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