Goff James P. 4

4 · JANUS CAPITAL GROUP INC · Filed Feb 3, 2009

Form 4

Period: 2009-01-30

Other

Transactions

Award
Common Stock
2009-01-30+63,618→ 340,594 total
Award
Stock Option (Right to Buy)
2009-01-30+140,434→ 140,434 total
Exercise: $5.32Exp: 2016-01-30→ Common Stock (140,434 underlying)

Holdings

Stock Option (Right to Buy)
Exercise: $21.57From: 2009-02-02Exp: 2013-02-12→ Common Stock (44,052 underlying)
44,052
Stock Option (Right to Buy) and LSAR
Exercise: $25.71From: 2007-01-28Exp: 2012-01-27→ Common Stock (26,593 underlying)
26,593
Stock Option (Right to Buy)
Exercise: $21.01Exp: 2014-02-01→ Common Stock (58,463 underlying)
58,463
Common Stock
(indirect: Held by ESOP)
6,101.66
Stock Option (Right to Buy)
Exercise: $27.54Exp: 2015-02-01→ Common Stock (30,876 underlying)
30,876
Stock Option (Right to Buy) and LSAR
Exercise: $16.24From: 2006-12-31Exp: 2014-02-03→ Common Stock (105,106 underlying)
105,106
Stock Option (Right to Buy) and LSAR
Exercise: $21.31From: 2000-07-12Exp: 2009-01-25→ Common Stock (200 underlying)
200

Footnotes (5)

[F1]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.
[F2]This option award vests annually in four equal installments (within one share) beginning on February 1, 2010.
[F3]This option award vests annually in three equal installments beginning on February 1, 2009.
[F4]This option award vests annually in four equal installments beginning on February 1, 2008, subject to acceleration if certain performance criteria are met.
[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 in Control of the issuer which has not been approved by certain members of the issuer's board of directors and results in the receipt of only cash by the option holder. All LSARs unvested as of January 1, 2005 have been terminated.

Documents

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