FRANKLIN RESOURCES INC 4
4 · FRANKLIN RESOURCES INC · Filed Nov 3, 2016
Insider Transaction Report
Form 4
LEWIS KENNETH A
EVP and CFO
Transactions
- Award
Common Stock, par value $.10
2016-11-01+5,839→ 149,594.517 total - Award
Common Stock, par value $.10
2016-11-01$33.70/sh+18,695$630,022→ 143,755.517 total
Holdings
- 17,678(indirect: By Trust)
Common Stock, par value $.10
- 1,866.221(indirect: By 401(k))
Common Stock, par value $.10
Footnotes (5)
- [F1]On November 4, 2013, November 4, 2014 and November 3, 2015, 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 1, 2016, the Issuer's Compensation Committee certified that certain performance criteria with respect to the Issuer's fiscal year ended September 30, 2016 were achieved, and therefore the amount of shares reported in Column 4 are scheduled to vest on December 1, 2016.
- [F2]Not applicable.
- [F3]Of the amount of securities beneficially owned, 39,911 shares represent unvested restricted stock awards (which excludes the unvested restricted stock units scheduled to vest on December 1, 2016 as reported on Footnote 1).
- [F4]Reporting Person holds shares in the Franklin Templeton 401(k) Retirement Plan. Information is based on a plan statement as of October 14, 2016.
- [F5]Revocable family trust for which Reporting Person and spouse are co-trustees with shared voting and investment power.