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