SEC Form 4 · accession 0001127602-16-052833
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
May 17, 2016
Accepted (ET)
May 19, 2016 · 6:13 pm EDT
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 | May 17, 2016 | M | 468,750 | $11.78 | A | 2,352,522 | D | |
| Common StockF1 | May 17, 2016 | F | 424,189 | $14.33 | D | 1,928,333 | D | |
| Common Stock | holding | — | — | — | 758 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options (Right to Buy)F2 | $11.78 | May 17, 2016 | M | 468,750 | D | — | Feb 5, 2017 | Common Stock | 468,750 | 0 | D |
Explanation of responses
- F1Stock swap used to cover the stock option exercise price and the withholding taxes due resulting from the stock option exercise.
- F2The option award vests annually in four equal installments (within one share) beginning on February 1, 2011.