0001127602-13-004410.txt : 20130205 0001127602-13-004410.hdr.sgml : 20130205 20130205185236 ACCESSION NUMBER: 0001127602-13-004410 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130204 FILED AS OF DATE: 20130205 DATE AS OF CHANGE: 20130205 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: WEIL RICHARD M CENTRAL INDEX KEY: 0001201902 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15253 FILM NUMBER: 13575451 MAIL ADDRESS: STREET 1: 840 NEWPORT CENTER DRIVE CITY: NEWPORT BEACH STATE: CA ZIP: 92660 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: JANUS CAPITAL GROUP INC CENTRAL INDEX KEY: 0001065865 STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282] IRS NUMBER: 431804048 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 151 DETROIT ST CITY: DENVER STATE: CO ZIP: 80206 BUSINESS PHONE: 3033333863 MAIL ADDRESS: STREET 1: 151 DETROIT ST CITY: DENVER STATE: CO ZIP: 80206 FORMER COMPANY: FORMER CONFORMED NAME: STILWELL FINANCIAL INC DATE OF NAME CHANGE: 19990806 FORMER COMPANY: FORMER CONFORMED NAME: FAM HOLDINGS INC DATE OF NAME CHANGE: 19980710 4 1 form4.xml PRIMARY DOCUMENT X0306 4 2013-02-04 0001065865 JANUS CAPITAL GROUP INC JNS 0001201902 WEIL RICHARD M 151 DETROIT STREET DENVER CO 80206 1 1 Chief Executive Officer Common Stock 2013-02-04 4 S 0 29959 9.259 D 1688564 D Common Stock 702.129 I Held By ESOP Performance Shares 0 2015-12-31 Common Stock 88200 88200 D Performance Shares 0 2015-12-31 Common Stock 131500 131500 D Stock Options (Right to Buy) 11.78 2017-02-05 Common Stock 468750 468750 D 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. Kathlene Duncan, Attorney-in-Fact for Richard M. Weil 2013-02-05