Washington, D.C. 20549
Under the Securities Exchange Act of 1934 (Amendment No. 1)
(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)
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 §§ 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box .
CUSIP No. 47102X105
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1
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Names of reporting persons
I.R.S. identification nos. of above persons (entities only)
Gabelli Funds, LLC
I.D. No. 13-4044523
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2
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Check the appropriate box if a member of a group (SEE INSTRUCTIONS)
(a)
(b)
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3
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Sec use only
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4
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Source of funds (SEE INSTRUCTIONS)
NONE
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5
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Check box if disclosure of legal proceedings is required pursuant to items 2 (d) or 2 (e)
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6
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Citizenship or place of organization
New York
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Number Of
Shares
Beneficially
Owned
By Each
Reporting
Person
With
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: 7
:
:
:
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Sole voting power
NONE (Item 5)
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: 8
:
:
:
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Shared voting power
NONE
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: 9
:
:
:
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Sole dispositive power
NONE (Item 5)
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:10
:
:
:
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Shared dispositive power
NONE
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11
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Aggregate amount beneficially owned by each reporting person
NONE (Item 5)
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12
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Check box if the aggregate amount in row (11) excludes certain shares
(SEE INSTRUCTIONS)
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13
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Percent of class represented by amount in row (11)
0.00%
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14
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Type of reporting person (SEE INSTRUCTIONS)
IA, CO
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CUSIP No. 47102X105
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1
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Names of reporting persons
I.R.S. identification nos. of above persons (entities only)
GAMCO Asset Management, Inc.
I.D. No. 13-4044521
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2
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Check the appropriate box if a member of a group (SEE INSTRUCTIONS)
(a)
(b)
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3
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Sec use only
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4
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Source of funds (SEE INSTRUCTIONS)
NONE
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5
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Check box if disclosure of legal proceedings is required pursuant to items 2 (d) or 2 (e)
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6
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Citizenship or place of organization
New York
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Number Of
Shares
Beneficially
Owned
By Each
Reporting
Person
With
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: 7
:
:
:
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Sole voting power
NONE (Item 5)
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: 8
:
:
:
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Shared voting power
NONE
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: 9
:
:
:
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Sole dispositive power
NONE (Item 5)
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:10
:
:
:
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Shared dispositive power
NONE
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11
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Aggregate amount beneficially owned by each reporting person
NONE (Item 5)
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12
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Check box if the aggregate amount in row (11) excludes certain shares
(SEE INSTRUCTIONS)
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13
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Percent of class represented by amount in row (11)
0.00%
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14
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Type of reporting person (SEE INSTRUCTIONS)
IA, CO
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CUSIP No. 47102X105
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1
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Names of reporting persons
I.R.S. identification nos. of above persons (entities only)
Gabelli & Company Investment Advisers, Inc. I.D. No. 13-3379374
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2
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Check the appropriate box if a member of a group (SEE INSTRUCTIONS)
(a)
(b)
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3
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Sec use only
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4
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Source of funds (SEE INSTRUCTIONS)
NONE
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5
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Check box if disclosure of legal proceedings is required pursuant to items 2 (d) or 2 (e)
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6
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Citizenship or place of organization
Delaware
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Number Of
Shares
Beneficially
Owned
By Each
Reporting
Person
With
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: 7
:
:
:
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Sole voting power
NONE (Item 5)
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: 8
:
:
:
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Shared voting power
NONE
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: 9
:
:
:
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Sole dispositive power
NONE (Item 5)
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:10
:
:
:
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Shared dispositive power
NONE
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11
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Aggregate amount beneficially owned by each reporting person
NONE (Item 5)
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12
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Check box if the aggregate amount in row (11) excludes certain shares
(SEE INSTRUCTIONS)
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13
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Percent of class represented by amount in row (11)
0.00%
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14
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Type of reporting person (SEE INSTRUCTIONS)
HC, CO, IA
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CUSIP No. 47102X105
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1
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Names of reporting persons
I.R.S. identification nos. of above persons (entities only)
MJG Associates, Inc.
I.D. No. 06-1304269
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2
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Check the appropriate box if a member of a group (SEE INSTRUCTIONS)
(a)
(b)
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3
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Sec use only
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4
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Source of funds (SEE INSTRUCTIONS)
NONE
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5
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Check box if disclosure of legal proceedings is required pursuant to items 2 (d) or 2 (e)
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6
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Citizenship or place of organization
Connecticut
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Number Of
Shares
Beneficially
Owned
By Each
Reporting
Person
With
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: 7
:
:
:
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Sole voting power
NONE (Item 5)
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: 8
:
:
:
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Shared voting power
NONE
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: 9
:
:
:
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Sole dispositive power
NONE (Item 5)
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:10
:
:
:
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Shared dispositive power
NONE
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11
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Aggregate amount beneficially owned by each reporting person
NONE (Item 5)
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12
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Check box if the aggregate amount in row (11) excludes certain shares
(SEE INSTRUCTIONS)
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13
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Percent of class represented by amount in row (11)
0.00%
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14
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Type of reporting person (SEE INSTRUCTIONS)
CO
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CUSIP No. 47102X105
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1
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Names of reporting persons
I.R.S. identification nos. of above persons (entities only)
Gabelli Foundation, Inc.
