Current Report Filing (8-k)

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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): March 19, 2021

 

 

JANUS HENDERSON GROUP PLC

(Exact name of registrant as specified in its charter)

 

Jersey, Channel Islands	001-38103	98-1376360
(State or other jurisdiction of	(Commission File Number)	(IRS Employer
incorporation)		Identification No.)

 

201 Bishopsgate		EC2M3AE
London, United Kingdom		(Zip Code)
(Address of principal executive offices)

 

[phone]

(Registrant’s telephone number, including area code)

 

N/A

(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):

 

¨

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

¨

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

¨

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

¨

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

 

Securities registered pursuant to Section 12(b) of the Act:

 

Title of each class	Trading Symbol(s)	Name of each exchange on which registered
Common Stock, $1.50 Per Share Par Value	JHG	New York Stock Exchange

 

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

 

Emerging growth company o

 

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. o

 

 

 

 

 

 

Item 7.01

REGULATION FD DISCLOSURE.

 

On March 19, 2021, Janus Henderson Group plc (the “Company”), a company incorporated and registered in Jersey, Channel Islands, made available to its shareholders its proxy statement in respect of its annual shareholders meeting and its annual report, and filed with the Australian Stock Exchange (“ASX”) its Disclosure regarding Corporate Governance Council Principles and Recommendations on an Appendix 4G, containing, among other things, the Company’s Corporate Governance Statement for the fiscal year ended December 31, 2020.

 

A copy of the Company’s annual report is furnished as Exhibit 99.1 hereto, a copy of the Company’s proxy statement is furnished as Exhibit 99.2 hereto, and a copy of ASX Appendix 4G is furnished as Exhibit 99.3 hereto. These exhibits are being furnished and shall not be deemed “filed” for any purpose, and shall not be deemed incorporated by reference in any filing under the Securities Act of 1933, as amended, or the Securities Exchange Act of 1934, as amended, regardless of any general incorporation language in any such filing.

 

Item 9.01

FINANCIAL STATEMENTS AND EXHIBITS.

 

(d)  Exhibits. The following exhibits are being furnished herewith.

 

Exhibit Number		Description
99.1		Janus Henderson Group plc 2020 Annual Report
99.2		Janus Henderson Group plc 2021 Notice of Annual General Meeting
99.3		ASX Disclosure of Corporate Governance Council Principles and Recommendations
104		Cover Page Interactive Data File (embedded within the Inline XBRL document)

 

 

 

   

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 HENDERSON GROUP PLC
Date:  March 19, 2021	By:	/s/ Roger Thompson
	Name:	Roger Thompson
	Title:	Chief Financial Officer