4//SEC Filing
FROST GREGORY A 4
Accession 0001217486-09-000004
CIK 0001065865other
Filed
Feb 5, 7:00 PM ET
Accepted
Feb 6, 6:55 PM ET
Size
19.2 KB
Accession
0001217486-09-000004
Insider Transaction Report
Form 4
FROST GREGORY A
EVP, Chief Financial Officer
Transactions
- Sale
Common Stock
2009-02-04$5.49/sh−3,011$16,530→ 48,396 total
Holdings
- 11,478
Stock Option (Right to Buy)
Exercise: $27.54Exp: 2015-01-31→ Common Stock (11,478 underlying) - 13,762
Stock Option (Right to Buy)
Exercise: $14.39From: 2008-02-02Exp: 2015-02-03→ Common Stock (13,762 underlying) - 2,225
Stock Option (Right to Buy) and LSAR
Exercise: $14.37Exp: 2013-05-07→ Common Stock (2,225 underlying) - 3,907.15(indirect: Held by ESOP)
Common Stock
- 47,199
Stock Option (Right to Buy)
Exercise: $5.32Exp: 2016-01-30→ Common Stock (47,199 underlying) - 8,661
Stock Option (Right to Buy)
Exercise: $21.01Exp: 2014-02-01→ Common Stock (8,661 underlying) - 10,326
Stock Option (Right to Buy)
Exercise: $21.57From: 2009-02-02Exp: 2013-02-12→ Common Stock (10,326 underlying) - 20,031
Stock Option (Right to Buy) and LSAR
Exercise: $16.24From: 2007-01-01Exp: 2014-02-03→ Common Stock (20,031 underlying) - 8,757
Stock Option (Right to Buy) and LSAR
Exercise: $14.37From: 2006-05-09Exp: 2013-05-07→ Common Stock (8,757 underlying) - 2,111
Stock Option (Right to Buy) and LSAR
Exercise: $25.71From: 2007-01-29Exp: 2012-01-27→ Common Stock (2,111 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]The option award vests annually in four equal installments (within one share) beginning on February 1, 2010.
- [F3]This option award vests annually in three equal installments beginning on February 1, 2009.
- [F4]The option award vests annually in four equal installments (within one share) beginning on February 1, 2008, subject to acceleration if certain performance criteria are met.
- [F5]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.
- [F6]The option award vests annually in five equal installments beginning on May 8, 2004.
Documents
Issuer
JANUS CAPITAL GROUP INC
CIK 0001065865
Entity typeother
Related Parties
1- filerCIK 0001217486
Filing Metadata
- Form type
- 4
- Filed
- Feb 5, 7:00 PM ET
- Accepted
- Feb 6, 6:55 PM ET
- Size
- 19.2 KB