0001127602-23-026875.txt : 20231106
0001127602-23-026875.hdr.sgml : 20231106
20231106190022
ACCESSION NUMBER: 0001127602-23-026875
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20231102
FILED AS OF DATE: 20231106
DATE AS OF CHANGE: 20231106
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Nicholls Matthew
CENTRAL INDEX KEY: 0001773856
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-09318
FILM NUMBER: 231381156
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 920/2, LEGAL-FRI SECRETARY
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
X0508
4
2023-11-02
0000038777
FRANKLIN RESOURCES INC
BEN
0001773856
Nicholls Matthew
C/O FRANKLIN RESOURCES, INC.
ONE FRANKLIN PARKWAY
SAN MATEO
CA
94403
1
EVP, CFO & COO
0
Common Stock, par value $.10
2023-11-02
4
A
0
114748
23.53
A
362551
D
Common Stock, par value $.10
2023-11-02
4
A
0
49484
A
412035
D
On November 5, 2020, November 8, 2021 and November 3, 2022 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 2, 2023, the Issuer's Compensation Committee certified that certain performance criteria with respect to the Issuer's fiscal year ended September 30, 2023 were achieved, and therefore the amount of shares reported in
Column 4 are scheduled to vest on December 1, 2023.
Not applicable.
Of the amount of securities beneficially owned, 219,910 shares represent unvested restricted stock unit awards (which excludes the unvested restricted stock units scheduled to vest on December 1, 2023 as reported in
Footnote 1).
/s/ Virginia Rosas, Attorney-in-Fact
2023-11-06