FRANKLIN RESOURCES INC — Director's Dealing 2019

Nov 5, 2019

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: FRANKLIN RESOURCES INC (BEN)
CIK: 0000038777
Period of Report: 2019-11-01

Reporting Person: Shaneyfelt Gwen L (Chief Accounting Officer)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2019-11-01	Common Stock, par value $.10	A	6239	$28.05	Acquired	52317.0115	Direct
2019-11-01	Common Stock, par value $.10	A	1643	—	Acquired	53960.0115	Direct
2019-11-01	Common Stock, par value $.10	A	5348	$28.05	Acquired	59308.0115	Direct

Footnotes

F1: On November 3, 2017 and November 2, 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 1, 2019, the Issuer's Compensation Committee certified that certain performance criteria with respect to the Issuer's fiscal year ended September 30, 2019 were achieved, and therefore the amount of shares reported in Column 4 are scheduled to vest on November 29, 2019.

F2: Not applicable.

F3: Of the amount of securities beneficially owned, 23,936 shares represent unvested restricted stock awards and 5,348 shares represent unvested restricted stock units (which excludes the unvested restricted stock units scheduled to vest on November 29, 2019 as reported in Footnote 1).