Filing Details
- Accession Number:
- 0001127602-13-001187
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-01-04 17:48:55
- Reporting Period:
- 2013-01-02
- Filing Date:
- 2013-01-04
- Accepted Time:
- 2013-01-04 17:48:55
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1065865 | Janus Capital Group Inc | JNS | Investment Advice (6282) | 431804048 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1201902 | M Richard Weil | 151 Detroit Street Denver CO 80206 | Chief Executive Officer | Yes | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Disposition | 2013-01-02 | 37,428 | $8.82 | 1,814,871 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2013-01-03 | 85,113 | $8.99 | 1,729,758 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2013-01-03 | 11,235 | $9.06 | 1,718,523 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 702 | Indirect | Held By ESOP |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Performance Shares | $0.00 | 2015-12-31 | 88,200 | 88,200 | Direct | |
| Common Stock | Performance Shares | $0.00 | 2015-12-31 | 131,500 | 131,500 | Direct | |
| Common Stock | Stock Options (Right to Buy) | $11.78 | 2017-02-05 | 468,750 | 468,750 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2015-12-31 | 88,200 | 88,200 | Direct |
| 2015-12-31 | 131,500 | 131,500 | Direct |
| 2017-02-05 | 468,750 | 468,750 | Direct |
Footnotes
- 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.
- Each performance share represents a contingent right to receive one share of issuer's common stock. The vesting of the performance award is subject to the achievement of both of the following criteria: 1) the issuer's stock price closing above $8 per share over 20 consecutive trading days at any point during the 4-year award term; and 2) a 4-year ratable vesting schedule commencing December 30, 2012.
- Each performance share represents a contingent right to receive one share of issuer's common stock. The vesting of the performance award is subject to the achievement of both of the following criteria: 1) the issuer's stock price closing above $10 per share over 20 consecutive trading days at any point during the 4-year award term; and 2) a 4-year ratable vesting schedule commencing December 30, 2012.
- The option award vests annually in four equal installments (within one share) beginning on February 1, 2012.
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