I.D. No. 94-2975159
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2
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Check the appropriate box if a member of a group (SEE INSTRUCTIONS)
(a)
(b)
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3
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Sec use only
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4
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Source of funds (SEE INSTRUCTIONS)
NONE
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5
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Check box if disclosure of legal proceedings is required pursuant to items 2 (d) or 2 (e)
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6
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Citizenship or place of organization
NV
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Number Of
Shares
Beneficially
Owned
By Each
Reporting
Person
With
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: 7
:
:
:
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Sole voting power
NONE (Item 5)
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: 8
:
:
:
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Shared voting power
NONE
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: 9
:
:
:
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Sole dispositive power
NONE (Item 5)
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:10
:
:
:
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Shared dispositive power
NONE
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11
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Aggregate amount beneficially owned by each reporting person
NONE (Item 5)
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12
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Check box if the aggregate amount in row (11) excludes certain shares
(SEE INSTRUCTIONS)
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13
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Percent of class represented by amount in row (11)
0.00%
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14
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Type of reporting person (SEE INSTRUCTIONS)
00-Private Foundation
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CUSIP No. 47102X105
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1
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Names of reporting persons
I.R.S. identification nos. of above persons (entities only)
Teton Advisors, Inc.
I.D. No. 13-4008049
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2
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Check the appropriate box if a member of a group (SEE INSTRUCTIONS)
(a)
(b)
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3
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Sec use only
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4
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Source of funds (SEE INSTRUCTIONS)
NONE
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5
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Check box if disclosure of legal proceedings is required pursuant to items 2 (d) or 2 (e)
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6
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Citizenship or place of organization
Delaware
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Number Of
Shares
Beneficially
Owned
By Each
Reporting
Person
With
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: 7
:
:
:
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Sole voting power
NONE (Item 5)
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: 8
:
:
:
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Shared voting power
NONE
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: 9
:
:
:
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Sole dispositive power
NONE (Item 5)
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:10
:
:
:
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Shared dispositive power
NONE
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11
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Aggregate amount beneficially owned by each reporting person
NONE (Item 5)
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12
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Check box if the aggregate amount in row (11) excludes certain shares
(SEE INSTRUCTIONS)
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13
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Percent of class represented by amount in row (11)
0.00%
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14
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Type of reporting person (SEE INSTRUCTIONS)
IA, CO
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CUSIP No. 47102X105
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1
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Names of reporting persons
I.R.S. identification nos. of above persons (entities only)
GGCP, Inc. I.D. No. 13-3056041
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2
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Check the appropriate box if a member of a group (SEE INSTRUCTIONS)
(a)
(b)
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3
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Sec use only
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4
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Source of funds
(SEE INSTRUCTIONS)
NONE
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5
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Check box if disclosure of legal proceedings is required pursuant to items 2 (d) or 2 (e)
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6
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Citizenship or place of organization
Wyoming
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Number Of
Shares
Beneficially
Owned
By Each
Reporting
Person
With
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: 7
:
:
:
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Sole voting power
NONE (Item 5)
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: 8
:
:
:
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Shared voting power
NONE
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: 9
:
:
:
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Sole dispositive power
NONE (Item 5)
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:10
:
:
:
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Shared dispositive power
NONE
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11
|
Aggregate amount beneficially owned by each reporting person
NONE (Item 5)
|
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12
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Check box if the aggregate amount in row (11) excludes certain shares
(SEE INSTRUCTIONS)
|
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13
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Percent of class represented by amount in row (11)
0.00%
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14
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Type of reporting person (SEE INSTRUCTIONS)
HC, CO
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CUSIP No. 47102X105
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1
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Names of reporting persons
I.R.S. identification nos. of above persons (entities only)
GAMCO Investors, Inc. I.D. No. 13-4007862
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Check the appropriate box if a member of a group (SEE INSTRUCTIONS)
(a)
(b)
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3
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Sec use only
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4
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Source of funds
(SEE INSTRUCTIONS)
NONE
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5
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Check box if disclosure of legal proceedings is required pursuant to items 2 (d) or 2 (e)
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6
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Citizenship or place of organization
New York
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Number Of
Shares
Beneficially
Owned
By Each
Reporting
Person
With
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: 7
:
:
:
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Sole voting power
NONE (Item 5)
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: 8
:
:
:
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Shared voting power
NONE
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: 9
:
:
:
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Sole dispositive power
NONE (Item 5)
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:10
:
:
:
