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