FRANKLIN RESOURCES INC — Director's Dealing 2018

Nov 6, 2018

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: FRANKLIN RESOURCES INC (BEN)
CIK: 0000038777
Period of Report: 2018-11-02

Reporting Person: Sethi Alok (Reg. S-K Executive Officer)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2018-11-02	Common Stock, par value $.10	A	10261	$30.70	Acquired	42864	Direct
2018-11-02	Common Stock, par value $.10	A	3986	—	Acquired	46850	Direct

Footnotes

F1: On November 3, 2015, November 1, 2016, November 3, 2017 and February 13, 2018, 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, 2018, the Issuer's Compensation Committee certified that certain performance criteria with respect to the Issuer's fiscal year ended September 30, 2018 were achieved, and therefore the amount of shares reported in number Column 4 are scheduled to vest on November 30, 2018.

F2: Not applicable.

F3: Of the amount of securities beneficially owned, 3,817 shares represent unvested restricted stock awards and 19,498 shares represent unvested stock unit awards (which exclude the unvested restricted stock units scheduled to vest on November 30, 2018 as reported in Footnote 1).