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Section 1: 8-K (8-K)

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C.  20549

 

FORM 8-K

 

CURRENT REPORT

Pursuant to Section 13 or 15(d) of the

Securities Exchange Act of 1934

 

Date of Report (Date of earliest event reported)

April 22, 2016

 

 

Janus Capital Group Inc.

(Exact name of registrant as specified in its charter)

 

DELAWARE

 

001-15253

 

43-1804048

(State or other jurisdiction

 

(Commission file

 

(IRS Employer

of incorporation)

 

number)

 

Identification Number)

 

151 DETROIT STREET

DENVER, COLORADO 80206

(Address of principal executive offices)  (Zip Code)

 

Registrant’s telephone number, including area code

(303) 333-3863

 

Not Applicable

(Former name or former address if changed since last report)

 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):

 

o    Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

o    Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

o    Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

o    Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

 

 



 

Item 5.07              Submission of Matters to a Vote of Security Holders.

 

The Annual Meeting of Shareholders of Janus Capital Group Inc. (the “Company”) was held in Denver, Colorado, on April 22, 2016.  At that meeting, the shareholders considered and acted upon the following proposals:

 

Proposal No. 1:  Election of Directors.  By the vote reflected below, our shareholders elected the following individuals as directors for a one-year term:

 

 

 

For

 

Against

 

Abstain

 

Broker Non-
Votes

 

Jeffrey J. Diermeier

 

154,158,202

 

625,820

 

426,220

 

13,341,956

 

Eugene Flood, Jr.

 

152,392,995

 

2,389,081

 

428,166

 

13,341,956

 

J. Richard Fredericks

 

152,303,987

 

2,478,789

 

427,466

 

13,341,956

 

Deborah R. Gatzek

 

151,961,100

 

2,821,300

 

427,842

 

13,341,956

 

Lawrence E. Kochard

 

152,238,915

 

2,526,926

 

444,401

 

13,341,956

 

Arnold A. Pinkston

 

154,230,237

 

557,396

 

422,609

 

13,341,956

 

Glenn S. Schafer

 

154,129,500

 

651,431

 

429,311

 

13,341,956

 

Richard M. Weil

 

154,051,646

 

679,712

 

478,884

 

13,341,956

 

Billie I. Williamson

 

154,233,560

 

547,528

 

429,154

 

13,341,956

 

Tatsusaburo Yamamoto

 

154,283,203

 

487,911

 

439,128

 

13,341,956

 

 

Proposal No. 2:  Ratification of the Appointment of Deloitte & Touche LLP as Independent Auditor. By the vote reflected below, our shareholders ratified the appointment of Deloitte & Touche LLP as the Company’s independent auditor for fiscal year 2016:

 

 

 

For

 

Against

 

Abstain

 

Proposal 2

 

166,807,531

 

1,556,012

 

188,655

 

 

Proposal No. 3:  Non-binding Advisory Vote Related to Executive Compensation. By the vote reflected below, our shareholders approved, on an advisory basis, the compensation of the Company’s named executive officers:

 

 

 

For

 

Against

 

Abstain

 

Broker Non-
Votes

 

Proposal 3

 

133,534,641

 

21,308,533

 

367,068

 

13,341,956

 

 

Proposal No. 4:  Non-binding Advisory Vote on the Adoption of an Amendment to the Amended and Restated Bylaws Designating Delaware as the Exclusive Forum for Certain Legal Actions. By the vote reflected below, our shareholders approved on an advisory basis the Second

 

Amendment to the Amended and Restated Bylaws of Janus Capital Group Inc. which designates Delaware as the exclusive forum for certain legal actions involving the Company:

 

 

 

For

 

Against

 

Abstain

 

Broker Non-
Votes

 

Proposal 4

 

119,435,871

 

35,448,588

 

325,783

 

13,341,956

 

 

2



 

SIGNATURES

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

 

Janus Capital Group Inc.

 

 

 

Date: April 27, 2016

 

By:

/s/ David W. Grawemeyer

 

 

 

Executive Vice President and

 

 

 

General Counsel

 

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