0001127602-18-034201.txt : 20181121
0001127602-18-034201.hdr.sgml : 20181121
20181121170729
ACCESSION NUMBER: 0001127602-18-034201
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20181120
FILED AS OF DATE: 20181121
DATE AS OF CHANGE: 20181121
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Plafker Jed A.
CENTRAL INDEX KEY: 0001725846
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-09318
FILM NUMBER: 181198766
MAIL ADDRESS:
STREET 1: ONE FRANKLIN 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
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
X0306
4
2018-11-20
0000038777
FRANKLIN RESOURCES INC
BEN
0001725846
Plafker Jed A.
C/O FRANKLIN RESOURCES, INC.
ONE FRANKLIN PARKWAY
SAN MATEO
CA
94403-1906
1
Senior Vice President
Common Stock, par value $.10
2018-11-20
4
A
0
1418
0
A
113663.786
D
Common Stock, par value $.10
508.4872
I
By 401(k)
On December 11, 2017 the Reporting Person was granted certain restricted stock unit subject to vesting over a three-year period based upon satisfaction of certain performance criteria. On November 20, 2018, the Issuer's management certified that certain performance criteria with respect to the Issuer's fiscal year ended September 30, 2018 were achieved, and therefore the amount of shares reported in number Column 4 are scheduled to vest on November 30, 2018.
Not applicable.
Of the amount of securities beneficially owned, 76,025 shares represent unvested restricted stock awards (which excludes the unvested restricted stock units scheduled to vest on November 30, 2018 as reported in Footnote 1).
Reporting Person holds shares in the Franklin Templeton 401(k) Retirement Plan. Information is based on a plan statement as of September 30, 2018.
/s/ Virginia Rosas, Attorney-in-Fact
2018-11-21