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Shared dispositive power
NONE
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11
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Aggregate amount beneficially owned by each reporting person
NONE (Item 5)
|
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12
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Check box if the aggregate amount in row (11) excludes certain shares
(SEE INSTRUCTIONS)
|
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13
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Percent of class represented by amount in row (11)
0.00%
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14
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Type of reporting person (SEE INSTRUCTIONS)
HC, CO
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CUSIP No. 47102X105
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1
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Names of reporting persons
I.R.S. identification nos. of above persons (entities only)
Associated Capital Group, Inc. I.D. No. 47-3965991
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Check the appropriate box if a member of a group (SEE INSTRUCTIONS)
(a)
(b)
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3
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Sec use only
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4
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Source of funds
(SEE INSTRUCTIONS)
None
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5
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Check box if disclosure of legal proceedings is required pursuant to items 2 (d) or 2 (e)
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6
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Citizenship or place of organization
Delaware
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Number Of
Shares
Beneficially
Owned
By Each
Reporting
Person
With
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: 7
:
:
:
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Sole voting power
NONE (Item 5)
|
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: 8
:
:
:
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Shared voting power
NONE
|
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: 9
:
:
:
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Sole dispositive power
NONE (Item 5)
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:10
:
:
:
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Shared dispositive power
NONE
|
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11
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Aggregate amount beneficially owned by each reporting person
NONE (Item 5)
|
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12
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Check box if the aggregate amount in row (11) excludes certain shares
(SEE INSTRUCTIONS)
|
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13
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Percent of class represented by amount in row (11)
0.00%
|
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14
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Type of reporting person (SEE INSTRUCTIONS)
HC, CO
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CUSIP No. 47102X105
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1
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Names of reporting persons
I.R.S. identification nos. of above persons (entities only)
Mario J. Gabelli
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2
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Check the appropriate box if a member of a group (SEE INSTRUCTIONS)
(a)
(a)
(b)
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3
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Sec use only
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4
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Source of funds
(SEE INSTRUCTIONS)
NONE
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5
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Check box if disclosure of legal proceedings is required pursuant to items 2 (d) or 2 (e)
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6
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Citizenship or place of organization
USA
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Number Of
Shares
Beneficially
Owned
By Each
Reporting
Person
With
|
: 7
:
:
:
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Sole voting power
NONE (Item 5)
|
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: 8
:
:
:
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Shared voting power
NONE
|
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: 9
:
:
:
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Sole dispositive power
NONE (Item 5)
|
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:10
:
:
:
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Shared dispositive power
NONE
|
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11
|
Aggregate amount beneficially owned by each reporting person
NONE (Item 5)
|
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12
|
Check box if the aggregate amount in row (11) excludes certain shares
(SEE INSTRUCTIONS)
|
|
13
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Percent of class represented by amount in row (11)
0.00%
|
|
14
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Type of reporting person (SEE INSTRUCTIONS)
IN
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Item 1.
Security and Issuer
This Amendment No. 1 to Schedule 13D relates is the Common Stock of Janus Capital Group Inc. (the "Issuer"), is being filed on behalf of the undersigned to amend the Schedule 13D, as amended (the "Schedule 13D") which was originally filed on May 4, 2012. Unless otherwise indicated, all capitalized terms used herein but not defined herein shall have the same meanings as set forth in the Schedule 13D.
Item 2.
Identity and Background
Item 2 to Schedule 13D is amended, in pertinent part, as follows:
This statement is being filed by Mario J. Gabelli ("Mario Gabelli") and various entities which he
directly or indirectly controls or for which he acts as chief investment officer. These entities, except for LICT Corporation ("LICT), CIBL, Inc. ("CIBL") and ICTC Group, Inc. ("ICTC"), engage in various aspects of the securities business, primarily as investment adviser to various institutional and individual clients, including registered investment companies and pension plans, and as general partner or the equivalent of various private investment partnerships or private funds. Certain of these entities may also make investments for their own accounts.
The foregoing persons in the aggregate often own beneficially more than 5% of a class of equity securities of a particular issuer. Although several of the foregoing persons are treated as institutional investors for purposes of reporting their beneficial ownership on the short-form Schedule 13G, the holdings of those who do not qualify as institutional investors may exceed the 1% threshold presented for filing on Schedule 13G or implementation of their investment philosophy may from time to time require action which could be viewed as not completely passive. In order to avoid any question as to whether their beneficial ownership is being reported on the proper form and in order to provide greater investment flexibility and administrative uniformity, these persons have decided to file their beneficial ownership reports on the more detailed Schedule 13D form rather than on the short-form Schedule 13G and thereby to provide more expansive disclosure than may be necessary.
(a), (b) and (c) - This statement is being filed by one or more of the following persons: GGCP, Inc. ("GGCP"), GGCP Holdings LLC ("GGCP Holdings"), GAMCO Investors, Inc. ("GBL"), Associated Capital Group, Inc. ("AC"), Gabelli Funds, LLC ("Gabelli Funds"), GAMCO Asset Management Inc. ("GAMCO"), Teton Advisors, Inc. ("Teton Advisors"), Gabelli & Company Investment Advisers, Inc. ("GCIA"), G.research, LLC ("G.research"), MJG Associates, Inc. ("MJG Associates"), Gabelli Foundation, Inc. ("Foundation"), MJG-IV Limited Partnership ("MJG-IV"), Mario Gabelli, LICT, CIBL and ICTC. Those of the foregoing persons signing this Schedule 13D are hereinafter referred to as the "Reporting Persons".
GGCP makes investments for its own account and is the manager and a member of GGCP Holdings which is the controlling shareholder of GBL and AC. GBL, a public company listed on the New York Stock Exchange, is the parent company for a variety of companies engaged in the securities business, including certain of those named below. AC, a public company listed on the New York Stock Exchange, is the parent company for a variety of companies engaged in the securities business, including certain of those listed below.
