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FRANKLIN RESOURCES INC — Director's Dealing 2004
Feb 4, 2004
30512_dirs_2004-02-03_00d2e6be-5a80-4f0a-a584-fa2ae209d5ce.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: FRANKLIN RESOURCES INC (BEN)
CIK: 0000038777
Period of Report: 2004-01-29
Reporting Person: LUSK JOHN M (Vice President)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock, par value $.10 | 4315.3919 | Direct |
| Common Stock, par value $.10 | 224 | Direct |
| Common Stock, par value $.10 | 526 | Direct |
| Common Stock, par value $.10 | 1698 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Employee Stock Option (right to buy) | $28.1875 | 2004-03-31 | Common Stock, par value $.10 (1800.0000) | Direct | |
| Employee Stock Option (Right to Buy) | $32.6250 | 2007-09-28 | Common Stock, par value $.10 (795.0000) | Direct | |
| Employee Stock Option (Right to Buy) | $37.3800 | 2011-11-19 | Common Stock, par value $.10 (15000.0000) | Direct | |
| Employee Stock Option (Right to Buy) | $32.9000 | 2012-11-09 | Common Stock, par value $.10 (12000.0000) | Direct | |
| Employee Stock Option (Right to Buy) | $48.9800 | 2013-11-11 | Common Stock, par value $.10 (7500.0000) | Direct | |
| Employee Stock Options (Right to Buy) | $38.3800 | 2010-11-16 | Common Stock, par value $.10 (15000.0000) | Direct |
Footnotes
F1: Shares represent grants of awards of common stock under the Franklin Resources, Inc.'s 2002 Universal Stock Incentive Plan (the ''2002 Plan''), including unvested balances for fiscal years 2001, 2002 and 2003 of 224, 526 and 1,698 shares, respectively. The holder is entitled to receive dividends and vote such shares, however, such shares are subject to vesting requirements under the 2002 Plan.
F2: The option becomes exercisable in three approximately equal increments on each of September 29, 2000, September 28, 2001, and September 30, 2002.
F3: The option becomes exercisable in three approximately equal increments on each of September 30, 2002, September 30, 2003, and September 30, 2004.
F4: The option becomes exercisable in three approximately equal increments on each of September 30, 2003, September 30, 2004, and September 30, 2005.
F5: The option becomes exercisable in three approximately equal increments on each of September 30, 2004, September 30, 2005, and September 29, 2006.
F6: The option becomes exercisable in three approximately equal increments on each of September 28, 2001, September 30, 2002, and September 30, 2003.