4//SEC Filing
LUOMA MATTHEW R 4
Accession 0001217489-04-000004
CIK 0001065865other
Filed
Jan 1, 7:00 PM ET
Accepted
Jan 2, 9:33 PM ET
Size
9.3 KB
Accession
0001217489-04-000004
Insider Transaction Report
Form 4
LUOMA MATTHEW R
Vice President of Taxation
Transactions
- Tax Payment
Common Stock
2003-12-31$16.39/sh−384$6,294→ 39,095 total - Sale
Common Stock
2003-12-31$16.40/sh−124$2,034→ 39,479 total
Holdings
- 21,399.35(indirect: Held by ESOP)
Common Stock
- 3,396
Option (Right to Buy) and LSAR
Exercise: $14.37Exp: 2013-05-07→ Common Stock (3,396 underlying) - 38,757
Option (Right to Buy) and LSAR
Exercise: $14.37Exp: 2013-05-07→ Common Stock (38,757 underlying) - 2,390
Option (Right to Buy) and LSAR
Exercise: $25.71Exp: 2012-01-27→ Common Stock (2,390 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 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 three equal installments beginning on May 8, 2004.
- [F5]The option award vests annually in five installments beginning on May 8, 2004; the first vesting event will be 680 options, and the last four vesting events will be 679 options per vesting event.
- [F6]The option award vests annually in five equal installments beginning on January 28, 2003.
Documents
Issuer
JANUS CAPITAL GROUP INC
CIK 0001065865
Entity typeother
Related Parties
1- filerCIK 0001217489
Filing Metadata
- Form type
- 4
- Filed
- Jan 1, 7:00 PM ET
- Accepted
- Jan 2, 9:33 PM ET
- Size
- 9.3 KB