GAMCO, a wholly-owned subsidiary of GBL, is an investment adviser registered under the Investment Advisers Act of 1940, as amended ("Advisers Act"). GAMCO is an investment manager providing discretionary managed account services for employee benefit plans, private investors, endowments, foundations and others.
GCIA, a wholly owned subsidiary of AC, is an investment adviser registered under the Advisers Act and serves as a general partner or investment manager to limited partnerships and offshore investment companies and other accounts. As a part of its business, GCIA may purchase or sell securities for its own account. GCIA is a general partner or investment manager of a number of funds or partnerships, including Gabelli Associates Fund, L.P., Gabelli Associates Fund II, L.P., Gabelli Associates Limited, Gabelli Associates Limited II E, ALCE Partners, L.P., Gabelli Capital Structure Arbitrage Fund LP, Gabelli Capital Structure Arbitrage Fund Limited, Gabelli Intermediate Credit Fund L.P., GAMA Select Energy + L.P., GAMCO Medical Opportunities L.P., and Gabelli Multimedia Partners, L.P.
G.research, a wholly owned subsidiary of GCIA, is a broker-dealer registered under the Securities Exchange Act of 1934, as amended ("1934 Act"), which as a part of its business regularly purchases and sells securities for its own account.
Gabelli Funds, a wholly owned subsidiary of GBL, is a limited liability company. Gabelli Funds is an investment adviser registered under the Advisers Act which provides advisory services for The Gabelli Equity Trust Inc., The Gabelli Asset Fund, The GAMCO Growth Fund, The Gabelli Convertible and Income Securities Fund Inc., The Gabelli Value 25 Fund Inc., The Gabelli Small Cap Growth Fund, The Gabelli Equity Income Fund, The Gabelli ABC Fund, The GAMCO Global Telecommunications Fund, The Gabelli Gold Fund, Inc., The Gabelli Multimedia Trust Inc., The Gabelli Global Rising Income & Dividend Fund, The Gabelli Capital Asset Fund, The GAMCO International Growth Fund, Inc., The GAMCO Global Growth Fund, The Gabelli Utility Trust, The GAMCO Global Opportunity Fund, The Gabelli Utilities Fund, The Gabelli Dividend Growth Fund, The GAMCO Mathers Fund, The Gabelli Focus Five Fund, The Comstock Capital Value Fund, The Gabelli Dividend and Income Trust, The Gabelli Global Utility & Income Trust, The GAMCO Global Gold, Natural Resources, & Income Trust, The GAMCO Natural Resources Gold & Income Trust, The GDL Fund, Gabelli Enterprise Mergers & Acquisitions Fund, The Gabelli ESG Fund, Inc., The Gabelli Healthcare & Wellness
Rx
Trust, The Gabelli Global Small and Mid Cap Value Trust, Gabelli Value Plus+ Trust, The Gabelli Go Anywhere Trust, Bancroft Fund Ltd. and Ellsworth Growth & Income Fund Ltd. (collectively, the "Funds"), which are registered investment companies. Gabelli Funds is also the investment adviser to the Gabelli Media Mogul NextShares, the Gabelli Food of All Nations NextShares and The GAMCO International SICAV (sub-funds GAMCO Merger Arbitrage and GAMCO All Cap Value), a UCITS III vehicle.
Teton Advisors, an investment adviser registered under the Advisers Act, provides discretionary advisory services to The TETON Westwood Mighty Mites
sm
Fund, The TETON Westwood Income Fund, The TETON Westwood SmallCap Equity Fund, and The TETON Westwood Mid-Cap Equity Fund.
MJG Associates provides advisory services to private investment partnerships and offshore funds. Mario Gabelli is the sole shareholder, director and employee of MJG Associates. MJG Associates is the Investment Manager of Gabelli International Limited and Gabelli Fund, LDC. Mario J. Gabelli is the general partner of Gabelli Performance Partnership, LP.
The Foundation is a private foundation. Mario Gabelli is the Chairman, a Trustee and the Investment Manager of the Foundation. Elisa M. Wilson is the President of the Foundation.
LICT is a holding company with operating subsidiaries engaged primarily in the rural telephone industry. LICT actively pursues new business ventures and acquisitions. LICT makes investments in marketable securities to preserve capital and maintain liquidity for financing their business activities and acquisitions and are not engaged in the business of investing, or trading in securities. Mario J. Gabelli is the Chief Executive Officer, a director, and substantial shareholder of LICT.
ICTC is a holding company with subsidiaries in voice, broadband and other telecommunications services, primarily in the rural telephone industry. ICTC makes investments in marketable securities to preserve capital and maintain liquidity for financing their business activities and acquisitions and are not engaged in the business of investing, or trading in securities. Mario J. Gabelli is a director, and substantial shareholder of ICTC.
CIBL is a holding company with interests in telecommunications operations, primarily in the rural telephone industry. CIBL actively pursues new business ventures and acquisitions. CIBL makes investments in marketable securities to preserve capital and maintain liquidity for financing their business activities and acquisitions and are not engaged in the business of investing, or trading in securities. Mario J. Gabelli is a director, and substantial shareholder of CIBL.
