Accession Number: | 0001127602-19-031839 |
Date: | 2019-11-01 |
Issuer: | FRANKLIN RESOURCES INC (BEN) |
Original Submission Date: |
JOHNSON JENNIFER M
C/O FRANKLIN RESOURCES, INC.
ONE FRANKLIN PARKWAY
SAN MATEO, CA 94403-1906
Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature of Indirect Ownership |
---|---|---|---|---|---|---|---|---|---|
COMMON STOCK, PAR VALUE $.10 | 2019-11-01 | A | 87,344 | a | $28.05 | 1,768,575 | direct | ||
COMMON STOCK, PAR VALUE $.10 | 2019-11-01 | A | 10,858 | a | $0.00 | 1,779,433 | direct | ||
COMMON STOCK, PAR VALUE $.10 | 2019-11-01 | 0 | $0.00 | 183,414 | indirect | f4 | |||
COMMON STOCK, PAR VALUE $.10 | 2019-11-01 | 0 | $0.00 | 2,004 | indirect | f5 | |||
COMMON STOCK, PAR VALUE $.10 | 2019-11-01 | 0 | $0.00 | 2,610,000 | indirect | f6 | |||
COMMON STOCK, PAR VALUE $.10 | 2019-11-01 | 0 | $0.00 | 15,000 | indirect | f7 | |||
COMMON STOCK, PAR VALUE $.10 | 2019-11-01 | 0 | $0.00 | 198,000 | indirect | f8 |
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 Exercisable | Expiration 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 |
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ID | footnote |
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f1 | on november 2, 2018, 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, 157,129 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). |
f4 | shares held by reporting person as trustee for reporting person's children. reporting person disclaims beneficial ownership of such shares. |
f5 | reporting person holds shares in the franklin templeton 401(k) retirement plan. information is based on a plan statement as of october 11, 2019. |
f6 | business limited partnership under control of reporting person. |
f7 | business trust for the benefit of reporting person and reporting person's children. |
f8 | 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. |