0001127602-19-034024.txt : 20191202 0001127602-19-034024.hdr.sgml : 20191202 20191202193523 ACCESSION NUMBER: 0001127602-19-034024 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20191101 FILED AS OF DATE: 20191202 DATE AS OF CHANGE: 20191202 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Sethi Alok CENTRAL INDEX KEY: 0001718985 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-09318 FILM NUMBER: 191264307 MAIL ADDRESS: STREET 1: ONE FRANKLING 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/A 1 form4a.xml PRIMARY DOCUMENT X0306 4/A 2019-11-01 2019-11-05 0000038777 FRANKLIN RESOURCES INC BEN 0001718985 Sethi Alok C/O FRANKLIN RESOURCES, INC. ONE FRANKLIN PARKWAY SAN MATEO CA 94403-1906 1 Reg. S-K Executive Officer Common Stock, par value $.10 2019-11-01 4 A 0 4303 0 A 60386 D This amendment on Form 4/A to the Form 4 filed on November 1, 2019 (the "Original Form 4") is made solely to: (a) report the correct the number of unvested performance-based restricted stock units scheduled to vest on November 29, 2019 per the certification of certain performance criteria, reflecting the deletion of 1,045 restricted stock units that were incorrectly reported in this amount in the Original Form 4, and (b) correct the amount of securities beneficially owned after giving effect to such deletion. Except for the foregoing, no new or revised transactions or holdings are being reported. All other information in the Original Form 4 remains the same. Not applicable. /s/ Virginia Rosas, Attorney-in-Fact 2019-12-02