4//SEC Filing
SODERBERG LARS O 4
Accession 0001217494-04-000004
CIK 0001065865other
Filed
Jan 1, 7:00 PM ET
Accepted
Jan 2, 9:34 PM ET
Size
10.1 KB
Accession
0001217494-04-000004
Insider Transaction Report
Form 4
SODERBERG LARS O
EVP - Institutional Services
Transactions
- Sale
Common Stock
2003-12-31$16.40/sh−227$3,723→ 55,716 total - Tax Payment
Common Stock
2003-12-31$16.39/sh−704$11,539→ 55,012 total
Holdings
- 4,381
Option (Right to Buy) and LSAR
Exercise: $25.71Exp: 2012-01-27→ Common Stock (4,381 underlying) - 20,000
Option (Right to Buy) and LSAR
Exercise: $13.76From: 2000-07-12Exp: 2008-01-27→ Common Stock (20,000 underlying) - 7,083
Option (Right to Buy) and LSAR
Exercise: $14.37Exp: 2013-05-07→ Common Stock (7,083 underlying) - 200
Option (Right to Buy) and LSAR
Exercise: $21.31From: 2000-07-12Exp: 2009-01-25→ Common Stock (200 underlying) - 4,018.05(indirect: Held by ESOP)
Common Stock
Footnotes (5)
- [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 five installments beginning on May 8, 2004; the first three vesting events will be 1,417 options per vesting event, and the last two vesting events will be 1,416 options per vesting event.
- [F5]The option award vests annually in five installments beginining on January 28, 2003; the first vesting event will be 877 options, and the last four vesting events will be 876 options per vesting event.
Documents
Issuer
JANUS CAPITAL GROUP INC
CIK 0001065865
Entity typeother
Related Parties
1- filerCIK 0001217494
Filing Metadata
- Form type
- 4
- Filed
- Jan 1, 7:00 PM ET
- Accepted
- Jan 2, 9:34 PM ET
- Size
- 10.1 KB