SEC Form 4 · accession 0001127602-17-000725

JANUS CAPITAL GROUP INC · JNS

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

Reporting owner

Officer — Chief Executive Officer · Director

Period of report

Dec 30, 2016

Accepted (ET)

Jan 4, 2017 · 5:18 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, 2016	F	11,383	$13.38	D	1,916,950	D
Common Stock	Dec 30, 2016	F	39,370	$13.38	D	1,877,580	D
Common Stock	Dec 30, 2016	F	16,027	$13.38	D	1,861,553	D
Common Stock	Dec 30, 2016	F	15,975	$13.38	D	1,845,578	D
Common Stock	Dec 30, 2016	A	132,885	$0.00	A	1,978,463	D
Common Stock	holding	—	—		—	775	I	Held By ESOP

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Performance Shares^F1,F2	—	Dec 30, 2016	A	134,666	A	—	—	Common Stock	134,666	134,666	D

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 ("TSR"). 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.
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.