FRANKLIN RESOURCES INC — Director's Dealing 2023

Nov 7, 2023

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: FRANKLIN RESOURCES INC (BEN)
CIK: 0000038777
Period of Report: 2023-11-02

Reporting Person: Spector Adam Benjamin (EVP, Head of Public Markets)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2023-11-02	Common Stock, par value $.10	A	69593	$23.53	Acquired	318486	Direct
2023-11-02	Common Stock, par value $.10	A	13584	—	Acquired	332070	Direct

Footnotes

F1: On November 8, 2021 and November 3, 2022, 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, 2023, the Issuer's Compensation Committee certified that certain performance criteria with respect to the Issuer's fiscal year ended September 30, 2023 were achieved, and therefore the amount of shares reported in Column 4 are scheduled to vest on December 1, 2023.

F2: Not applicable.

F3: Of the amount of securities beneficially owned, 138,884 shares represent unvested restricted stock unit awards (which excludes the unvested restricted stock units scheduled to vest on December 1, 2023 as reported in Footnote 1).