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