LUOMA MATTHEW R 4

4 · JANUS CAPITAL GROUP INC · Filed Jan 4, 2005

Form 4

Period: 2004-12-31

Vice President of Taxation

Transactions

Holdings

Option (Right to Buy) and LSAR
Exercise: $25.71Exp: 2012-01-27→ Common Stock (2,390 underlying)
2,390
Option (Right to Buy) and LSAR
Exercise: $14.37Exp: 2013-05-07→ Common Stock (3,396 underlying)
3,396
Common Stock
(indirect: Held by ESOP)
22,035.17
Option (Right to Buy) and LSAR
Exercise: $16.24Exp: 2014-02-03→ Common Stock (26,277 underlying)
26,277
Option (Right to Buy) and LSAR
Exercise: $14.37Exp: 2013-05-07→ Common Stock (38,757 underlying)
38,757

Footnotes (8)

[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]Includes 1,529 shares acquired under the issuer's Employee Stock Purchase Plan on December 31, 2004.
[F3]Includes 65.21 shares contributed by issuer to reporting person in the second half of 2004 under the Employee Stock Ownership Plan ("ESOP") and reflects total number of shares held in the ESOP as of December 31, 2004.
[F4]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.
[F5]The option award vests annually in three equal installments beginning on December 31, 2004.
[F6]The option award vests annually in three equal installments beginning on May 8, 2004.
[F7]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.
[F8]The option award vests annually in five equal installments beginning on January 28, 2003.

Documents

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