Mario Gabelli is the controlling stockholder, Chief Executive Officer and a director of GGCP and Chairman and Chief Executive Officer of GBL. He is the Executive Chairman of AC. Mario Gabelli is also a member of GGCP Holdings. Mario Gabelli is the controlling shareholder of Teton.
MJG-IV is a family partnership in which Mario Gabelli is the general partner. Mario Gabelli has less than a 100% interest in MJG-IV. MJG-IV makes investments for its own account. Mario Gabelli disclaims ownership of the securities held by MJG-IV beyond his pecuniary interest.
The Reporting Persons do not admit that they constitute a group.
GAMCO is a New York corporation and GBL, AC, GCIA, and Teton Advisors are Delaware corporations, each having its principal business office at One Corporate Center, Rye, New York 10580. GGCP is a Wyoming corporation having its principal business office at 140 Greenwich Avenue, Greenwich, CT 06830. GGCP Holdings is a Delaware limited liability corporation having its principal business office at 140 Greenwich Avenue, Greenwich, CT 06830. G.research is a Delaware limited liability company having its principal officers at One Corporate Center, Rye, New York 10580. Gabelli Funds is a New York limited liability company having its principal business office at One Corporate Center, Rye, New York 10580. MJG Associates is a Connecticut corporation having its principal business office at 140 Greenwich Avenue, Greenwich, CT 06830. The Foundation is a Nevada corporation having its principal offices at 165 West Liberty Street, Reno, Nevada 89501. LICT is a Delaware corporation having its principal place of business as 401 Theodore Fremd Avenue, Rye, New York 10580. CIBL, Inc. is a Delaware corporation having its principal place of business as 165 West Liberty Street, Suite 220, Reno, NV 89501. ICTC Group Inc. is a Delaware corporation having its principal place of business as
556 Main Street, Nome, North Dakota 58062.
For information required by instruction C to Schedule 13D with respect to the executive officers and directors of the foregoing entities and other related persons (collectively, "Covered Persons"), reference is made to Schedule I annexed hereto and incorporated herein by reference.
(d) – Not applicable.
(e) – Not applicable.
(f) – Reference is made to Schedule I hereto.
Item 5.
Interest In Securities Of The Issuer
Item 5 to Schedule 13D is amended, in pertinent part, as follows:
(a)
As a result of the completion of an all-stock merger of equals by the Issuer and Henderson Group PLC, the Reporting Persons no longer have beneficial ownership of any of the Issuer's shares.
(b)
Information with respect to all transactions in the Securities which were effected during the past sixty days or since the most recent filing on Schedule 13D, whichever is less, by each of the Reporting Persons and Covered Persons is set forth on Schedule II annexed hereto and incorporated herein by reference.
(e) The Reporting Persons cease to be beneficial owners of 5% or more of the Issuer's common stock on May 26, 2017.
Signature
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
Dated: May 31, 2017
GGCP, INC.
MARIO J. GABELLI
GABELLI FOUNDATION, INC.
MJG ASSOCIATES, INC.
By:
/s/ David Goldman
David Goldman
Attorney-in-Fact
TETON ADVISORS, INC.
GABELLI FUNDS, LLC
By:
/s/ David Goldman
David Goldman
General Counsel – Gabelli Funds, LLC
Counsel-Teton Advisors, Inc.
GAMCO INVESTORS, INC.
By:
/s/ Kevin Handwerker
Kevin Handwerker
General Counsel &
Secretary – GAMCO Investors, Inc.
ASSOCIATED CAPITAL GROUP, INC.
GAMCO ASSET MANAGEMENT INC.
GABELLI & COMPANY INVESTMENT ADVISERS, INC.
By:
/s/ Douglas R. Jamieson
Douglas R. Jamieson
President & Chief Executive Officer – Associated Capital
Group, Inc.
President – GAMCO Asset Management Inc.
President – Gabelli & Company Investment Advisers, Inc.
Schedule I
Information with Respect to Executive
Officers and Directors of the Undersigned
Schedule I to Schedule 13D is amended, in pertinent part, as follows:
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The following sets forth as to each of the executive officers and directors of the undersigned: his name; his business address; his present principal occupation or employment and the name, principal business and address of any corporation or other organization in which such employment is conducted. Unless otherwise specified, the principal employer of each such individual is GAMCO Asset Management Inc., Gabelli Funds, LLC, Gabelli & Company Investment Advisers, Inc., G.research, LLC, Teton Advisors, Inc., Associated Capital Group, Inc. or GAMCO Investors, Inc., the business address of each of which is One Corporate Center, Rye, New York 10580, and each such individual identified below is a citizen of the United States. To the knowledge of the undersigned, during the last five years, no such person has been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors), and no such person was a party to a civil proceeding of a judicial or administrative body of competent jurisdiction as a result of which he was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities law or finding any violation with respect to such laws except as reported in Item 2(d) and (e) of this Schedule 13D.
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GAMCO Investors, Inc.
