0001127602-22-025043.txt : 20221107 0001127602-22-025043.hdr.sgml : 20221107 20221107171553 ACCESSION NUMBER: 0001127602-22-025043 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20221103 FILED AS OF DATE: 20221107 DATE AS OF CHANGE: 20221107 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Spector Adam Benjamin CENTRAL INDEX KEY: 0001679191 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09318 FILM NUMBER: 221366455 MAIL ADDRESS: STREET 1: 620 EIGHTH AVENUE STREET 2: 49TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10018 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 2022-11-03 0000038777 FRANKLIN RESOURCES INC BEN 0001679191 Spector Adam Benjamin C/O FRANKLIN RESOURCES, INC. ONE FRANKLIN PARKWAY SAN MATEO CA 94403 1 EVP, Global Advisory Services Common Stock, par value $.10 2022-11-03 4 A 0 78056 22.42 A 295539 D Common Stock, par value $.10 2022-11-03 4 A 0 4664 A 300203 D On November 8, 2021, 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 3, 2022, the Issuer's Compensation Committee certified that certain performance criteria with respect to the Issuer's fiscal year ended September 30, 2022 were achieved, and therefore the amount of shares reported in Column 4 are scheduled to vest on December 1, 2022. Not applicable. Of the amount of securities beneficially owned, 112,564 shares represent unvested restricted stock unit awards and 65,894 shares represent unvested performance restricted stock awards. /s/ Virginia Rosas, Attorney-in-Fact 2022-11-07