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