SEC Form 4 · accession 0001127602-17-007466
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
Feb 17, 2017
Accepted (ET)
Feb 21, 2017 · 5:43 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 | Feb 17, 2017 | F | 24,739 | $12.38 | D | 1,953,724 | D | |
| Common StockF1 | Feb 17, 2017 | M | 53,110 | — | A | 2,006,834 | D | |
| Common Stock | holding | — | — | — | 782 | 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 | — | Feb 17, 2017 | M | 53,110 | D | — | — | Common Stock | 53,110 | 0 | 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 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 actual performance payout calculated at 54.33%.