4//SEC Filing
Goff James P. 4
Accession 0001436266-11-000002
CIK 0001065865other
Filed
Feb 3, 7:00 PM ET
Accepted
Feb 4, 6:18 PM ET
Size
16.3 KB
Accession
0001436266-11-000002
Insider Transaction Report
Form 4
Goff James P.
Other
Transactions
- Sale
Common Stock
2011-02-02−9,997→ 362,891 total
Holdings
- 79,310
Stock Option (Right to Buy)
Exercise: $11.78Exp: 2017-02-05→ Common Stock (79,310 underlying) - 44,052
Stock Option (Right to Buy)
Exercise: $21.57From: 2009-02-02Exp: 2013-02-12→ Common Stock (44,052 underlying) - 26,593
Stock Option (Right to Buy) and LSAR
Exercise: $25.71From: 2007-01-28Exp: 2012-01-27→ Common Stock (26,593 underlying) - 140,434
Stock Option (Right to Buy)
Exercise: $5.32Exp: 2016-01-30→ Common Stock (140,434 underlying) - 58,463
Stock Option (Right to Buy)
Exercise: $21.01From: 2011-02-01Exp: 2014-02-01→ Common Stock (58,463 underlying) - 105,106
Stock Option (Right to Buy) and LSAR
Exercise: $16.24From: 2006-12-31Exp: 2014-02-03→ Common Stock (105,106 underlying) - 7,753(indirect: Held by ESOP)
Common Stock
- 30,876
Stock Option (Right to Buy)
Exercise: $27.54From: 2011-02-01Exp: 2015-02-01→ Common Stock (30,876 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]Shares were sold in the following manner: 300 at $12.74 per share; 700 at $12.75 per share; 400 at $12.76 per share; 3,197 at $12.77 per share; 1,700 at $12.78 per share; 2,200 at $12.79 per share; 1,500 at $12.80 per share.
- [F3]This option award vests annually in four equal installments (within one share) beginning on February 1, 2011.
- [F4]This option award vests annually in four equal installments (within one share) beginning on February 1, 2010.
- [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 results in the receipt of only cash by the option holder. All LSARs unvested as of January 1, 2005 have been terminated.
Documents
Issuer
JANUS CAPITAL GROUP INC
CIK 0001065865
Entity typeother
Related Parties
1- filerCIK 0001436266
Filing Metadata
- Form type
- 4
- Filed
- Feb 3, 7:00 PM ET
- Accepted
- Feb 4, 6:18 PM ET
- Size
- 16.3 KB