0001127602-17-035284.txt : 20171220 0001127602-17-035284.hdr.sgml : 20171220 20171220175130 ACCESSION NUMBER: 0001127602-17-035284 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20171108 FILED AS OF DATE: 20171220 DATE AS OF CHANGE: 20171220 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: 171267626 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 2017-11-08 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 2017-11-08 5 G 0 E 671 A 2116886 D Common Stock, par value $.10 2017-11-08 5 G 0 E 1342 A 71848 I As A Trustee For Minor Child Common Stock, par value $.10 2017-11-08 5 G 0 E 671 A 18685 I By Spouse Common Stock, par value $.10 2017-11-27 5 G 0 E 6100 D 2110786 D Common Stock, par value $.10 2017-11-30 5 G 0 E 10000 D 2100786 D Common Stock, par value $.10 2017-12-13 5 G 0 E 1268 D 2099518 D Common Stock, par value $.10 2017-12-13 5 G 0 E 1268 A 73116 I As A Trustee For Minor Child Common Stock, par value $.10 2017-12-19 4 S 0 49988 43.5816 D 2049530 D Common Stock, par value $.10 5037.7761 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 396000 I By Venture Limited Partnership Not applicable. Shares held by Reporting Person as trustee for Reporting Person's minor children. Reporting Person disclaims beneficial ownership of such shares. Shares held by Reporting Person's spouse. Reporting Person disclaims beneficial ownership of such shares. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $43.53 to $43.62, 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 this footnote. Of the amount of securities beneficially owned, 171,365 shares represent unvested restricted stock awards. Reporting Person holds shares in the Franklin Templeton 401(k) Retirement Plan. Information is based on a plan statement as of October 13, 2017. Business limited partnership under control of Reporting Person. Business trust for the benefit of Reporting Person and Reporting Person's children. 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 2017-12-20