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FRANKLIN RESOURCES INC — Director's Dealing 2012
Nov 7, 2012
30512_dirs_2012-11-06_9bb427bf-2860-4dc2-8c40-d68d3dc7b8ff.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: FRANKLIN RESOURCES INC (BEN)
CIK: 0000038777
Period of Report: 2012-11-05
Reporting Person: JOHNSON GREGORY E (Director, CEO and President)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2012-11-05 | Common Stock, par value $.10 | A | 52271 | $131.05 | Acquired | 709083 | Direct |
| 2012-11-05 | Common Stock, par value $.10 | A | 11803 | — | Acquired | 720886 | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock, par value $.10 | 20104 | Indirect |
| Common Stock, par value $.10 | 1518.503 | Indirect |
| Common Stock, par value $.10 | 895000 | Indirect |
| Common Stock, par value $.10 | 5085 | Indirect |
| Common Stock, par value $.10 | 2700 | Indirect |
Footnotes
F1: Of the amount of securities beneficially owned, 112,610 shares represented unvested restricted stock awards (excluding the unvested restricted stock units scheduled to vest on November 30, 2012 as reported in Footnote 2).
F2: On November 4, 2009, November 2, 2010 and November 3, 2011, 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, 2012, the Issuer's Compensation Committee certified that certain performance criteria with respect to the Issuer's fiscal year ended September 30, 2012 were achieved, and therefore the amount of shares reported in Column 4 are scheduled to vest on November 30, 2012.
F3: Not applicable.
F4: Shares held by Reporting Person as trustee for Reporting Person's minor children. Reporting Person disclaims beneficial ownership of such shares.
F5: Reporting Person holds shares in the Franklin Templeton 401(k) Retirement Plan. Information is based on a plan statement as of October 12, 2012.
F6: Shares held by Reporting Person's spouse. Reporting Person disclaims beneficial ownership of such shares.
F7: Business trust for the benefit of Reporting Person and Reporting Person's children.