Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| THERMO FISHER SCIENTIFIC INC.TMO · Entity 2836 | Director | August 18, 2008 | August 19, 2008 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
THERMO FISHER SCIENTIFIC INC.
Report date August 18, 2008 · Filed August 19, 2008
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 6,143 |
Ending reported balance
After 2008-08-18 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2008-08-18 · Exercise / conversion · Acquired 20,000 · Balance 26,143 Row 2 · 2008-08-18 · Sale · Disposed 20,000 · Balance 6,143 F1: The price in Column 4 is a weighted average price. The prices actually received ranged from $61.50 to $61.57. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $30.04 · Expires 2015-05-06 | Direct | 0 |
Reported balance
After 2008-08-18 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2008-08-18 · Exercise / conversion · Disposed 20,000 · Balance 0 |
Filing footnotes · ownership attribution and instrument terms
F1: The price in Column 4 is a weighted average price. The prices actually received ranged from $61.50 to $61.57. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
JANUS CAPITAL GROUP INC
Report date May 30, 2017 · Filed June 01, 2017
Section 16 reporting ended · disclosed 2017-06-01. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2017-05-30 transaction · row 1
1 source rowRow 1 · 2017-05-30 · Disposition to issuer · Disposed 395,963 · Balance 0 F1: On May 30, 2017, pursuant to that certain Agreement and Plan of Merger, dated as of October 3, 2016 (the "Merger Agreement"), by and among Henderson Group plc ("Henderson"), a company incorporated in Jersey, Horizon Orbit Corp., a Delaware corporation and direct wholly-owned subsidiary of Henderson ("Merger Sub"), and Janus Capital Group Inc., a Delaware corporation ("JCG"), JCG and Henderson (which has been renamed as Janus Henderson Group plc ("Janus Henderson")) completed the merger-of-equals whereby the Merger Sub merged with and into JCG, with JCG surviving the merger as a direct wholly-owned subsidiary of Janus Henderson (the "Merger"). F2: Pursuant to the Merger Agreement, each share of JCG common stock, par value $0.01 per share ("Common Stock"), issued and outstanding immediately prior to the completion of the Merger was automatically converted into the right to receive 0.47190 of a fully paid up Janus Henderson ordinary share, par value Pound 0.125 per share ("Ordinary Shares"), together with cash in lieu of any fractional Ordinary Share. |
| Common StockSEC Table I · non-derivative | IndirectHeld by ESOP | 0 |
Reported balance
After 2017-05-30 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2017-05-30 · Disposition to issuer · Disposed 319.475 · Balance 0 F1: On May 30, 2017, pursuant to that certain Agreement and Plan of Merger, dated as of October 3, 2016 (the "Merger Agreement"), by and among Henderson Group plc ("Henderson"), a company incorporated in Jersey, Horizon Orbit Corp., a Delaware corporation and direct wholly-owned subsidiary of Henderson ("Merger Sub"), and Janus Capital Group Inc., a Delaware corporation ("JCG"), JCG and Henderson (which has been renamed as Janus Henderson Group plc ("Janus Henderson")) completed the merger-of-equals whereby the Merger Sub merged with and into JCG, with JCG surviving the merger as a direct wholly-owned subsidiary of Janus Henderson (the "Merger"). F2: Pursuant to the Merger Agreement, each share of JCG common stock, par value $0.01 per share ("Common Stock"), issued and outstanding immediately prior to the completion of the Merger was automatically converted into the right to receive 0.47190 of a fully paid up Janus Henderson ordinary share, par value Pound 0.125 per share ("Ordinary Shares"), together with cash in lieu of any fractional Ordinary Share. |
| Stock Options (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $8.57 · Expires 2019-02-01 | Direct | 0 |
Reported balance
After 2017-05-30 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2017-05-30 · Disposition to issuer · Disposed 151,515 · Balance 0 F3: Disposed of pursuant to the Merger Agreement whereby each Janus option outstanding immediately prior to the effective time, whether vested or unvested, was be converted into an option exercisable for that number of Ordinary Shares equal to the product of (i) the aggregate number of shares of Common Stock for which such Janus option was exercisable multiplied by (ii) 0.47190, rounded up to the nearest whole share. The exercise price per share of such converted Janus option will be adjusted so that it is equal to (A) the exercise price per share of such Janus option immediately prior to the effective time divided by (B) 0.47190, rounded up to the nearest cent. |
