4//SEC Filing
Grace Scott S 4
Accession 0001440950-09-000004
CIK 0001065865other
Filed
Feb 5, 7:00 PM ET
Accepted
Feb 6, 7:03 PM ET
Size
15.2 KB
Accession
0001440950-09-000004
Insider Transaction Report
Form 4
Grace Scott S
SVP and Treasurer
Transactions
- Sale
Common Stock
2009-02-04$5.48/sh−1,160$6,357→ 29,368 total - Sale
Common Stock
2009-02-04$5.49/sh−800$4,392→ 28,568 total
Holdings
- 2,841
Stock Option (Right to Buy)
Exercise: $27.54Exp: 2015-02-01→ Common Stock (2,841 underlying) - 6,126
Stock Option (Right to Buy)
Exercise: $21.01Exp: 2014-02-01→ Common Stock (6,126 underlying) - 6,140
Stock Option (Right to Buy)
Exercise: $21.57From: 2009-02-02Exp: 2013-02-12→ Common Stock (6,140 underlying) - 13,514
Stock Option (Right to Buy) and LSAR
Exercise: $16.24From: 2007-12-31Exp: 2014-02-03→ Common Stock (13,514 underlying) - 1,910.95(indirect: Held by ESOP)
Common Stock
- 17,531
Stock Option (Right to Buy)
Exercise: $5.32Exp: 2016-01-30→ Common Stock (17,531 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]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 installments: 937 on February 1, 2009, 938 on February 1, 2010 and 966 on February 1, 2011.
- [F4]This option award vests annually in four equal installments (within one share) 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 result in the receipt of only cash by the option holder. LSARs terminate when the related options are exercised or termianted. 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 0001440950
Filing Metadata
- Form type
- 4
- Filed
- Feb 5, 7:00 PM ET
- Accepted
- Feb 6, 7:03 PM ET
- Size
- 15.2 KB