Earnings Feed
Start Free
Home/Filings/4/0001380666-07-000003
4//SEC Filing

JANUS CAPITAL GROUP INC 4

Accession 0001380666-07-000003

CIK 0001065865operating
View on SEC.govCompany Profile

Filed

Feb 4, 7:00 PM ET

Accepted

Feb 5, 8:42 PM ET

Size

17.7 KB

Accession

0001380666-07-000003

Insider Transaction Report

Form 4
Period: 2007-02-01
JANUS CAPITAL GROUP INCJNS
Smith Richard Gibson
Other
Transactions
  • Award

    Stock Option (Right to Buy)

    2007-02-02+37,995→ 37,995 total
    Exercise: $21.01Exp: 2014-02-01→ Common Stock (37,995 underlying)
  • Sale

    Common Stock

    2007-02-01$20.79/sh−163$3,389→ 81,765.35 total
  • Award

    Common Stock

    2007-02-02+12,695→ 94,460.35 total
  • Tax Payment

    Common Stock

    2007-02-01$20.77/sh−505$10,489→ 81,928.35 total
Holdings

  • Stock Option (Right to Buy)

    Exercise: $21.57Exp: 2013-02-12→ Common Stock (13,566 underlying)
    13,566

  • Stock Option (Right to Buy) and LSAR

    Exercise: $14.37Exp: 2013-05-07→ Common Stock (4,370 underlying)
    4,370

  • Common Stock

    (indirect: Held by ESOP)
    2,365.57

  • Stock Option (Right to Buy) and LSAR

    Exercise: $14.37From: 2006-05-08Exp: 2013-05-07→ Common Stock (38,757 underlying)
    38,757

  • Stock Option (Right to Buy) and LSAR

    Exercise: $16.24From: 2007-01-01Exp: 2014-02-03→ Common Stock (135,136 underlying)
    135,136
Footnotes (6)
  • [F1]The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 plan adopted by the reporting person to cover tax liabilities arising from vesting events.
  • [F2]Restricted stock granted to reporting person is subject to Section 162(m) requirements and certain performance criteria being met.
  • [F3]The option award vests annually in four equal installments (within one share) beginning on February 1, 2008.
  • [F4]The option award vests annually in four equal installments (within one share) beginning on February 1, 2007.
  • [F5]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. All LSARs unvested as of January 1, 2005 have been terminated.
  • [F6]The option award vests annually in five equal installments beginning on May 8, 2004.

Documents

1 file

Issuer

JANUS CAPITAL GROUP INC

CIK 0001065865

→
Entity typeoperating
IncorporatedDE

Related Parties

1
  • filerCIK 0001065865

Filing Metadata

Form type
4
Filed
Feb 4, 7:00 PM ET
Accepted
Feb 5, 8:42 PM ET
Size
17.7 KB
View on SEC.gov