0001127602-20-028538.txt : 20201109
0001127602-20-028538.hdr.sgml : 20201109
20201109195355
ACCESSION NUMBER: 0001127602-20-028538
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: Plafker Jed A.
CENTRAL INDEX KEY: 0001725846
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-09318
FILM NUMBER: 201299294
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
0001725846
Plafker Jed A.
C/O FRANKLIN RESOURCES, INC.
ONE FRANKLIN PARKWAY
SAN MATEO
CA
94403-1906
1
Executive Vice President
Common Stock, par value $.10
2020-11-05
4
A
0
42226
20.13
A
163299.786
D
Common Stock, par value $.10
2020-11-05
4
A
0
14274
0
A
177573.786
D
Common Stock, par value $.10
557.5518
I
By 401(k)
On December 11, 2017, 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, 83,147 shares represent unvested restricted stock awards and 5,988 shares represent unvested restricted stock unit 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.
/s/ Jed A. Plafker
2020-11-09