Nelson Peltz - 29 Mar 2022 Form 4 Insider Report for JANUS HENDERSON GROUP PLC (JHG)

Reporting relationship: Director, 10%+ Owner
Issuer ticker: JHG
Reported as of: 29 Mar 2022
Net transaction value: +$24,321,061
SEC form: 4
Accepted by SEC: 31 Mar 2022, 17:12:51 UTC
Prior SEC filing: 15 Mar 2022
Next SEC filing: 06 Apr 2022
Source filing: View source filing
Reporting owner signature: /s/ Stuart I. Rosen, Attorney-in-Fact for Nelson Peltz

Key filing fact

Nelson Peltz filed Form 4 for JANUS HENDERSON GROUP PLC (JHG) on 31 Mar 2022.

Key facts

This page summarizes Nelson Peltz's Form 4 filing for JANUS HENDERSON GROUP PLC (JHG).
3 reported transactions and 0 derivative rows are listed below.
Accepted by SEC: 31 Mar 2022, 17:12.

Change

Previous filing in this sequence was filed on 15 Mar 2022.
Current net transaction value: +$24,321,061.

Research use

This tells you what this filing adds before you inspect full transaction and derivative tables.
You can trace every row back to the original SEC filing document.

Evidence

Filed on Form 4

Ownership activity is grounded in SEC Form 4 disclosures.

View source filing

Reported non-derivative transactions

Shares, units, or other non-derivative securities reported in this filing.

JHG transaction

Common Stock

Purchase

Transaction value: $573,830
Shares: +16,042
Change %: +0.05%
Price: $35.77
Shares after: 31,201,328
Date: 29 Mar 2022
Ownership: Please see explanation below
Footnotes: F1, F2, F3

JHG transaction

Common Stock

Purchase

Transaction value: $16,569,322
Shares: +465,467
Change %: +1.5%
Price: $35.60
Shares after: 31,666,795
Date: 30 Mar 2022
Ownership: Please see explanation below
Footnotes: F2, F3, F4

JHG transaction

Common Stock

Purchase

Transaction value: $7,177,909
Shares: +201,005
Change %: +0.63%
Price: $35.71
Shares after: 31,867,800
Date: 31 Mar 2022
Ownership: Please see explanation below
Footnotes: F2, F3, F5

^* marks a reported price that did not pass the local price check.

Additional SEC filing notes

Filing notes and footnotes

Explanation of responses 5 footnotes

Footnote F1

The price shown in Column 4 is a weighted average purchase price. The price range for the purchase is $35.71 to $35.84. The Reporting Persons undertake to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer, full information regarding the number of shares purchased at each separate price.

Footnote F2

Trian Fund Management, L.P. ("Trian Management") serves as the management company for Trian Partners AM Holdco II, Ltd. ("Trian AM Holdco II") and as such determines the investment and voting decisions of Trian AM Holdco II with respect to the shares of the Issuer held by it. Mr. Peltz is a member of Trian Fund Management GP, LLC, which is the general partner of Trian Management, and therefore is in a position to determine the investment and voting decisions made by Trian Management on behalf of Trian AM Holdco II. Accordingly, Mr. Peltz and Trian Management may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Securities Exchange Act of 1934) the shares beneficially owned by Trian AM Holdco II.

Footnote F3

(FN 2, contd.) The Reporting Persons disclaim beneficial ownership of such shares except to the extent of their respective pecuniary interests therein and this report shall not be deemed an admission that the Reporting Persons are the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Mr. Peltz is a director of the Issuer.

Footnote F4

The price shown in Column 4 is a weighted average purchase price. The price range for the purchase is $35.42 to $35.75. The Reporting Persons undertake to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer, full information regarding the number of shares purchased at each separate price.

Footnote F5

The price shown in Column 4 is a weighted average purchase price. The price range for the purchase is $35.42 to $35.95. The Reporting Persons undertake to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer, full information regarding the number of shares purchased at each separate price.

SEC remarks

The shares which are reported on this filing as being indirectly held by Mr. Peltz and Trian Management through their relationship with Trian AM Holdco II, and the transactions with respect to such shares, are also reported in the filings made by Mr. Garden and Trian Management, and represent the same shares and transactions.