SEC Form 4/A · accession 0001127602-16-036562

JANUS CAPITAL GROUP INC · JNS

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

This is an amendment (Form 4/A). It replaces an earlier filing for the same period.

Reporting owner

Richard M Weil

Officer — Chief Executive Officer · Director

Period of report

Dec 30, 2015

Accepted (ET)

Jan 7, 2016 · 5:52 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^F1	Dec 30, 2015	M	29,400	$14.27	A	1,853,408	D
Common Stock^F2	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^F3	$0.00	Dec 30, 2015	M	29,400	D	—	Dec 31, 2015	Common Stock	29,400	0	D
Performance Shares^F4	$0.00	Dec 30, 2015	M	32,875	D	—	Dec 31, 2015	Common Stock	32,875	0	D
Performance Shares^F5	—	holding	—	—	—	—	—	Common Stock	137,178	137,178	D
Performance Shares^F5	—	holding	—	—	—	—	—	Common Stock	97,747	97,747	D
Stock Options (Right to Buy)^F6	$11.78	holding	—	—	—	—	Feb 5, 2017	Common Stock	468,750	468,750	D

Explanation of responses

F1Includes 29,400 shares of common stock which were previously reported as performance shares.
F2Includes 32,875 shares of common stock which were previously reported as performance shares.
F3Each 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.
F4Each 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.
F5Each 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 7 and 9 is equal to the target number of performance rights that may be earned. There is no expiration date for performance rights.
F6The option award vests annually in four equal installments (within one share) beginning on February 1, 2011.

Remarks

This filing has been amended to correct administrative errors with the footnote disclosure.