JANUS CAPITAL GROUP INC 4

Accession 0001217986-07-000049

CIK 0001065865operating

Filed

Sep 19, 8:00 PM ET

Accepted

Sep 20, 5:38 PM ET

Size

40.7 KB

Accession

0001217986-07-000049

Form 4

Period: 2007-09-19

Director

Transactions

Holdings

Common Stock
(indirect: By Trust)
6,959
Common Stock
10,528
Option (Right to Buy) and LSAR
From: 2003-01-01Exp: 2012-07-17→ Common Stock (212,000 underlying)
212,000
Option (Right to Buy) and LSAR
Exercise: $34.28From: 2003-01-01Exp: 2010-05-04→ Common Stock (443,957 underlying)
443,957
Common Stock
(indirect: By Trust)
115,410
Common Stock
(indirect: By Spouse)
2,015
Common Stock
(indirect: By Preservation Farms I, LLLP)
420,000
Option (Right to Buy) and LSAR
Exercise: $34.28From: 2001-05-05Exp: 2010-05-04→ Common Stock (33,245 underlying)
33,245
Option (Right to Buy) and LSAR
Exercise: $25.71From: 2002-01-28Exp: 2012-01-27→ Common Stock (6,866 underlying)
6,866
Option (Right to Buy) and LSAR
Exercise: $39.77From: 2000-07-13Exp: 2010-02-28→ Common Stock (4,648 underlying)
4,648
Option (Right to Buy) and LSAR
Exercise: $13.15From: 2002-12-11Exp: 2012-12-10→ Common Stock (13,106 underlying)
13,106
Option (Right to Buy) and LSAR
Exercise: $42.34From: 2001-01-29Exp: 2011-01-28→ Common Stock (4,335 underlying)
4,335

Footnotes (5)

[F1]The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading policy adopted by the reporting person in February 2007.
[F2]Restricted stock units are payable in common stock upon the reporting person's termination of service as a director. Each restricted stock unit represents one share of common stock upon distribution.
[F3]Subject to compliance with Section 409A of the Internal Revenue Code, Limited Stock Appreciation Rights ("LSAR") are granted in tandem with stock options. LSARs are automatically exercisable (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.
[F4]Substitute options awarded in connection with the spin-off of Janus Capital Group Inc. (formerly Stilwell Financial Inc.) from Kansas City Southern Industries, Inc.
[F5]Exercise price is $19.36 for 56,000 options, $21.59 for 56,000 options, $17.12 for 56,000 options and $14.89 for 44,000 options.

Documents

1 file

JANUS CAPITAL GROUP INC

CIK 0001065865

Entity typeoperating

IncorporatedDE