Directors:
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Edwin L. Artzt
Raymond C. Avansino
Leslie B. Daniels
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Former Chairman and Chief Executive Officer
Procter & Gamble Company
900 Adams Crossing
Cincinnati, OH 45202
Chairman & Chief Executive Officer
E.L. Wiegand Foundation
165 West Liberty Street
Reno, NV 89501
Director
c/o GAMCO Investors, Inc.
One Corporate Center
Rye, NY 10580
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Mario J. Gabelli
Elisa M. Wilson
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Chief Executive Officer and Chief Investment Officer of GGCP, Inc.
Chairman & Chief Executive Officer of GAMCO Investors, Inc.
Executive Chairman & Chief Executive Officer of Associated Capital Group, Inc.
Director/Trustee of all registered investment companies advised by Gabelli Funds, LLC.
Director
c/o GAMCO Investors, Inc.
One Corporate Center
Rye, NY 10580
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Eugene R. McGrath
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Former Chairman and Chief Executive Officer
Consolidated Edison, Inc.
4 Irving Place
New York, NY 10003
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Robert S. Prather
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President & Chief Executive Officer
Heartland Media, LLC
1843 West Wesley Road
Atlanta, GA 30327
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Officers:
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Mario J. Gabelli
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Chairman and Chief Executive Officer
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Henry G. Van der Eb
Bruce N. Alpert
Agnes Mullady
Kevin Handwerker
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Senior Vice President
Senior Vice President
Senior Vice President
Executive Vice President, General Counsel and Secretary
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GAMCO Asset Management Inc.
Directors:
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Douglas R. Jamieson
Regina M. Pitaro
William S. Selby
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Officers:
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Mario J. Gabelli
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Chief Executive Officer and Chief Investment Officer – Value Portfolios
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Douglas R. Jamieson
David Goldman
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President, Chief Operating Officer and Managing Director
General Counsel, Secretary & Chief Compliance Officer
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Gabelli Funds, LLC
Officers:
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Mario J. Gabelli
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Chief Investment Officer – Value Portfolios
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Bruce N. Alpert
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Executive Vice President and Chief Operating Officer
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Agnes Mullady
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President and Chief Operating Officer – Open End Fund Division
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David Goldman
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General Counsel
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Gabelli Foundation, Inc.
Officers:
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Mario J. Gabelli
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Chairman, Trustee & Chief Investment Officer
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Elisa M. Wilson
Marc Gabelli
Matthew R. Gabelli
Michael Gabelli
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President
Trustee
Trustee
Trustee
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MJG-IV Limited Partnership
Officers:
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Mario J. Gabelli
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General Partner
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GGCP, Inc.
Directors:
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Mario J. Gabelli
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Chief Executive Officer and Chief Investment Officer of GGCP, Inc.
Chairman & Chief Executive Officer of GAMCO Investors, Inc.
Executive Chairman & Chief Executive Officer of Associated Capital Group, Inc.
Director/Trustee of all registered investment companies advised by Gabelli Funds, LLC.
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Marc Gabelli
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President – GGCP, Inc.
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Matthew R. Gabelli
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Vice President – Trading
G.research, Inc.
One Corporate Center
Rye, NY 10580
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Michael Gabelli
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President & COO
Gabelli & Partners, LLC
One Corporate Center
Rye, NY 10580
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Frederic V. Salerno
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Chairman
Former Vice Chairman and Chief Financial Officer
Verizon Communications
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Vincent S. Tese
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Executive Chairman – FCB Financial Corp
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Officers:
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Mario J. Gabelli
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Chief Executive Officer and Chief Investment Officer
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Marc Gabelli
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President
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Silvio A. Berni
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Vice President, Assistant Secretary and Controller
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GGCP Holdings LLC
Members:
GGCP, Inc.
Mario J. Gabelli
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Manager and Member
Member
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Teton Advisors, Inc.
Directors:
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Stephen G. Bondi
Nicholas F. Galluccio
Vincent J. Amabile
John Tesoro
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Chairman of the Board
Chief Executive Officer and President
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Officers:
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Nicholas F. Galluccio
Michael J. Mancuso
Tiffany Hayden
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See above
Chief Financial Officer
Secretary
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Associated Capital Group, Inc.
Directors:
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Mario J. Gabelli
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Chief Executive Officer and Chief Investment Officer of GGCP, Inc.
Chairman & Chief Executive Officer of GAMCO Investors, Inc.
Executive Chairman of Associated Capital Group, Inc.
Director/Trustee of all registered investment companies advised by Gabelli Funds, LLC.
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Marc Gabelli
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Chairman of The LGL Group, Inc.
2525 Shader Road
Orlando, FL 32804
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Richard L. Bready
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Former Chairman and Chief Executive Officer
Nortek, Inc.
50 Kennedy Plaza
Providence, RI 02903
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Bruce Lisman
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Former Chairman - JP Morgan – Global Equity Division
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Daniel R. Lee
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Chief Executive Officer
Full House Resorts, Inc.
