0001127602-17-030581.txt : 20171031 0001127602-17-030581.hdr.sgml : 20171031 20171031133031 ACCESSION NUMBER: 0001127602-17-030581 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20171030 FILED AS OF DATE: 20171031 DATE AS OF CHANGE: 20171031 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: JOHNSON GREGORY E CENTRAL INDEX KEY: 0001010262 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09318 FILM NUMBER: 171165051 MAIL ADDRESS: STREET 1: ONE FRANKLIN PARKWAY CITY: SAN MATEO STATE: CA ZIP: 94403 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: FRANKLIN RESOURCES INC CENTRAL INDEX KEY: 0000038777 STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282] IRS NUMBER: 132670991 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 BUSINESS ADDRESS: STREET 1: ONE FRANKLIN PARKWAY STREET 2: BUILDING 920 CITY: SAN MATEO STATE: CA ZIP: 94403 BUSINESS PHONE: 650-312-2000 MAIL ADDRESS: STREET 1: FRANKLIN RESOURCES INC STREET 2: ONE FRANKLIN PARKWAY CITY: SAN MATEO STATE: CA ZIP: 94403 4 1 form4.xml PRIMARY DOCUMENT X0306 4 2017-10-30 0000038777 FRANKLIN RESOURCES INC BEN 0001010262 JOHNSON GREGORY E C/O FRANKLIN RESOURCES, INC. ONE FRANKLIN PARKWAY SAN MATEO CA 94403-1906 1 1 Chairman and CEO Common Stock, par value $.10 2017-10-30 4 S 0 56825 42.8266 D 2047273 D Common Stock, par value $.10 70506 I As A Trustee For Minor Child Common Stock, par value $.10 5015.5135 I By 401(k) Common Stock, par value $.10 2565000 I By Business Limited Partnership Common Stock, par value $.10 8100 I By Business Trust Common Stock, par value $.10 18014 I By Spouse Common Stock, par value $.10 396000 I By Venture Limited Partnership The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $42.70 to $42.88, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff on the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in the footnote. Shares held by Reporting Person as trustee for Reporting Person's minor children. Reporting Person disclaims beneficial ownership of such shares. Reporting Person holds shares in the Franklin Templeton 401(k) Retirement Plan. Information is based on a plan statement as of September 30, 2017. Business limited partnership under control of Reporting Person. Business trust for the benefit of Reporting Person and Reporting Person's children. Shares held by Reporting Person's spouse. Reporting Person disclaims beneficial ownership of such shares. Limited partnership under control of Reporting Person, and owned in part by irrevocable trusts for the benefit of Reporting Person's children. Reporting Person disclaims beneficial ownership of the children's trusts. /s/ Gregory E. Johnson 2017-10-30