| Stock Options (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $9.77 · Expires 2020-02-01 | Direct | 0 |
Reported balance
After 2017-05-30 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2017-05-30 · Disposition to issuer · Disposed 45,455 · Balance 0 F3: Disposed of pursuant to the Merger Agreement whereby each Janus option outstanding immediately prior to the effective time, whether vested or unvested, was be converted into an option exercisable for that number of Ordinary Shares equal to the product of (i) the aggregate number of shares of Common Stock for which such Janus option was exercisable multiplied by (ii) 0.47190, rounded up to the nearest whole share. The exercise price per share of such converted Janus option will be adjusted so that it is equal to (A) the exercise price per share of such Janus option immediately prior to the effective time divided by (B) 0.47190, rounded up to the nearest cent. |
Filing footnotes · ownership attribution and instrument terms
F1: On May 30, 2017, pursuant to that certain Agreement and Plan of Merger, dated as of October 3, 2016 (the "Merger Agreement"), by and among Henderson Group plc ("Henderson"), a company incorporated in Jersey, Horizon Orbit Corp., a Delaware corporation and direct wholly-owned subsidiary of Henderson ("Merger Sub"), and Janus Capital Group Inc., a Delaware corporation ("JCG"), JCG and Henderson (which has been renamed as Janus Henderson Group plc ("Janus Henderson")) completed the merger-of-equals whereby the Merger Sub merged with and into JCG, with JCG surviving the merger as a direct wholly-owned subsidiary of Janus Henderson (the "Merger").
F2: Pursuant to the Merger Agreement, each share of JCG common stock, par value $0.01 per share ("Common Stock"), issued and outstanding immediately prior to the completion of the Merger was automatically converted into the right to receive 0.47190 of a fully paid up Janus Henderson ordinary share, par value Pound 0.125 per share ("Ordinary Shares"), together with cash in lieu of any fractional Ordinary Share.
F3: Disposed of pursuant to the Merger Agreement whereby each Janus option outstanding immediately prior to the effective time, whether vested or unvested, was be converted into an option exercisable for that number of Ordinary Shares equal to the product of (i) the aggregate number of shares of Common Stock for which such Janus option was exercisable multiplied by (ii) 0.47190, rounded up to the nearest whole share. The exercise price per share of such converted Janus option will be adjusted so that it is equal to (A) the exercise price per share of such Janus option immediately prior to the effective time divided by (B) 0.47190, rounded up to the nearest cent.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| May 30, 2017 Filed Jun 1, 2017 16:47 UTC | JANUS CAPITAL GROUP INC JNS · Entity 175616 | Disposition to issuerStock Options (Right to Buy) · Derivative | 45,455 | Not disclosed Strike: $9.77 | Not disclosed |
DisclosureSEC source: 0001104659-17-036937 · a4.xml · derivative · entry 4 KOEPFGEN BRUCE L · CIK 0001269979 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 45,455 shares Expires 2020-02-01 F3 · price: Disposed of pursuant to the Merger Agreement whereby each Janus option outstanding immediately prior to the effective time, whether vested or unvested, was be converted into an option exercisable for that number of Ordinary Shares equal to the product of (i) the aggregate number of shares of Common Stock for which such Janus option was exercisable multiplied by (ii) 0.47190, rounded up to the nearest whole share. The exercise price per share of such converted Janus option will be adjusted so that it is equal to (A) the exercise price per share of such Janus option immediately prior to the effective time divided by (B) 0.47190, rounded up to the nearest cent. Read SEC document |
| May 30, 2017 Filed Jun 1, 2017 16:47 UTC | JANUS CAPITAL GROUP INC JNS · Entity 175616 | Disposition to issuerStock Options (Right to Buy) · Derivative | 151,515 | Not disclosed Strike: $8.57 | Not disclosed |
