EARLY THOMAS A 4
4 · JANUS CAPITAL GROUP INC · Filed Jan 2, 2004
Insider Transaction Report
Form 4
EARLY THOMAS A
VP/General Counsel/Secretary
Transactions
- Tax Payment
Common Stock
2003-12-31$16.39/sh−1,316$21,569→ 271,217 total - Sale
Common Stock
2003-12-31$16.40/sh−424$6,954→ 272,533 total
Holdings
- 200
Option (Right to Buy) and LSAR
Exercise: $21.31From: 2000-07-12Exp: 2009-01-25→ Common Stock (200 underlying) - 1,860.06(indirect: Held by ESOP)
Common Stock
- 8,204
Option (Right to Buy) and LSAR
Exercise: $25.71Exp: 2012-01-27→ Common Stock (8,204 underlying)
Footnotes (4)
- [F1]The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 plan adopted by the reporting person on March 12, 2003 to cover tax liabilities arising from vesting events.
- [F2]Reflects number of shares held in Employee Stock Ownership Plan as of March 10, 2003.
- [F3]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 Company which has not been approved by certain members of the Company'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.
- [F4]The option award vests annually in five installments beginning on January 28, 2003; the first four vesting events will be 1,641 options per vesting event, and the last vesting event will be 1,640 options.