0001127602-20-028544.txt : 20201109 0001127602-20-028544.hdr.sgml : 20201109 20201109212005 ACCESSION NUMBER: 0001127602-20-028544 CONFORMED SUBMISSION TYPE: 4/A 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: Nicholls Matthew CENTRAL INDEX KEY: 0001773856 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-09318 FILM NUMBER: 201299415 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/A 1 form4a.xml PRIMARY DOCUMENT X0306 4/A 2020-11-05 2020-11-09 0000038777 FRANKLIN RESOURCES INC BEN 0001773856 Nicholls Matthew C/O FRANKLIN RESOURCES, INC. ONE FRANKLIN PARKWAY SAN MATEO CA 94403 1 EVP and CFO Common Stock, par value $.10 2020-11-05 4 A 0 918 0 A 141963 D This amendment on Form 4/A to the Form 4 filed on November 9, 2020 (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 December 1, 2020 per the certification of certain performance criteria, reflecting the deletion of 918 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/ Matthew Nicholls 2020-11-09