0001127602-18-036036.txt : 20181212 0001127602-18-036036.hdr.sgml : 20181212 20181212133703 ACCESSION NUMBER: 0001127602-18-036036 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181206 FILED AS OF DATE: 20181212 DATE AS OF CHANGE: 20181212 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: 181230606 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 2018-12-06 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 2018-12-06 5 G 0 E 940 0 A 2144950 D Common Stock, par value $.10 2018-12-06 5 G 0 E 1880 0 A 74996 I As A Trustee For Minor Child Common Stock, par value $.10 2018-12-06 5 G 0 E 940 0 A 19625 I By Spouse Common Stock, par value $.10 2018-12-10 4 A 0 18116 A 2163066 D Common Stock, par value $.10 5635.6422 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. On November 3, 2015, the Reporting Person was granted certain restricted stock units subject to vesting over a three-year period based upon satisfaction of certain performance criteria. On December 10, 2018, the Issuer's Compensation Committee certified that certain performance criteria with respect to the Issuer's fiscal year ended September 30, 2018 were achieved, and therefore the amount of shares reported in Column 4 are scheduled to vest on December 20, 2018. Of the amount of securities beneficially owned, 171,726 shares represent unvested restricted stock awards (which excludes the unvested restricted stock unites scheduled to vest on December 20, 2018 as reported in Footnote 4). Reporting Person holds shares in the Franklin Templeton 401(k) Retirement Plan. Information is based on a plan statement as of October 12, 2018. 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/ Maria Gray, Attorney-in-Fact 2018-12-12