4//SEC Filing
LUOMA MATTHEW R 4
Accession 0001217489-05-000002
CIK 0001065865other
Filed
Jan 3, 7:00 PM ET
Accepted
Jan 4, 7:58 PM ET
Size
14.5 KB
Accession
0001217489-05-000002
Insider Transaction Report
Form 4
LUOMA MATTHEW R
Vice President of Taxation
Transactions
- Sale
Common Stock
2004-12-31$16.70/sh−124$2,071→ 28,112 total - Tax Payment
Common Stock
2004-12-31$16.70/sh−384$6,413→ 28,236 total
Holdings
- 2,390
Option (Right to Buy) and LSAR
Exercise: $25.71Exp: 2012-01-27→ Common Stock (2,390 underlying) - 3,396
Option (Right to Buy) and LSAR
Exercise: $14.37Exp: 2013-05-07→ Common Stock (3,396 underlying) - 22,035.17(indirect: Held by ESOP)
Common Stock
- 26,277
Option (Right to Buy) and LSAR
Exercise: $16.24Exp: 2014-02-03→ Common Stock (26,277 underlying) - 38,757
Option (Right to Buy) and LSAR
Exercise: $14.37Exp: 2013-05-07→ Common Stock (38,757 underlying)
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
Issuer
JANUS CAPITAL GROUP INC
CIK 0001065865
Entity typeother
Related Parties
1- filerCIK 0001217489
Filing Metadata
- Form type
- 4
- Filed
- Jan 3, 7:00 PM ET
- Accepted
- Jan 4, 7:58 PM ET
- Size
- 14.5 KB