LEWIS KENNETH A 4
4 · FRANKLIN RESOURCES INC · Filed Nov 7, 2017
Insider Transaction Report
Form 4
LEWIS KENNETH A
EVP and CFO
Transactions
- Award
Common Stock, par value $.10
2017-11-03$42.79/sh+16,359$700,002→ 132,756.517 total - Award
Common Stock, par value $.10
2017-11-03+1,796→ 134,552.517 total
Holdings
- 17,678(indirect: By Trust)
Common Stock, par value $.10
Footnotes (4)
- [F1]On November 4, 2014, 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 3, 2017, the Issuer's Compensation Committee certified that certain performance criteria with respect to the Issuer's fiscal year ended September 30, 2017 were achieved, and therefore the amount of shares reported in Column 4 are scheduled to vest on December 1, 2017.
- [F2]Not applicable.
- [F3]Of the amount of securities beneficially owned, 35,988 shares represent unvested restricted stock awards (which excludes the unvested restricted stock units scheduled to vest on December 1, 2017 as reported on Footnote 1.)
- [F4]Revocable family trust for which Reporting Person and spouse are co-trustees with shared voting and investment power.