4670 South Ford Apache Road, Suite 190
Las Vegas, NV 89147
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Salvatore F. Sodano
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Vice Chairman of the Board
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Frederic V. Salerno
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See above
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Officers:
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Mario J. Gabelli
Douglas R. Jamieson
Patrick Dennis
Kevin Handwerker
Agnes Mullady
David Fitzgerald
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Executive Chairman
President and Chief Executive Officer
Executive Vice President and Chief Financial Officer
Executive Vice President, General Counsel and Secretary
Executive Vice President
Assistant Secretary
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Gabelli & Company Investment Advisers, Inc.
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Directors:
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Douglas R. Jamieson
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Officers:
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Douglas R. Jamieson
Patrick Dennis
Kevin Handwerker
David Fitzgerald
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Chief Executive Officer and President
Executive Vice President, Chief Financial Officer
Executive Vice President, General Counsel and Secretary
Assistant Secretary
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G.research, LLC
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Officers:
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Cornelius V. McGinity
Patrick Dennis
Maria Gigi
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President
Executive Vice President and Chief Financial Officer
Controller and Financial Operations Principal
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Bruce N. Alpert
Douglas R. Jamieson
Kevin Handwerker
David Fitzgerald
Josephine D. LaFauci
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Vice President
Secretary
Assistant Secretary
Assistant Secretary
Chief Compliance Officer
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SCHEDULE II
INFORMATION WITH RESPECT TO
TRANSACTIONS EFFECTED DURING THE PAST SIXTY DAYS OR
SINCE THE MOST RECENT FILING ON SCHEDULE 13D (1)
SHARES PURCHASED AVERAGE
DATE SOLD(-) PRICE(2)
COMMON STOCK-JANUS CAPITAL GROUP INC.
GABELLI & COMPANY INVESTMENT ADVISERS,INC.
5/26/17 139,939- 14.0941
5/11/17 14,600 14.3989
5/10/17 5,800 14.3256
5/09/17 10,800 14.1537
5/08/17 3,700 13.8747
5/04/17 31,116- 13.9539
5/03/17 37,500- 13.4932
4/24/17 2,600 13.5262
4/24/17 18 13.5262
4/11/17 4,500 13.0175
GABELLI ASSOCIATES LTD II E
5/26/17 65,614- 14.0941
5/25/17 13,700- 14.3616
5/22/17 900- 14.4328
5/11/17 11,700 14.3989
5/09/17 6,200 14.1537
5/08/17 2,200 13.8747
5/04/17 12,200- 13.9539
5/02/17 15,900- 13.5094
4/28/17 15,100- 13.6862
4/27/17 7,000- 13.6032
4/20/17 3,600 13.2155
GABELLI ASSOCIATES LTD
5/26/17 25,200- 13.9464
5/26/17 81,497- 14.0941
5/25/17 33,300- 14.3616
5/22/17 1,500- 14.4328
5/16/17 10,000 14.3450
5/12/17 14,697 14.4997
5/10/17 5,400 14.3256
5/09/17 10,100 14.1537
5/08/17 3,300 13.8747
5/04/17 19,600- 13.9539
5/02/17 8,800- 13.5094
4/28/17 21,700- 13.6862
4/27/17 10,100- 13.6032
4/13/17 4,400 13.1934
GABELLI ASSOCIATES FUND II
5/26/17 46,600- 14.0941
5/25/17 9,700- 14.3616
5/22/17 700- 14.4328
5/11/17 5,900 14.3989
5/10/17 6,800 14.3256
5/08/17 1,600 13.8747
5/04/17 12,700- 13.9539
5/03/17 14,800- 13.4932
4/20/17 2,200 13.2155
GABELLI ASSOCIATES FUND
5/26/17 138,908- 14.0941
5/25/17 30,500- 14.3616
5/22/17 1,800- 14.4328
5/12/17 1,401 14.4997
5/11/17 17,800 14.3989
5/10/17 7,000 14.3256
5/09/17 13,200 14.1537
5/08/17 4,355 13.8747
5/04/17 37,700- 13.9539
5/03/17 44,100- 13.4932
4/13/17 5,257 13.1934
4/03/17 1,815 13.3284
MJG ASSOCIATES, INC.
GABELLI INTERNATIONAL LIMITED
5/30/17 30,000- *DO
GAMCO INVESTORS, INC.
5/26/17 12,101- 14.0941
5/22/17 200- 14.4328
5/12/17 2,801 14.4997
5/08/17 300 13.8747
5/04/17 2,700- 13.9539
5/03/17 2,700- 13.4932
4/03/17 2,500 13.3284
GAMCO ASSET MANAGEMENT INC.
