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FRANKLIN RESOURCES INC — Major Shareholding Notification 2003
Sep 12, 2003
30512_mrq_2003-09-12_52d05caf-486a-4688-b98b-77812f6b7bd9.zip
Major Shareholding Notification
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SC 13G 1 f93038sc13g.htm SCHEDULE 13 G sc13g PAGEBREAK
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934 (Amendment No. )*
Franklin Resources, Inc.
(Name of Issuer)
Common Stock
(Title of Class of Securities)
0003546131
(Cusip Number)
July 1, 2001*
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
o Rule 13d-1 (b)
x Rule 13d-1 (c)
o Rule 13d-1 (d)
*The remainder of this cover page shall be filled out for a reporting persons initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not be deemed to be filed for the purpose of Section 18 of the Securities Exchange Act of 1934 or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the notes).
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| 13G — CUSIP No. 0003546131 | Page 2 of 8 | ||
|---|---|---|---|
| 1. | Name of Reporting Person: Elizabeth S. Wiskemann | I.R.S. Identification Nos. of above persons (entities only): | |
| 2. | Check the Appropriate Box if a Member of a Group: | ||
| (a) | o | ||
| (b) | o | ||
| 3. | SEC Use Only: | ||
| 4. | Citizenship or Place of Organization: United States | ||
| Number of Shares Beneficially Owned by Each Reporting Person With | |||
| 5. | Sole Voting Power: 15,685,737 as of August 29, 2003** | ||
| 6. | Shared Voting Power: 0 | ||
| 7. | Sole Dispositive Power: 15,685,737 as of August 29, 2003** | ||
| 8. | Shared Dispositive Power: 0 | ||
| 9. | Aggregate Amount Beneficially Owned by Each Reporting Person: 15,685,737 as of August 29, 2003** | ||
| 10. | Check if the Aggregate Amount in Row (9) Excludes Certain Shares: o | ||
| 11. | Percent | ||
| of Class Represented by Amount in Row (9): 6.4%*** | |||
| 12. | Type of Reporting Person: IN |
- On July 1, 2001 R. Martin Wiskemann, the spouse of Elizabeth S. Wiskemann, died. As of such date all shares of stock of the issuer which were prior to his death beneficially owned by both R. Martin Wiskemann and Elizabeth S. Wiskemann, as community property, and all shares of stock of the issuer which were prior to his death beneficially owned only by R. Martin Wiskemann became beneficially owned solely by Elizabeth S. Wiskemann.
** Consists of (1) 6,926,292 shares owned by Elizabeth S. Wiskemann as Trustee of the Elizabeth S. Wiskemann Family Trust, (ii) 7,713,349 shares owned by Elizabeth S. Wiskemann as Trustee of the Wiskemann Family Non-Exempt Marital Trust, (iii) 10,416 shares owned by Elizabeth S. Wiskemann as Trustee of the Wiskemann Family Exempt Trust and (iv) 1,035,680 shares in the Martin Wiskemann, deceased IRA account of which Elizabeth S. Wiskemann is the sole beneficiary.
PAGEBREAK
| Schedule 13G |
|---|
| CUSIP No. 0003546131 |
*** The percentage is based upon 244,885,035 issuer shares of Common Stock outstanding (250,985,035 shares outstanding as of July 31, 2003, as reported in issuers Form 10-Q for the quarter ended June 30, 2003, reduced by the 6,100,000 shares of Common Stock the issuer repurchased from Elizabeth S. Wiskemann as Trustee in August 2003).
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| Schedule 13G |
|---|
| CUSIP No. 0003546131 |
Item 1.
(a) Name of Issuer:
Franklin Resources, Inc.
(b) Address of Issuers Principal Executive Offices:
One Franklin Parkway San Mateo, CA 94403
Item 2.
(a) Name of Person Filing:
Elizabeth S. Wiskemann
(b) Address of Principal Business Office or, if none, Residence:
7 Mt. Lassen Drive, Suite B-156 San Rafael, CA 94903
(c) Citizenship:
United States
(d) Title of Class of Securities:
Common Stock
(e) CUSIP Number:
0003546131
Item 3. If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:
| (a) | [ ] | Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o). |
|---|---|---|
| (b) | [ ] | Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c). |
| (c) | [ ] | Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c). |
| (d) | [ ] | Investment company registered under section 8 of the |
| Investment Company Act of 1940 (15 U.S.C 80a-8). |
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| Schedule 13G |
|---|
| CUSIP No. 0003546131 |
| (e) | [ ] | An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E); |
|---|---|---|
| (f) | [ ] | An employee benefit plan or endowment fund in accordance with |
| §240.13d-1(b)(1)(ii)(F); | ||
| (g) | [ ] | A parent holding company or control person in accordance with |
| § 240.13d-1(b)(1)(ii)(G); | ||
| (h) | [ ] | A savings associations as defined in Section 3(b) of the |
| Federal Deposit Insurance Act (12 U.S.C. 1813); | ||
| (i) | [ ] | A church plan that is excluded from the definition of an |
| investment company under section 3(c)(14) of the Investment Company Act of | ||
| 1940 (15 U.S.C. 80a-3); | ||
| (j) | [ ] | Group, in accordance with §240.13d-1(b)(1)(ii)(J). |
Item 4. Ownership.
Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.
| (a) | Amount beneficially owned: 15,685,737* (as of August 29, 2003). |
|---|---|
| (b) | Percent of class: 6.4%**. |
| (c) | Number of shares as to which the person has: |
| (i) | Sole power to vote or to direct the vote: 15,685,737* (as of August 29, 2003). |
|---|---|
| (ii) | Shared power to vote or to direct the vote: 0. |
| (iii) | Sole power to dispose or to direct the disposition of: 15,685,737* (as of August 29, 2003). |
| (iv) | Shared power to dispose or to direct the disposition of: 0. |
Instruction . For computations regarding securities which represent a right to acquire an underlying security see §240.13d3(d)(1).
- Consists of (1) 6,926,292 shares owned by Elizabeth S. Wiskemann as Trustee of the Elizabeth S. Wiskemann Family Trust, (ii) 7,713,349 shares owned by Elizabeth S. Wiskemann as Trustee of the Wiskemann Family Non-Exempt Marital Trust, (iii) 10,416 shares owned by Elizabeth S. Wiskemann as Trustee of the Wiskemann Family Exempt Trust and (iv) 1,035,680 shares in the Martin Wiskemann, deceased IRA account of which Elizabeth S. Wiskemann is the sole beneficiary.
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| Schedule 13G |
|---|
| CUSIP No. 0003546131 |
** The percentage is based upon 244,089,035 shares of issuer Common Stock outstanding (250,985,035 shares outstanding as of July 31, 2003, as reported in issuers Form 10-Q for the quarter ended June 30, 2003, reduced by the 6,100,000 shares of Common Stock the issuer repurchased from Elizabeth S. Wiskemann as Trustee in August 2003).
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| Schedule 13G |
|---|
| CUSIP No. 0003546131 |
Item 5. Ownership of Five Percent or Less of a Class
If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following [ ].
Item 6. Ownership of More than Five Percent on Behalf of Another Person.
Not Applicable.
ITEM 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person.
Not Applicable.
Item 8. Identification and Classification of Members of the Group
Not Applicable.
Item 9. Notice of Dissolution of Group
Not Applicable.
Item 10. Certification
By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.
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| Schedule 13G |
|---|
| CUSIP No. 0003546131 |
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
| August 29, 2003 |
|---|
| Date |
| /s/ Elizabeth S. Wiskemann |
| Signature |
| Elizabeth S. Wiskemann |
| Name/Title |