0001127602-21-028798.txt : 20211110
0001127602-21-028798.hdr.sgml : 20211110
20211110155949
ACCESSION NUMBER: 0001127602-21-028798
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20211108
FILED AS OF DATE: 20211110
DATE AS OF CHANGE: 20211110
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: JOHNSON JENNIFER M
CENTRAL INDEX KEY: 0001010270
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-09318
FILM NUMBER: 211396396
MAIL ADDRESS:
STREET 1: C/O FRANKLIN RESOURCES, INC.
STREET 2: ONE FRANKLIN PARKWAY
CITY: SAN MATEO
STATE: CA
ZIP: 94403-1906
FORMER NAME:
FORMER CONFORMED NAME: BOLT JENNIFER J
DATE OF NAME CHANGE: 19960307
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 920/2, LEGAL-FRI SECRETARY
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
2021-11-08
0000038777
FRANKLIN RESOURCES INC
BEN
0001010270
JOHNSON JENNIFER M
C/O FRANKLIN RESOURCES, INC.
ONE FRANKLIN PARKWAY
SAN MATEO
CA
94403-1906
1
1
President and CEO
Common Stock, par value $.10
2021-11-08
4
A
0
219642
35.74
A
1871438.0315
D
Common Stock, par value $.10
2021-11-08
4
A
0
36723
A
1908161.0315
D
Common Stock, par value $.10
2191.0333
I
By 401(k)
Common Stock, par value $.10
2610000
I
By Business Limited Partnership
Common Stock, par value $.10
15000
I
By Business Trust
Common Stock, par value $.10
438444
I
By Children or As Trustee For Children
Common Stock, par value $.10
198000
I
By Venture Limited Partnership
On November 1, 2019 and November 5, 2020, 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 8, 2021, the Issuer's Compensation Committee certified that certain performance criteria with respect to the Issuer's fiscal year ended September 30, 2021 were achieved, and therefore the amount of shares reported in Column 4 are scheduled to vest on December 1, 2021.
Not applicable.
Of the amount of securities beneficially owned, 339,003 shares represented unvested restricted stock and stock unit awards (excluding the unvested restricted stock units scheduled to vest on December 1, 2021 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 31, 2021.
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 her children. 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/ Virginia Rosas, Attorney-in-Fact
2021-11-10