5/30/17 3,447,235- *DO
5/30/17 1,500,000- *DO
5/26/17 35,236- 14.0941
5/26/17 7,000- 14.0950
5/26/17 1,000- 14.1200
5/25/17 8,000- 14.4400
5/25/17 15,000- 14.3040
5/25/17 12,000- 14.3302
5/23/17 6,000- 14.4000
5/23/17 29,500- 14.4284
5/23/17 7,300- 14.4645
5/22/17 15,000- 14.4300
5/22/17 6,000- 14.3718
5/22/17 32,500- 14.4561
5/19/17 2,500- 14.2593
5/18/17 9,900- 14.1100
5/16/17 4,500- 14.4460
5/16/17 4,100- 14.4376
5/16/17 2,700- 14.4374
5/16/17 32,000- 14.4401
5/16/17 11,800- 14.4395
5/15/17 13,000- 14.7385
5/15/17 4,000- 14.6231
5/15/17 4,000 14.6231
5/15/17 4,000- 14.8000
5/15/17 51,500- 14.6648
5/15/17 4,000- 14.6231
5/12/17 2,301 14.4997
5/12/17 2,000- 14.5801
5/12/17 7,600- 14.6467
5/11/17 500 14.4200
5/11/17 37,750- 14.4388
5/11/17 2,900- 14.4201
5/11/17 500- 14.4200
5/11/17 1,000- 14.4100
5/11/17 400- 14.4001
5/11/17 1,470- 14.4000
5/11/17 500- 14.4231
5/10/17 3,500- 14.4100
5/10/17 10,000- 14.4400
5/10/17 5,000- 14.3388
5/10/17 11,000- 14.3945
5/09/17 6,000- 14.1800
5/09/17 8,000- 14.1392
5/09/17 55,000- 14.1349
5/09/17 14,825- 14.1878
5/08/17 34,000- 13.8284
5/08/17 1,150 13.8747
5/05/17 25,000- 13.8168
5/05/17 6,500- 13.8171
5/04/17 14,000- 13.9443
5/04/17 15,000- 14.0505
5/04/17 8,600- 13.9539
5/04/17 14,000- 13.9602
5/04/17 4,000- 13.9900
5/03/17 20,400- 13.6321
5/03/17 7,900- 13.4932
5/02/17 2,000- 13.5555
5/02/17 3,000- 13.5600
5/02/17 58,000- 13.5726
5/02/17 3,180- 13.5094
5/01/17 19,000- 13.6201
4/28/17 30,000- 13.6067
4/28/17 9,000- 13.6678
4/27/17 6,000- 13.5772
4/26/17 68,500- 13.5800
4/26/17 500- 13.5861
4/26/17 16,400- 13.5460
4/26/17 3,600- 13.5361
4/25/17 25,000- 13.4369
4/24/17 9,500- 13.4820
4/24/17 4,000- 13.5500
4/21/17 3,500- 13.2000
4/20/17 15,000- 13.2346
4/18/17 6,000- 13.1060
4/18/17 1,075- 13.1547
4/11/17 5,000- 13.1002
4/11/17 3,267 13.0175
4/10/17 16,000- 12.9014
4/07/17 2,800- 12.8600
4/07/17 3,800- 12.8121
4/06/17 700- 12.8674
4/04/17 2,800- 13.0300
4/03/17 2,000- 13.3385
3/31/17 3,000- 13.1759
GABELLI FUNDS, LLC.
GABELLI VALUE PLUS
+ TRUST
5/30/17 100,000- *DO
GABELLI SMALL CAP GROWTH FUND
5/30/17 1,318,491- *DO
5/25/17 509- 14.3120
4/11/17 62,000- 13.0799
4/11/17 31,000 13.0799
GABELLI GO ANYWHERE TRUST
5/30/17 10,000- *DO
GABELLI EQUITY TRUST
5/30/17 340,098- *DO
GABELLI EQUITY INCOME FUND
5/30/17 60,000- *DO
5/26/17 15,000- 14.0600
5/23/17 15,000- 14.4300
5/11/17 46,781- 14.4660
5/08/17 13,219- 13.8780
5/04/17 25,000- 13.9704
5/03/17 25,000- 13.6243
4/21/17 10,000- 13.1885
4/19/17 27,000- 13.3758
4/03/17 8,000- 13.3001
3/31/17 15,000- 13.1521
GABELLI ASSET FUND
5/30/17 249,999- *DO
5/25/17 30,000- 14.4282
5/24/17 35,000- 14.3889
5/23/17 15,000- 14.5150
5/12/17 40,000- 14.6950
5/12/17 20,000 14.6950
5/04/17 25,000- 13.9400
4/20/17 25,000- 13.2669
GAMCO MERGER ARBITRAGE
5/26/17 184,316- 14.0941
5/25/17 6,300- 14.3616
5/09/17 17,278 14.1537
5/08/17 6,200 13.8747
5/04/17 33,617- 13.9539
5/02/17 33,624- 13.5094
4/28/17 40,115- 13.6862
4/27/17 16,968- 13.6032
4/20/17 2,705 13.2155
4/11/17 39,233 13.0175
GGCP, INC
5/30/17 60,000- *DO
5/23/17 5,000- 14.4204
4/26/17 12,000- 13.6666
MARIO J. GABELLI
5/30/17 96,800- *DO
5/30/17 1,000- *DO
(1) UNLESS OTHERWISE INDICATED, ALL TRANSACTIONS WERE EFFECTED
ON THE
NYSE.
(2) PRICE EXCLUDES COMMISSION.
(3)
THE TRANSACTIONS ON 5/30/2017 ARE A RESULT OF THE COMPLETION OF AN
ALL-STOCK MERGER OF EQUALS BY THE ISSUER AND HENDERSON GROUP PLC.
(*) RESULTS IN CHANGE OF DISPOSITIVE POWER AND BENEFICIAL OWNERSHIP.
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