Key facts
- This page summarizes Gregory E. Johnson's Form 4 filing for FRANKLIN RESOURCES INC (BEN).
- 2 reported transactions and 0 derivative rows are listed below.
- Accepted by SEC: 10 Nov 2021, 15:01.
Gregory E. Johnson - 08 Nov 2021 Form 4 Insider Report for FRANKLIN RESOURCES INC (BEN)
- Reporting relationship
- Executive Chairman, Director
- Issuer ticker
- BEN
- Reported as of
- 08 Nov 2021
- Net transaction value
- +$850,004
- SEC form
- 4
- Accepted by SEC
- 10 Nov 2021, 15:01:02 UTC
- Prior SEC filing
- 01 Nov 2021
- Next SEC filing
- 14 Dec 2021
- Source filing
- View source filing
- Reporting owner signature
- /s/ Virginia Rosas, Attorney-in-Fact
Source evidence
Original filing metadata and source links for verification.
5 source fields
Reporting owner
1 detail
Key filing fact
Gregory E. Johnson filed Form 4 for FRANKLIN RESOURCES INC (BEN) on 10 Nov 2021.
Change
- Previous filing in this sequence was filed on 01 Nov 2021.
- Current net transaction value: +$850,004.
Research use
- This tells you what this filing adds before you inspect full transaction and derivative tables.
- You can trace every row back to the original SEC filing document.
Evidence
Filed on Form 4
View source filing
Ownership activity is grounded in SEC Form 4 disclosures.
Reported non-derivative transactions
Shares, units, or other non-derivative securities reported in this filing.
BEN
transaction
Common Stock, par value $.10
Award
- Transaction value
- $850,004
- Shares
- +23,783
- Change %
- +1.1%
- Price
- $35.74
- Shares after
- 2,271,681
- Date
- 08 Nov 2021
- Ownership
- Direct
BEN
transaction
Common Stock, par value $.10
Award
- Transaction value
- Shares
- +30,245
- Change %
- +1.3%
- Price
- Shares after
- 2,301,926
- Date
- 08 Nov 2021
- Ownership
- Direct
- Footnotes
- F1, F2, F3
BEN
holding
Common Stock, par value $.10
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 6,367
- Date
- 08 Nov 2021
- Ownership
- By 401(k)
- Footnotes
- F4
BEN
holding
Common Stock, par value $.10
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 2,565,000
- Date
- 08 Nov 2021
- Ownership
- By Business Limited Partnership
- Footnotes
- F5
BEN
holding
Common Stock, par value $.10
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 8,100
- Date
- 08 Nov 2021
- Ownership
- By Business Trust
- Footnotes
- F6
BEN
holding
Common Stock, par value $.10
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 243,441
- Date
- 08 Nov 2021
- Ownership
- By Children or As Trustee For Children
- Footnotes
- F7
BEN
holding
Common Stock, par value $.10
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 21,957
- Date
- 08 Nov 2021
- Ownership
- By Spouse
- Footnotes
- F8
BEN
holding
Common Stock, par value $.10
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 396,000
- Date
- 08 Nov 2021
- Ownership
- By Venture Limited Partnership
- Footnotes
- F9
* marks a reported price that did not pass the local price check.
Additional SEC filing notes
Filing notes and footnotes
Explanation of responses 9 footnotes
Footnote F1
On November 1, 2019 and November 5, 2020, 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 8, 2021, the Issuer's Compensation Committee certified that certain performance criteria with respect to the Issuer's fiscal year ended September 30, 2021 were achieved, and therefore the amount of shares reported in Column 4 are scheduled to vest on December 1, 2021.
Footnote F2
Not applicable.
Footnote F3
Of the amount of securities beneficially owned, 124,301 shares represent unvested restricted stock and stock unit awards (which excludes the unvested restricted stock units scheduled to vest on December 1, 2021 as reported in Footnote 1).
Footnote F4
Reporting Person holds shares in the Franklin Templeton 401(k) Retirement Plan. Information is based on a plan statement as of October 31, 2021.
Footnote F5
Business limited partnership under control of Reporting Person.
Footnote F6
Business trust for the benefit of Reporting Person and Reporting Person's children.
Footnote F7
Shares held by Reporting Person's children or by Reporting Person as trustee for his children. Reporting Person disclaims beneficial ownership of such shares.
Footnote F8
Shares held by Reporting Person's spouse. Reporting Person disclaims beneficial ownership of such shares.
Footnote F9
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.