SEC Form 4 · accession 0001127602-16-065998

FRANKLIN TEMPLETON INC · BEN

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).

Reporting owner

Officer — EVP and CFO

Period of report

Nov 1, 2016

Accepted (ET)

Nov 3, 2016 · 2:48 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0000038777

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock, par value $.10	Nov 1, 2016	A	18,695	$33.70	A	143,756	D
Common Stock, par value $.10^F1,F2,F3	Nov 1, 2016	A	5,839	$0.00	A	149,595	D
Common Stock, par value $.10^F4	holding	—	—		—	1,866	I	By 401(k)
Common Stock, par value $.10^F5	holding	—	—		—	17,678	I	By Trust

No Table II lines on this filing.

F1On 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.
F2Not applicable.
F3Of 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).
F4Reporting Person holds shares in the Franklin Templeton 401(k) Retirement Plan. Information is based on a plan statement as of October 14, 2016.
F5Revocable family trust for which Reporting Person and spouse are co-trustees with shared voting and investment power.