-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, SQTDkqNrcSbx7hFzHp9YXayTqGsdk1FQ7LLKCer8q5k434segbSGWhunihQoreci f5WfhIpa70OeP+Y3Z8JL3A== 0000950142-04-001396.txt : 20040423 0000950142-04-001396.hdr.sgml : 20040423 20040423155945 ACCESSION NUMBER: 0000950142-04-001396 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20040423 GROUP MEMBERS: HIGHFIELDS CAPITAL LTD. GROUP MEMBERS: HIGHFIELDS CAPITAL MANAGEMENT LP GROUP MEMBERS: HIGHFIELDS GP LLC GROUP MEMBERS: JONATHON S. JACOBSON GROUP MEMBERS: RICHARD L. GRUBMAN FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: HIGHFIELDS CAPITAL MANAGEMENT LP CENTRAL INDEX KEY: 0001079563 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 200 CLARENDON STREET 51ST FLOOR CITY: BOSTON STATE: MA ZIP: 02117 BUSINESS PHONE: 6178507500 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: JANUS CAPITAL GROUP INC CENTRAL INDEX KEY: 0001065865 STANDARD INDUSTRIAL CLASSIFICATION: FINANCE SERVICES [6199] IRS NUMBER: 431804048 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-60963 FILM NUMBER: 04751185 BUSINESS ADDRESS: STREET 1: 151 DETROIT ST CITY: DENVER STATE: CO ZIP: 80206 BUSINESS PHONE: 3033333863 MAIL ADDRESS: STREET 1: 151 DETROIT ST CITY: DENVER STATE: CO ZIP: 80206 FORMER COMPANY: FORMER CONFORMED NAME: STILWELL FINANCIAL INC DATE OF NAME CHANGE: 19990806 FORMER COMPANY: FORMER CONFORMED NAME: FAM HOLDINGS INC DATE OF NAME CHANGE: 19980710 SC 13D/A 1 sc13da9_janus.txt AMENDMENT NO. 9 ================================================================================ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 _______________________ SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (AMENDMENT NO. 9) _______________________ JANUS CAPITAL GROUP, INC. (Name of Issuer) COMMON STOCK, PAR VALUE $0.01 PER SHARE (Title of Class of Securities) 47102X105 (CUSIP Number) JOSEPH F. MAZZELLA, GENERAL COUNSEL HIGHFIELDS CAPITAL MANAGEMENT LP 200 CLARENDON STREET 51ST FLOOR BOSTON, MA (617 850-7500 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) _______________________ April 22, 2004 (Date of Event which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of ss.ss.240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box [_] NOTE: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See ss.240.13d-7 for other parties to whom copies are to be sent. *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page. The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). ================================================================================ - -------------------------------------------------------------------------------- CUSIP No. 47102X105 Page 2 of 11 - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Highfields Capital Management LP - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) [_] (b) [_] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS (SEE INSTRUCTIONS) AF - -------------------------------------------------------------------------------- 5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [_] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER 19,826,687 -------------------------------------------------- NUMBER OF 8 SHARED VOTING POWER SHARES BENEFICIALLY OWNED None BY EACH REPORTING -------------------------------------------------- PERSON 9 SOLE DISPOSITIVE POWER WITH 19,826,687 -------------------------------------------------- 10 SHARED DISPOSITIVE POWER None - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 19,826,687 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) [_] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 8.3%(1) - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) PN - -------------------------------------------------------------------------------- - ---------- (1) All percentages herein are based upon 239,509,116 issued and outstanding shares of Common Stock. - -------------------------------------------------------------------------------- CUSIP No. 47102X105 Page 3 of 11 - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Highfields GP LLC - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) [_] (b) [_] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS (SEE INSTRUCTIONS) AF - -------------------------------------------------------------------------------- 5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [_] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER 19,826,687 -------------------------------------------------- NUMBER OF 8 SHARED VOTING POWER SHARES BENEFICIALLY OWNED None BY EACH REPORTING -------------------------------------------------- PERSON 9 SOLE DISPOSITIVE POWER WITH 19,826,687 -------------------------------------------------- 10 SHARED DISPOSITIVE POWER None - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 19,826,687 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) [_] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 8.3%(1) - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) OO - -------------------------------------------------------------------------------- - ---------- (1) All percentages herein