FRANKLIN RESOURCES INC 4
4 · FRANKLIN RESOURCES INC · Filed Nov 6, 2013
Insider Transaction Report
Form 4
LUSK JOHN M
EVP-Portfolio Operations
Transactions
- Award
Common Stock, par value $.10
2013-11-04$53.79/sh+15,803$850,043→ 48,856.239 total - Award
Common Stock, par value $.10
2013-11-04+1,797→ 50,653.239 total
Holdings
- 1,361.513(indirect: By 401(k))
Common Stock, par value $.10
- 86,372(indirect: By Trust)
Common Stock, par value $.10
Footnotes (6)
- [F1]Of the amount of securities beneficially owned, 35,969 shares represent unvested restricted stock awards (excluding the unvested restricted stock units scheduled to vest on November 29, 2013 as reported in Footnote 2).
- [F2]On November 3, 2011 and November 5, 2012, 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 4, 2013, the Issuer's Compensation Committee certified that certain performance criteria with respect to the Issuer's fiscal year ended September 30, 2013 were achieved, and therefore the amount of shares reported in Column 4 are scheduled to vest on November 29, 2013.
- [F3]Not applicable.
- [F4]Reporting Person holds shares in the Franklin Templeton 401(k) Retirement Plan. Information is based on a plan statement as of October 15, 2013.
- [F5]Since last filing, includes 27,611 shares previously reported by Reporting Person under direct shares.
- [F6]Revocable living trust for which Reporting Person and spouse are co-trustees with shared voting and investment power, for the benefit of Reporting Person and spouse.