DisclosureSEC source: 0001104659-17-036937 · a4.xml · derivative · entry 3 KOEPFGEN BRUCE L · CIK 0001269979 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 151,515 shares Expires 2019-02-01 F3 · price: Disposed of pursuant to the Merger Agreement whereby each Janus option outstanding immediately prior to the effective time, whether vested or unvested, was be converted into an option exercisable for that number of Ordinary Shares equal to the product of (i) the aggregate number of shares of Common Stock for which such Janus option was exercisable multiplied by (ii) 0.47190, rounded up to the nearest whole share. The exercise price per share of such converted Janus option will be adjusted so that it is equal to (A) the exercise price per share of such Janus option immediately prior to the effective time divided by (B) 0.47190, rounded up to the nearest cent. Read SEC document |
| May 30, 2017 Filed Jun 1, 2017 16:47 UTC | JANUS CAPITAL GROUP INC JNS · Entity 175616 | Disposition to issuerCommon Stock | 319.475 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-17-036937 · a4.xml · nonDerivative · entry 2 KOEPFGEN BRUCE L · CIK 0001269979 · President 10b5-1 filing: Not disclosed Ownership: Indirect · Held by ESOP Disclosed balance after: 0 F1 · date: On May 30, 2017, pursuant to that certain Agreement and Plan of Merger, dated as of October 3, 2016 (the "Merger Agreement"), by and among Henderson Group plc ("Henderson"), a company incorporated in Jersey, Horizon Orbit Corp., a Delaware corporation and direct wholly-owned subsidiary of Henderson ("Merger Sub"), and Janus Capital Group Inc., a Delaware corporation ("JCG"), JCG and Henderson (which has been renamed as Janus Henderson Group plc ("Janus Henderson")) completed the merger-of-equals whereby the Merger Sub merged with and into JCG, with JCG surviving the merger as a direct wholly-owned subsidiary of Janus Henderson (the "Merger"). F2 · price: Pursuant to the Merger Agreement, each share of JCG common stock, par value $0.01 per share ("Common Stock"), issued and outstanding immediately prior to the completion of the Merger was automatically converted into the right to receive 0.47190 of a fully paid up Janus Henderson ordinary share, par value Pound 0.125 per share ("Ordinary Shares"), together with cash in lieu of any fractional Ordinary Share. Read SEC document |
| May 30, 2017 Filed Jun 1, 2017 16:47 UTC | JANUS CAPITAL GROUP INC JNS · Entity 175616 | Disposition to issuerCommon Stock | 395,963 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-17-036937 · a4.xml · nonDerivative · entry 1 KOEPFGEN BRUCE L · CIK 0001269979 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · date: On May 30, 2017, pursuant to that certain Agreement and Plan of Merger, dated as of October 3, 2016 (the "Merger Agreement"), by and among Henderson Group plc ("Henderson"), a company incorporated in Jersey, Horizon Orbit Corp., a Delaware corporation and direct wholly-owned subsidiary of Henderson ("Merger Sub"), and Janus Capital Group Inc., a Delaware corporation ("JCG"), JCG and Henderson (which has been renamed as Janus Henderson Group plc ("Janus Henderson")) completed the merger-of-equals whereby the Merger Sub merged with and into JCG, with JCG surviving the merger as a direct wholly-owned subsidiary of Janus Henderson (the "Merger"). F2 · price: Pursuant to the Merger Agreement, each share of JCG common stock, par value $0.01 per share ("Common Stock"), issued and outstanding immediately prior to the completion of the Merger was automatically converted into the right to receive 0.47190 of a fully paid up Janus Henderson ordinary share, par value Pound 0.125 per share ("Ordinary Shares"), together with cash in lieu of any fractional Ordinary Share. Read SEC document |
| February 01, 2017 Filed Feb 3, 2017 19:01 UTC | JANUS CAPITAL GROUP INC JNS · Entity 175616 | Tax withholdingCommon Stock | 37,635 | $12.30 | $462,910.50 |
DisclosureSEC source: 0001127602-17-003984 · form4.xml · nonDerivative · entry 1 KOEPFGEN BRUCE L · CIK 0001269979 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 395,963 F1 · shares: Shares withheld for taxes from restricted stock vesting. Read SEC document |
