WHISTON MARK B 4
4 · JANUS CAPITAL GROUP INC · Filed Apr 21, 2004
Insider Transaction Report
Form 4
WHISTON MARK B
DirectorCEO, Vice Chairman of Board
Transactions
- Sale
Common Stock
2004-04-20$15.53/sh−12,859$199,700→ 490,464 total - Disposition to Issuer
Common Stock
2004-04-20−239,563→ 210,937 total - Tax Payment
Common Stock
2004-04-20$15.46/sh−39,964$617,843→ 450,500 total
Holdings
- 21,940
Option (Right to Buy) and LSAR
Exercise: $25.71Exp: 2005-03-31→ Common Stock (21,940 underlying) - 32,255
Option (Right to Buy) and LSAR
Exercise: $14.37Exp: 2005-03-31→ Common Stock (32,255 underlying) - 200
Option (Right to Buy) and LSAR
Exercise: $21.31From: 2000-07-12Exp: 2005-03-31→ Common Stock (200 underlying) - 40,889.22(indirect: Held by ESOP)
Common Stock
Footnotes (6)
- [F1]There is no price for this security.
- [F2]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.
- [F3]Reflects total number of shares held in the ESOP as of March 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 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.
- [F5]6,451 options will vest on May 8, 2004, and will be exercisable through March 31, 2005. The remaining unvested options will cancel/expire on January 1, 2005.
- [F6]8,776 options are currently vested and will be exercisable through March 31, 2005. The remaining unvested options will cancel/expire on January 1, 2005.