0001127602-20-028438.txt : 20201109 0001127602-20-028438.hdr.sgml : 20201109 20201109122836 ACCESSION NUMBER: 0001127602-20-028438 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201105 FILED AS OF DATE: 20201109 DATE AS OF CHANGE: 20201109 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: 201296813 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 2020-11-05 0000038777 FRANKLIN RESOURCES INC BEN 0001010262 JOHNSON GREGORY E C/O FRANKLIN RESOURCES, INC. ONE FRANKLIN PARKWAY SAN MATEO CA 94403-1906 1 1 Executive Chairman Common Stock, par value $.10 2020-11-05 4 A 0 99976 20.13 A 2381533 D Common Stock, par value $.10 2020-11-05 4 A 0 26784 0 A 2408317 D Common Stock, par value $.10 6130.2664 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 79368 I By Children or As Trustee For Children Common Stock, par value $.10 20739 I By Spouse Common Stock, par value $.10 396000 I By Venture Limited Partnership On November 2, 2018 and November 1, 2019, 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 November 5, 2020, the Issuer's Compensation Committee certified that certain performance criteria with respect to the Issuer's fiscal year ended September 30, 2020 were achieved, and therefore the amount of shares reported in Column 4 are scheduled to vest on December 1, 2020. Not applicable. Of the amount of securities beneficially owned, 199,742 shares represent unvested restricted stock awards (which excludes the unvested restricted stock units scheduled to vest on December 1, 2020 as reported in Footnote 1). Reporting Person holds shares in the Franklin Templeton 401(k) Retirement Plan. Information is based on a plan statement as of October 15, 2020. Business limited partnership under control of Reporting Person. Business trust for the benefit of Reporting Person and Reporting Person's children. Shares held by Reporting Person's children or by Reporting Person as trustee for his children. Reporting Person disclaims beneficial ownership of such shares. Shares held by Reporting Person's spouse. Reporting Person disclaims beneficial ownership of such shares. 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 2020-11-07