4//SEC Filing
WHISTON MARK B 4
Accession 0001217498-04-000005
CIK 0001065865other
Filed
Jan 1, 7:00 PM ET
Accepted
Jan 2, 9:36 PM ET
Size
9.0 KB
Accession
0001217498-04-000005
Insider Transaction Report
Form 4
WHISTON MARK B
DirectorCEO, Vice Chairman of Board
Transactions
- Sale
Common Stock
2003-12-31$16.40/sh−1,133$18,581→ 230,740 total - Tax Payment
Common Stock
2003-12-31$16.39/sh−3,520$57,693→ 227,220 total
Holdings
- 40,273.26(indirect: Held by ESOP)
Common Stock
- 32,255
Option (Right to Buy) and LSAR
Exercise: $14.37Exp: 2013-05-07→ Common Stock (32,255 underlying) - 200
Option (Right to Buy) and LSAR
Exercise: $21.31From: 2000-07-12Exp: 2009-01-25→ Common Stock (200 underlying) - 21,940
Option (Right to Buy) and LSAR
Exercise: $25.71Exp: 2012-01-27→ Common Stock (21,940 underlying)
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 equal installments beginning on May 8, 2004.
- [F5]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 0001217498
Filing Metadata
- Form type
- 4
- Filed
- Jan 1, 7:00 PM ET
- Accepted
- Jan 2, 9:36 PM ET
- Size
- 9.0 KB