Form Type: 4

SEC EDGAR Link
Accession Number:0001127602-19-031839
Date:2019-11-01
Issuer: FRANKLIN RESOURCES INC (BEN)
Original Submission Date:

Reporting Person:

JOHNSON JENNIFER M
C/O FRANKLIN RESOURCES, INC.
ONE FRANKLIN PARKWAY SAN MATEO, CA 94403-1906

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 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
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 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.
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