Gregory E. Johnson - Sep 30, 2021 Form 5 Insider Report for FRANKLIN RESOURCES INC (BEN)

Role
Executive Chairman, Director
Signature
/s/ Gregory E. Johnson
Stock symbol
BEN
Transactions as of
Sep 30, 2021
Transactions value $
$0
Form type
5
Date filed
11/1/2021, 04:14 PM
Next filing
Nov 10, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction BEN Common Stock, par value $.10 Gift $0 +135K +124.19% $0.00 243K Dec 18, 2020 By Children or As Trustee For Children F1
transaction BEN Common Stock, par value $.10 Gift $0 -135K -5.66% $0.00 2.25M Dec 18, 2020 Direct F1
transaction BEN Common Stock, par value $.10 Gift $0 +1.22K +0.05% $0.00 2.25M Dec 21, 2020 Direct F1
transaction BEN Common Stock, par value $.10 Gift $0 +1.22K +5.87% $0.00 22K Dec 21, 2020 By Spouse F1, F2
transaction BEN Common Stock, par value $.10 Gift $0 +2.44K +1.01% $0.00 243K Dec 21, 2020 By Children or As Trustee For Children F1, F3
transaction BEN Common Stock, par value $.10 Gift $0 -13.4K -0.59% $0.00 2.25M Dec 21, 2020 Direct F1
transaction BEN Common Stock, par value $.10 Gift $0 +13.4K +5.82% $0.00 243K Dec 21, 2020 By Children or As Trustee For Children F1
transaction BEN Common Stock, par value $.10 Gift $0 +13.4K +5.82% $0.00 243K Dec 22, 2020 By Children or As Trustee For Children F1
transaction BEN Common Stock, par value $.10 Gift $0 -13.4K -0.59% $0.00 2.25M Dec 22, 2020 Direct F1
holding BEN Common Stock, par value $.10 6.31K Sep 30, 2021 By 401(k) F4
holding BEN Common Stock, par value $.10 2.57M Sep 30, 2021 By Business Limited Partnership F5
holding BEN Common Stock, par value $.10 8.1K Sep 30, 2021 By Business Trust F6
holding BEN Common Stock, par value $.10 396K Sep 30, 2021 By Venture Limited Partnership F7
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Not applicable.
F2 Shares held by Reporting Person's spouse. Reporting Person disclaims beneficial ownership of such shares.
F3 Shares held by Reporting Person's children or by Reporting Person as trustee for his children. Reporting Person disclaims beneficial ownership of such shares.
F4 Reporting Person holds shares in the Franklin Templeton 401(k) Retirement Plan. Information is based on a plan statement as of September 30, 2021.
F5 Business limited partnership under control of Reporting Person.
F6 Business trust for the benefit of Reporting Person and Reporting Person's children.
F7 Limited partnership under control of Reporting Person, and owned in part by irrevocable trusts for the benefit of Reporting Person's children. Reporting Person disclaims beneficial ownership of the children's trusts.

Remarks:

Copy of Limited Power of Attorney included as Exhibit 24.