Form Type: 4

SEC EDGAR Link
Accession Number:0001127602-19-031838
Date:2019-11-01
Issuer: FRANKLIN RESOURCES INC (BEN)
Original Submission Date:

Reporting Person:

NICHOLLS MATTHEW
C/O FRANKLIN RESOURCES, INC.
ONE FRANKLIN PARKWAY SAN MATEO, CA 94403

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK, PAR VALUE $.10 2019-11-01 A 40,999 a $28.05 85,065 direct
COMMON STOCK, PAR VALUE $.10 2019-11-01 A 1,837 a $0.00 86,902 direct
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
Footnotes
IDfootnote
f1 on may 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 1, 2019, the issuer's compensation committee certified that certain performance criteria with respect to the issuer's fiscal year ended september 30, 2019 were achieved, and therefore the amount of shares reported in column 4 are scheduled to vest on november 29, 2019.
f2 not applicable.
f3 of the amount of securities beneficially owned, 85,065 shares represent unvested restricted stock awards (which excludes the unvested restricted stock units scheduled to vest on november 29, 2019 as reported in footnote 1).
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