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FRANKLIN RESOURCES INC — Director's Dealing 2017
Nov 7, 2017
30512_dirs_2017-11-07_10eabbe8-42dc-4e61-a400-9012d4cb74a9.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: 2017-11-03
Reporting Person: Tyle Craig Steven (EVP and General Counsel)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-11-03 | Common Stock, par value $.10 | A | 10809 | $42.79 | Acquired | 133161.042 | Direct |
| 2017-11-03 | Common Stock, par value $.10 | A | 898 | — | Acquired | 134059.042 | Direct |
Footnotes
F1: On November 4, 2014, 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 3, 2017, the Issuer's Compensation Committee certified that certain performance criteria with respect to the Issuer's fiscal year ended September 30, 2017 were achieved, and therefore the amount of shares reported in Column 4 are scheduled to vest on December 1, 2017.
F2: Not applicable.
F3: Of the amount of securities beneficially owned, 23,113 shares represent unvested restricted stock awards (which excludes the unvested restricted stock units scheduled to vest on December 1, 2017 as reported on Footnote 1).