SEC Form 4 · accession 0001127602-16-035522

JANUS CAPITAL GROUP INC · JNS

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).

Reporting owner

Richard M Weil

Officer — Chief Executive Officer · Director

Period of report

Dec 30, 2015

Accepted (ET)

Jan 4, 2016 · 9:17 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001065865

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock	Dec 30, 2015	M	29,400	$14.27	A	1,853,408	D
Common Stock	Dec 30, 2015	M	32,875	$14.27	A	1,886,283	D
Common Stock	Dec 30, 2015	F	44,398	$14.27	D	1,841,885	D
Common Stock	Dec 30, 2015	F	13,695	$14.27	D	1,828,190	D
Common Stock	Dec 30, 2015	F	15,314	$14.27	D	1,812,876	D
Common Stock	Dec 31, 2015	F	11,383	$14.14	D	1,801,493	D
Common Stock	Dec 31, 2015	F	39,370	$14.14	D	1,762,123	D
Common Stock	Dec 31, 2015	F	15,975	$14.14	D	1,746,148	D
Common Stock	holding	—	—		—	752	I	Held By ESOP

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Performance Shares^F1,F2	$0.00	Dec 30, 2015	M	29,400	D	—	Dec 31, 2015	Common Stock	29,400	0	D
Performance Shares^F2	—	Dec 30, 2015	M	32,875	D	—	Dec 31, 2015	Common Stock	32,875	0	D
Performance Shares^F3	—	holding	—	—	—	—	Dec 31, 2016	Common Stock	97,747	97,747	D
Performance Shares^F3	—	holding	—	—	—	—	Dec 31, 2017	Common Stock	137,178	137,178	D
Stock Options (Right to Buy)^F4	$11.78	holding	—	—	—	—	Feb 5, 2017	Common Stock	468,750	468,750	D

Explanation of responses

F1Each 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.
F2Each 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.
F3Each performance share represents a contingent right to receive shares of issuer's common stock. The performance rights vest 3 years from the date of grant upon Janus' achievement of performance goals, which are based upon Janus' 3-year operating income margin. These achievements may result in a payout range between 0% and 200% of the target. The number of performance rights shown in columns 5 and 7 is equal to the target number of performance rights that may be earned. There is no expiration date for performance rights.
F4Due to an administrative oversight, this amended filing includes previously reported stock options that were inadvertently excluded from the January 4, 2012 Form 4 filing.