0001127602-23-028886.txt : 20231205 0001127602-23-028886.hdr.sgml : 20231205 20231205163746 ACCESSION NUMBER: 0001127602-23-028886 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231201 FILED AS OF DATE: 20231205 DATE AS OF CHANGE: 20231205 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Sethi Alok CENTRAL INDEX KEY: 0001718985 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09318 FILM NUMBER: 231467155 MAIL ADDRESS: STREET 1: ONE FRANKLING 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 920/2, 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 X0508 4 2023-12-01 0000038777 FRANKLIN RESOURCES INC BEN 0001718985 Sethi Alok C/O FRANKLIN RESOURCES, INC. ONE FRANKLIN PARKWAY SAN MATEO CA 94403-1906 1 EVP, Head of Global Operations 0 Common Stock, par value $.10 2023-12-01 4 F 0 3168 25.63 D 117481.0643 D Common Stock, par value $.10 2023-12-05 4 S 0 25000 25.3786 D 92481.0643 D Reflects payment of tax liability by withholding securities incident to the vesting of a security issued in accordance with Rule 16b-3. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $25.33 to $25.43, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff on the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Of the amount of securities beneficially owned, 67,946 shares represent unvested restricted stock units. /s/ Virginia Rosas, Attorney-in-Fact 2023-12-05