SEC Form 4 · accession 0001127602-16-036109
JANUS CAPITAL GROUP INC · JNS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard M Weil
Officer — Chief Executive Officer · Director
Period of report
Dec 31, 2015
Accepted (ET)
Jan 5, 2016 · 6:42 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 31, 2015 | A | 137,624 | $0.00 | A | 1,883,772 | 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 SharesF1,F2 | — | holding | — | — | — | — | — | Common Stock | 137,624 | 137,624 | D |
Explanation of responses
- F1Each 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 total relative shareholder return. These achievements may result in a payout range between 0% and 200% of the target. The number of performance rights shown in columns 7 and 9 is equal to the target number of performance rights that may be earned. There is no expiration date for performance rights.
- F2Number of shares reported in Columns 7 and 9 represent an estimated number of shares. Filer will amend this Form 4, if necessary, once the number of shares has been determined based on a final accounting valuation of the reported grant.