| January 31, 2017 Filed Feb 1, 2017 19:12 UTC | JANUS CAPITAL GROUP INC JNS · Entity 175616 | GrantCommon Stock | 88,475 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-003417 · form4.xml · nonDerivative · entry 1 KOEPFGEN BRUCE L · CIK 0001269979 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 433,598 Read SEC document |
| August 18, 2008 Filed Aug 19, 2008 21:25 UTC | THERMO FISHER SCIENTIFIC INC. TMO · Entity 2836 | Exercise / conversionStock Option (Right to Buy) · Derivative | 20,000 | $0.00 Strike: $30.04 | $0.00 |
DisclosureSEC source: 0001225208-08-013866 · doc4.xml · derivative · entry 3 KOEPFGEN BRUCE L · CIK 0001269979 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 20,000 shares Expires 2015-05-06 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| August 18, 2008 Filed Aug 19, 2008 21:25 UTC | THERMO FISHER SCIENTIFIC INC. TMO · Entity 2836 | SaleCommon Stock | 20,000 | $61.51 | $1,230,200.00 |
DisclosureSEC source: 0001225208-08-013866 · doc4.xml · nonDerivative · entry 2 KOEPFGEN BRUCE L · CIK 0001269979 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,143 F1 · price: The price in Column 4 is a weighted average price. The prices actually received ranged from $61.50 to $61.57. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range. Read SEC document |
| August 18, 2008 Filed Aug 19, 2008 21:25 UTC | THERMO FISHER SCIENTIFIC INC. TMO · Entity 2836 | Exercise / conversionCommon Stock | 20,000 | $30.04 | $600,800.00 |
DisclosureSEC source: 0001225208-08-013866 · doc4.xml · nonDerivative · entry 1 KOEPFGEN BRUCE L · CIK 0001269979 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,143 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| May 20, 2008 Filed May 22, 2008 18:37 UTC | THERMO FISHER SCIENTIFIC INC. TMO · Entity 2836 | GrantCommon Stock | 2,143 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-08-009188 · doc4.xml · nonDerivative · entry 1 KOEPFGEN BRUCE L · CIK 0001269979 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,143 Read SEC document |
| November 09, 2006 Filed Nov 15, 2006 02:15 UTC | THERMO FISHER SCIENTIFIC INC. TMO · Entity 2836 | GrantStock Option (Right to Buy) · Derivative | 20,000 | Not disclosed Strike: $36.87 | Not disclosed |
DisclosureSEC source: 0000097745-06-000216 · koe393.xml · derivative · entry 4 KOEPFGEN BRUCE L · CIK 0001269979 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2016-05-05 F4 · price: Received in the Merger in exchange for a stock option to acquire 10,000 shares of FSH common stock for $73.73 per share. Read SEC document |
| November 09, 2006 Filed Nov 15, 2006 02:15 UTC | THERMO FISHER SCIENTIFIC INC. TMO · Entity 2836 | GrantStock Option (Right to Buy) · Derivative | 20,000 | Not disclosed Strike: $30.04 | Not disclosed |
DisclosureSEC source: 0000097745-06-000216 · koe393.xml · derivative · entry 3 KOEPFGEN BRUCE L · CIK 0001269979 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2015-05-06 F3 · price: Received in the Merger in exchange for a stock option to acquire 10,000 shares of FSH common stock for $60.07 per share. Read SEC document |
| November 09, 2006 Filed Nov 15, 2006 02:15 UTC | THERMO FISHER SCIENTIFIC INC. TMO · Entity 2836 | GrantStock Option (Right to Buy) · Derivative | 15,600 | $0.00 Strike: $43.37 | $0.00 |
DisclosureSEC source: 0000097745-06-000216 · koe393.xml · derivative · entry 2 KOEPFGEN BRUCE L · CIK 0001269979 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,600 Underlying: Common Stock · 15,600 shares Expires 2013-11-09 F2 · derivative.exercise_date: The option vests in three equal annual installments beginning on November 9, 2007. Read SEC document |
| November 09, 2006 Filed Nov 15, 2006 02:15 UTC | THERMO FISHER SCIENTIFIC INC. TMO · Entity 2836 | GrantCommon Stock | 4,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000097745-06-000216 · koe393.xml · nonDerivative · entry 1 KOEPFGEN BRUCE L · CIK 0001269979 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,000 F1 · price: Received in exchange for 2,000 Restricted Stock Units accrued under Fisher Scientific International Inc.'s ("FSH") 2005 Equity and Incentive Plan. The Restricted Stock Units were settled pursuant to the merger of Thermo Fisher Scientific Inc. (formerly known as Thermo Electron Coroporation), Trumpet Merger Corporation and FSH (the "Merger") for 2.0 shares of TMO common stock on the effective date of the Merger. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.