JANUS CAPITAL GROUP INC 4

4 · JANUS CAPITAL GROUP INC · Filed Feb 5, 2007

Form 4

Period: 2007-02-01

Other

Transactions

Award
Stock Option (Right to Buy)
2007-02-02+63,836→ 63,836 total
Exercise: $21.01Exp: 2014-02-01→ Common Stock (63,836 underlying)
Award
Common Stock
2007-02-02+21,330→ 318,018 total
Tax Payment
Common Stock
2007-02-01$20.77/sh−2,119$44,012→ 296,688 total

Holdings

Stock Option (Right to Buy) and LSAR
Exercise: $16.24Exp: 2014-02-03→ Common Stock (90,091 underlying)
90,091
Stock Option (Right to Buy)
Exercise: $21.57Exp: 2013-02-12→ Common Stock (43,121 underlying)
43,121
Common Stock
(indirect: Held by ESOP)
9,110.89
Stock Option (Right to Buy) and LSAR
Exercise: $14.37From: 2006-05-08Exp: 2013-05-07→ Common Stock (145,338 underlying)
145,338
Stock Option (Right to Buy) and LSAR
Exercise: $25.71Exp: 2012-01-27→ Common Stock (23,290 underlying)
23,290
Stock Option (Right to Buy) and LSAR
Exercise: $21.31From: 2000-07-12Exp: 2009-01-25→ Common Stock (200 underlying)
200

Footnotes (7)

[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 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 three equal installments (within one share) beginning on December 31, 2004.
[F7]The option award vest annually in five equal installments beginning on January 28, 2003.

Documents

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