JANUS CAPITAL GROUP INC 4

4 · JANUS CAPITAL GROUP INC · Filed Feb 8, 2005

Form 4

Period: 2005-02-04

EVP, Chief Operating Officer

Transactions

Award
Stock Option (Right to Buy) and LSAR
2005-02-04+41,285→ 41,285 total
Exercise: $14.39Exp: 2015-02-03→ Common Stock (41,285 underlying)
Award
Common Stock
2005-02-04+15,636→ 17,165 total

Holdings

Stock Option (Right to Buy) and LSAR
Exercise: $17.40Exp: 2013-07-06→ Common Stock (61,198 underlying)
61,198
Common Stock
(indirect: Held by ESOP)
520.85
Stock Option (Right to Buy) and LSAR
Exercise: $16.24Exp: 2014-02-03→ Common Stock (135,136 underlying)
135,136

Footnotes (6)

[F1]Includes 1,529 shares acquired under the issuer's Employee Stock Purchase Plan on December 31, 2004.
[F2]Includes shares contributed by issuer to reporting person in 2004 under the Employee Stock Ownership Plan ("ESOP") and reflects total number of shares held in the ESOP as of February 7, 2005.
[F3]Subject to compliance with Section 409A of the Internal Revenue Code, 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.
[F4]The option vests annually in four approximately equal installments (within one share) beginning on February 1, 2006.
[F5]The option award vests annually in three installments beginning on December 31, 2004; the first vesting event will be 45,046, and the last two vesting events will be 45,045 per vesting event.
[F6]The option award vests annually in three installments beginning on July 7, 2004; the first vesting event will be 20,400, and the last two vesting events will be 20,399 per vesting event.

Documents

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