JANUS CAPITAL GROUP INC 4
4 · JANUS CAPITAL GROUP INC · Filed Aug 10, 2005
Insider Transaction Report
Form 4
MILLER GIRARD C
EVP, Chief Operating Officer
Transactions
- Award
Common Stock
2005-08-09+18,801→ 98,864 total - Disposition to Issuer
Stock Option (Right to Buy) and LSAR
2005-08-09−135,136→ 0 totalExercise: $16.24Exp: 2014-02-03→ Common Stock (135,136 underlying) - Award
Common Stock
2005-08-09+46,191→ 80,063 total - Award
Common Stock
2005-08-09+16,707→ 33,872 total - Disposition to Issuer
Stock Option (Right to Buy) and LSAR
2005-08-09−41,285→ 0 totalExercise: $14.39Exp: 2015-02-03→ Common Stock (41,285 underlying) - Tax Payment
Common Stock
2005-08-09$14.16/sh−11,475$162,486→ 87,389 total - Disposition to Issuer
Stock Option (Right to Buy) and LSAR
2005-08-09−61,198→ 0 totalExercise: $17.40Exp: 2013-07-06→ Common Stock (61,198 underlying)
Holdings
- 1,019.01(indirect: Held by ESOP)
Common Stock
Footnotes (9)
- [F1]On August 9, 2005, the issuer exchanged an option granted to the reporting person on February 4, 2005, for 16,707 shares of restricted stock as reported herein.
- [F2]On August 9, 2005, the issuer exchanged an option granted to the reporting person on February 4, 2004, for 46,191 shares of restricted stock as reported herein.
- [F3]On August 9, 2005, the issuer exchanged an option granted to the reporting person on July 7, 2003, for 18,801 shares of restricted stock as reported herein.
- [F4]The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 plan adopted by the reporting person in May 2005 to cover tax liabilities arising from vesting events.
- [F5]Includes shares contributed by issuer to reporting person in 2005 under the Employee Stock Ownership Plan ("ESOP") and reflects total number of shares held in the ESOP as of August 9, 2005.
- [F6]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.
- [F7]The exchanged option provided for vesting in four approximately equal installments beginning on February 1, 2006.
- [F8]The exchanged option provided for vesting in three approximately equal installments beginning on December 31, 2004.
- [F9]The exchanged option provided for vesting in three approximately equal installments beginning on July 7, 2004.