11,478
Stock Option (Right to Buy)
Exercise: $27.54Exp: 2015-01-31→ Common Stock (11,478 underlying) - 12,152
Stock Option (Right to Buy)
Exercise: $14.39From: 2008-02-01Exp: 2015-02-03→ Common Stock (12,152 underlying) - 3,144
Stock Option (Right to Buy) and LSAR
Exercise: $14.37From: 2008-05-08Exp: 2013-05-07→ Common Stock (3,144 underlying) - 9,814
Stock Option (Right to Buy)
Exercise: $21.57From: 2009-02-02Exp: 2013-02-12→ Common Stock (9,814 underlying) - 3,186
Stock Option (Right to Buy) and LSAR
Exercise: $25.71From: 2007-01-28Exp: 2012-01-27→ Common Stock (3,186 underlying) - 9,699.33(indirect: Held by ESOP)
Common Stock
- 47,199
Stock Option (Right to Buy)
Exercise: $5.32Exp: 2016-01-30→ Common Stock (47,199 underlying)
Footnotes (6)
- [F1]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.
- [F2]Includes shares contributed by issuer to reporting person under the Employee Stock Ownership Plan ("ESOP") and reflects the total number of shares held in the ESOP as of October 2, 2009.
- [F3]The option award vests annually in four equal installments (within one share) beginning on February 1, 2010.
- [F4]The option award vests annually in three equal installments beginning on February 1, 2009.
- [F5]The option award vests annually in four equal installments (within one share) beginning on February 1, 2008.
- [F6]Limited Stock Appreciation Rights ("LSARs") are granted in tandem with stock options. LSARs are automatically exercised (in lieu of related options) upon a change-in-control of the issuer which has not been approved by certain members of the issuers board of directors and results in the receipt of only cash by the option holder. LSARs terminate when the related options are exercised or terminated. All LSARs unvested as of January 1, 2005 have been terminated.
Documents
Issuer
JANUS CAPITAL GROUP INC
CIK 0001065865
Entity typeother
Related Parties
1- filerCIK 0001389184
Filing Metadata
- Form type
- 4
- Filed
- Oct 5, 8:00 PM ET
- Accepted
- Oct 6, 6:48 PM ET
- Size
- 20.1 KB