are based upon 239,509,116 issued and outstanding shares of Common Stock. - -------------------------------------------------------------------------------- CUSIP No. 47102X105 Page 4 of 11 - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Highfields Capital Ltd. - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) [_] (b) [_] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS (SEE INSTRUCTIONS) WC - -------------------------------------------------------------------------------- 5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [_] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Cayman Islands, B.W.I. - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER 13,966,473 -------------------------------------------------- NUMBER OF 8 SHARED VOTING POWER SHARES BENEFICIALLY OWNED None BY EACH REPORTING -------------------------------------------------- PERSON 9 SOLE DISPOSITIVE POWER WITH 13,966,473 -------------------------------------------------- 10 SHARED DISPOSITIVE POWER None - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 13,966,473 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) [_] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 5.8%(1) - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) CO - -------------------------------------------------------------------------------- - ---------- (1) All percentages herein are based upon 239,509,116 issued and outstanding shares of Common Stock. - -------------------------------------------------------------------------------- CUSIP No. 47102X105 Page 5 of 11 - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Jonathon S. Jacobson - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) [_] (b) [_] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS (SEE INSTRUCTIONS) AF - -------------------------------------------------------------------------------- 5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [_] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER 19,826,687 -------------------------------------------------- NUMBER OF 8 SHARED VOTING POWER SHARES BENEFICIALLY OWNED None BY EACH REPORTING -------------------------------------------------- PERSON 9 SOLE DISPOSITIVE POWER WITH 19,826,687 -------------------------------------------------- 10 SHARED DISPOSITIVE POWER None - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 19,826,687 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) [_] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 8.3%(1) - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) IN - -------------------------------------------------------------------------------- - ---------- (1) All percentages herein are based upon 239,509,116 issued and outstanding shares of Common Stock. - -------------------------------------------------------------------------------- CUSIP No. 47102X105 Page 6 of 11 - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Richard L. Grubman - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) [_] (b) [_] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS (SEE INSTRUCTIONS) AF - -------------------------------------------------------------------------------- 5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [_] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER 19,826,687 -------------------------------------------------- NUMBER OF 8 SHARED VOTING POWER SHARES BENEFICIALLY OWNED None BY EACH REPORTING -------------------------------------------------- PERSON 9 SOLE DISPOSITIVE POWER WITH 19,826,687 -------------------------------------------------- 10 SHARED DISPOSITIVE POWER None - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 19,826,687 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) [_] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 8.3%(1) - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) IN - -------------------------------------------------------------------------------- - ---------- (1) All percentages herein are based upon 239,509,116 issued and outstanding shares of Common Stock. - -------------------------------------------------------------------------------- CUSIP No. 47102X105 Page 7 of 11 - -------------------------------------------------------------------------------- This Amendment No. 9 to Schedule 13D ("Amendment No. 9") amends and supplements the Statement on Schedule 13D, filed on November 7, 2002, by Highfields Capital Management LP, Highfields GP LLC, Highfields Capital Ltd., Jonathon S. Jacobson and Richard L. Grubman, as amended on November 25, 2002, December 2, 2002, December 13, 2002, December 16, 2002, January 24, 2003, April 10, 2003, April 15, 2003 and August 12, 2003 (the "Schedule 13D"), as regards the common stock of Stilwell Financial Inc., subsequently renamed Janus Capital Group, Inc. by reason of a merger effected on January 1, 2003. This Amendment No. 9 is being filed to supplement and amend Item 3 and Item 5 of the Schedule 13D. Except as herein supplemented or amended, all other information in the Schedule 13D is as set forth therein. All capitalized terms used herein and not otherwise defined shall have the meanings ascribed thereto in the Schedule 13D. ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION Item 3 is amended and supplemented by adding the following text: The aggregate purchase price of the additional 1,087,700 Shares purchased by Highfields Ltd. as reported in this Schedule 13D/A was $16,736,751, inclusive of brokerage commissions. Highfields Ltd. used its own assets to purchase such Shares, which may at any given time include funds borrowed in the ordinary course in its margin accounts. ITEM 5. INTEREST IN SECURITIES OF THE ISSUER Item 5 is amended and restated in its entirety as follows: (a) and (b) As of the time of this filing, Highfields I, Highfields II and Highfields Ltd. owned beneficially 2,156,371, 3,703,843 and 13,966,473 shares, respectively, representing approximately 0.9%, 1.6% and 5.8%, respectively, of the 239,509,116 Shares outstanding as reported in publicly available information. As of the time of this filing, Highfields Capital Management, in its capacity as investment manager of the Funds, had sole voting and dispositive power with respect to all 19,826,687 Shares owned beneficially by the Funds, representing approximately 8.3% of the 239,509,116 Shares outstanding as reported in publicly available information. As of the time of this filing, Highfields GP, through its control of Highfields Capital Management, had sole voting and dispositive power with respect to all 19,826,687 Shares owned beneficially by Highfields Capital Management, representing approximately 8.3% of the 239,509,116 Shares outstanding as reported in publicly available information. As of the time of this filing, Mr. Jacobson, in his capacity of a Managing Member of Highfields GP and Managing Director of Highfields Capital Management, had sole voting and dispositive power with respect to all 19,826,687 Shares owned beneficially - -------------------------------------------------------------------------------- CUSIP No. 47102X105 Page 8 of 11 - -------------------------------------------------------------------------------- by Highfields GP, representing approximately 8.3% of the 239,509,116 Shares outstanding as reported in publicly available information. As of the time of this filing, Mr. Grubman, in his capacity as a Managing Member of Highfields GP and Managing Director of Highfields Capital Management, had sole voting and dispositive power with respect to all 19,826,687 Shares owned beneficially by Highfields GP, representing approximately 8.3% of the 239,509,116 Shares outstanding as reported in publicly available information. (c) Information with respect to all transactions in the Shares beneficially owned by the Reporting Persons which were effected during the past sixty days is set forth in Annex A attached hereto and incorporated herein by reference. (d) None. (e) Not applicable. - -------------------------------------------------------------------------------- CUSIP No. 47102X105 Page 9 of 11 - -------------------------------------------------------------------------------- SIGNATURES After reasonable inquiry and to the best of his or her knowledge and belief, each of the persons signing below certifies that the information set forth in this statement is true, complete and correct. Dated: April 23, 2004 HIGHFIELDS CAPITAL MANAGEMENT LP By: Highfields GP LLC, its General Partner /s/ Kenneth H. Colburn ---------------------------------- Name: Kenneth H. Colburn Title: Authorized Signatory HIGHFIELDS GP LLC /s/ Kenneth H. Colburn ---------------------------------- Name: Kenneth H. Colburn Title: Authorized Signatory HIGHFIELDS CAPITAL LTD. By: Highfields Capital Management LP, its Investment Manager By: Highfields GP LLC, its General Partner /s/ Kenneth H. Colburn ---------------------------------- Name: Kenneth H. Colburn Title: Authorized Signatory JONATHON S. JACOBSON By: Kenneth H. Colburn /s/ Kenneth H. Colburn ---------------------------------- Name: Kenneth H. Colburn Title: Authorized Signatory - -------------------------------------------------------------------------------- CUSIP No. 47102X105 Page 10 of 11 - -------------------------------------------------------------------------------- RICHARD L. GRUBMAN By: Kenneth H. Colburn /s/ Kenneth H. Colburn ---------------------------------- Name: Kenneth H. Colburn Title: Authorized Signatory - -------------------------------------------------------------------------------- CUSIP No. 47102X105 Page 11 of 11 - -------------------------------------------------------------------------------- ANNEX A INFORMATION WITH RESPECT TO TRANSACTIONS OF SHARES DURING THE PAST 60 DAYS
DATE PURCHASER NUMBER OF SHARES PURCHASED(1) PRICE PER SHARE(2) ------- --------- -------------------------- ----------------- 4/21/04 Highfields Capital Ltd. 382,700 $15.1915 4/22/04 Highfields Capital Ltd. 705,000 $15.4935
- ---------- (1) All purchasers were effected through open market or privately negotiated transactions. (2) Price per Share includes brokerage commissions. -----END PRIVACY-ENHANCED MESSAGE-----