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4//SEC Filing

Smith Richard Gibson 4

Accession 0001380666-09-000002

CIK 0001065865other
View on SEC.govCompany Profile

Filed

Feb 2, 7:00 PM ET

Accepted

Feb 3, 9:42 PM ET

Size

17.4 KB

Accession

0001380666-09-000002

Insider Transaction Report

Form 4
Period: 2009-01-30
JANUS CAPITAL GROUP INCJNS
Smith Richard Gibson
Other
Transactions
  • Award

    Common Stock

    2009-01-30+121,855→ 233,792.52 total
  • Award

    Stock Option (Right to Buy)

    2009-01-30+268,991→ 268,991 total
    Exercise: $5.32Exp: 2016-01-30→ Common Stock (268,991 underlying)
Holdings

  • Stock Option (Right to Buy)

    Exercise: $21.57From: 2009-02-02Exp: 2013-02-12→ Common Stock (13,566 underlying)
    13,566

  • Common Stock

    (indirect: Held by ESOP)
    3,061.08

  • Stock Option (Right to Buy)

    Exercise: $27.54Exp: 2015-01-31→ Common Stock (65,400 underlying)
    65,400

  • Stock Option (Right to Buy)

    Exercise: $21.01Exp: 2014-02-01→ Common Stock (37,995 underlying)
    37,995

  • Stock Option (Right to Buy) and LSAR

    Exercise: $16.24From: 2007-01-01Exp: 2014-02-03→ Common Stock (135,136 underlying)
    135,136

  • 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: $14.37From: 2008-05-08Exp: 2013-05-07→ Common Stock (4,370 underlying)
    4,370
Footnotes (6)
  • [F1]Includes 893 shares acquired under the issuer's Employee Stock Purchase Plan as of January 31, 2009.
  • [F2]Includes shares contributed by issuer to reporting person under the Employee Stock Ownership Plan ("ESOP") and reflects the total number of shares held in the ESOP as of February 3, 2009.
  • [F3]The option award vests annually in four equal installments (within one share) beginning on February 1, 2010.
  • [F4]The option award vests annually in three equal installments beginning on February 1, 2009.
  • [F5]The option award vests annually in four equal installments (within one share) beginning on February 1, 2008.
  • [F6]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.

Documents

1 file

Issuer

JANUS CAPITAL GROUP INC

CIK 0001065865

→
Entity typeother

Related Parties

1
  • filerCIK 0001380666

Filing Metadata

Form type
4
Filed
Feb 2, 7:00 PM ET
Accepted
Feb 3, 9:42 PM ET
Size
17.4 KB
View on SEC.gov