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4//SEC Filing

JANUS CAPITAL GROUP INC 4

Accession 0001217486-07-000005

CIK 0001065865operating
View on SEC.govCompany Profile

Filed

Feb 4, 7:00 PM ET

Accepted

Feb 5, 8:58 PM ET

Size

23.2 KB

Accession

0001217486-07-000005

Insider Transaction Report

Form 4
Period: 2007-02-01
JANUS CAPITAL GROUP INCJNS
FROST GREGORY A
EVP, Chief Financial Officer
Transactions
  • Award

    Stock Option (Right to Buy)

    2007-02-02+8,661→ 8,661 total
    Exercise: $21.01Exp: 2014-02-01→ Common Stock (8,661 underlying)
  • Sale

    Common Stock

    2007-02-01$20.79/sh−332$6,902→ 25,662 total
  • Tax Payment

    Common Stock

    2007-02-01$20.77/sh−1,032$21,435→ 25,994 total
  • Award

    Common Stock

    2007-02-02+2,894→ 28,556 total
Holdings

  • Stock Option (Right to Buy)

    Exercise: $14.39Exp: 2015-02-03→ Common Stock (13,762 underlying)
    13,762

  • Option (Right to Buy) and LSAR

    Exercise: $25.71From: 2007-01-29Exp: 2012-01-27→ Common Stock (2,111 underlying)
    2,111

  • Stock Option (Right to Buy)

    Exercise: $21.57Exp: 2013-02-12→ Common Stock (10,326 underlying)
    10,326

  • Option (Right to Buy) and LSAR

    Exercise: $14.37From: 2006-05-09Exp: 2013-05-07→ Common Stock (8,757 underlying)
    8,757

  • Common Stock

    (indirect: Held by ESOP)
    3,209.28

  • Option (Right to Buy) and LSAR

    Exercise: $13.76From: 2000-07-12Exp: 2008-01-27→ Common Stock (2,000 underlying)
    2,000

  • Option (Right to Buy) and LSAR

    Exercise: $21.31From: 2000-07-12Exp: 2009-01-25→ Common Stock (200 underlying)
    200

  • Option (Right to Buy) and LSAR

    Exercise: $14.37Exp: 2013-05-07→ Common Stock (2,225 underlying)
    2,225

  • Option (Right to Buy) and LSAR

    Exercise: $16.24From: 2007-01-01Exp: 2014-02-03→ Common Stock (20,031 underlying)
    20,031
Footnotes (7)
  • [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]Restricted stock granted to reporting person is subject to Section 162(m) requirements and certain performance criteria being met.
  • [F3]The option award vests annually in four equal installments (within one share) beginning on February 1, 2008.
  • [F4]The option award vests annually in four equal installments (within one share) beginning on February 1, 2007.
  • [F5]The option award vests annually in four equal installments (within one share) beginning on February 1, 2006.
  • [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-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. All LSARs unvested as of January 1, 2005 have been terminated.
  • [F7]The option award vests annually in five equal installments beginning on May 8, 2004.

Documents

1 file

Issuer

JANUS CAPITAL GROUP INC

CIK 0001065865

→
Entity typeoperating
IncorporatedDE

Related Parties

1
  • filerCIK 0001065865

Filing Metadata

Form type
4
Filed
Feb 4, 7:00 PM ET
Accepted
Feb 5, 8:58 PM ET
Size
23.2 KB
View on SEC.gov