0001127602-24-026665.txt : 20241107 0001127602-24-026665.hdr.sgml : 20241107 20241107131925 ACCESSION NUMBER: 0001127602-24-026665 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20241105 FILED AS OF DATE: 20241107 DATE AS OF CHANGE: 20241107 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: JOHNSON GREGORY E CENTRAL INDEX KEY: 0001010262 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09318 FILM NUMBER: 241434448 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] ORGANIZATION NAME: 02 Finance 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 2024-11-05 0000038777 FRANKLIN RESOURCES INC BEN 0001010262 JOHNSON GREGORY E C/O FRANKLIN RESOURCES, INC. ONE FRANKLIN PARKWAY SAN MATEO CA 94403-1906 1 1 Executive Chairman 0 Common Stock, par value $.10 2024-11-05 4 A 0 26969 20.95 A 2200024 D Common Stock, par value $.10 2024-11-05 4 A 0 9591 A 2209615 D Common Stock, par value $.10 7319.2662 I By 401(k) Common Stock, par value $.10 249765 I By Children or As Trustee For Children Common Stock, par value $.10 25119 I By Spouse Common Stock, par value $.10 396000 I By Venture Limited Partnership Common Stock, par value $.10 2573100 I By Business Limited Partnership During prior three years, 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 5, 2024, the Issuer's Compensation Committee certified that certain performance criteria with respect to the Issuer's fiscal year ended September 30, 2024 were achieved, and therefore the amount of shares reported in Column 4 are scheduled to vest on December 1, 2024. Not applicable. Of the amount of securities beneficially owned, 62,273 shares represent unvested restricted stock unit awards (which excludes the unvested restricted stock units scheduled to vest on December 1, 2024 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 October 11, 2024. Shares held by Reporting Person's children or by Reporting Person as trustee for his children. Reporting Person disclaims beneficial ownership of such shares. Shares held by Reporting Person's spouse. Reporting Person disclaims beneficial ownership of such shares. 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. Business limited partnership under control of Reporting Person. /s/ Virginia Rosas, Attorney-in-Fact 2024-11-07