Smith Richard Gibson 4
4 · JANUS CAPITAL GROUP INC · Filed Feb 6, 2009
Insider Transaction Report
Form 4
Smith Richard Gibson
Other
Transactions
- Sale
Common Stock
2009-02-04$5.46/sh−4,146$22,637→ 229,646.52 total - Sale
Common Stock
2009-02-04$5.47/sh−600$3,282→ 229,046.52 total
Holdings
- 3,061.08(indirect: Held by ESOP)
Common Stock
- 268,991
Stock Option (Right to Buy)
Exercise: $5.32Exp: 2016-01-30→ Common Stock (268,991 underlying) - 65,400
Stock Option (Right to Buy)
Exercise: $27.54Exp: 2015-01-31→ Common Stock (65,400 underlying) - 37,995
Stock Option (Right to Buy)
Exercise: $21.01Exp: 2014-02-01→ Common Stock (37,995 underlying) - 13,566
Stock Option (Right to Buy)
Exercise: $21.57From: 2009-02-02Exp: 2013-02-12→ Common Stock (13,566 underlying) - 135,136
Stock Option (Right to Buy) and LSAR
Exercise: $16.24From: 2007-01-01Exp: 2014-02-03→ Common Stock (135,136 underlying) - 38,757
Stock Option (Right to Buy) and LSAR
Exercise: $14.37From: 2006-05-08Exp: 2013-05-07→ Common Stock (38,757 underlying) - 4,370
Stock Option (Right to Buy) and LSAR
Exercise: $14.37From: 2008-05-08Exp: 2013-05-07→ Common Stock (4,370 underlying)
Footnotes (5)
- [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]The option award vests annually in four equal installments (within one share) beginning on February 1, 2010.
- [F3]The option award vests annually in three equal installments beginning on February 1, 2009.
- [F4]The option award vests annually in four equal installments (within one share) beginning on February 1, 2008.
- [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.