Filing Details

Accession Number:
0001380666-10-000001
Form Type:
4
Zero Holdings:
No
Publication Time:
2010-02-04 12:00:00
Reporting Period:
2010-02-02
Filing Date:
2010-02-04
Accepted Time:
2010-02-04 19:02:20
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
1380666 Gibson Richard Smith 151 Detroit Street
Denver CO 80206
No No No Yes
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 2010-02-02 15,916 $12.29 213,131 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 4,226 Indirect Held by ESOP
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Stock Option (Right to Buy) $5.32 2016-01-30 268,991 268,991 Direct
Common Stock Stock Option (Right to Buy) $27.54 2015-01-31 65,399 65,399 Direct
Common Stock Stock Option (Right to Buy) $21.01 2014-02-01 37,995 37,995 Direct
Common Stock Stock Option (Right to Buy) $21.57 2009-02-02 2013-02-12 13,566 13,566 Direct
Common Stock Stock Option (Right to Buy) and LSAR $16.24 2007-01-01 2014-02-03 38,757 38,757 Direct
Common Stock Stock Option (Right to Buy) and LSAR $14.37 2006-05-08 2013-05-07 4,370 4,370 Direct
Common Stock Stock Option (Right to Buy) and LSAR $14.37 2008-05-08 2013-05-07 4,370 4,370 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2016-01-30 268,991 268,991 Direct
2015-01-31 65,399 65,399 Direct
2014-02-01 37,995 37,995 Direct
2013-02-12 13,566 13,566 Direct
2014-02-03 38,757 38,757 Direct
2013-05-07 4,370 4,370 Direct
2013-05-07 4,370 4,370 Direct
Footnotes
  1. 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.
  2. Shares were sold in the following manner: 2,710 at $12.22; 3,100 at $12.23; 1,406 at $12.24; 1,200 at $12.25; 500 at $12.26; 600 at $12.28; 100 at $12.30; 500 at $12.31; 200 at $12.32; 1,000 at $12.34; 1,100 at $12.35; 900 at $12.36; 500 at $12.39; 1,500 at $12.40; and 600 at $12.41 per share.
  3. The option award vests annually in four equal installments (within one share) beginning on February 1, 2010.
  4. The option award vests annually in three equal installments beginning on February 1, 2009.
  5. The option award vests annually in four equal installments (within one share) beginning on February 1, 2008.
  6. 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.