| Accession Number: | 0001127602-19-031881 |
| Date: | 2019-11-01 |
| Issuer: | FRANKLIN RESOURCES INC (BEN) |
| Original Submission Date: |
SHANEYFELT GWEN L
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 | 6,239 | a | $28.05 | 52,317 | direct | ||
| COMMON STOCK, PAR VALUE $.10 | 2019-11-01 | A | 1,643 | a | $0.00 | 53,960 | direct | ||
| COMMON STOCK, PAR VALUE $.10 | 2019-11-01 | A | 5,348 | a | $28.05 | 59,308 | direct |
| 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 |
|---|
| ID | footnote |
|---|---|
| f1 | on november 3, 2017 and 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, 23,936 shares represent unvested restricted stock awards and 5,348 shares represent unvested restricted stock units (which excludes the unvested restricted stock units scheduled to vest on november 29, 2019 as reported in footnote 1). |
