SEC Form 4 · accession 0001127602-18-034201
FRANKLIN TEMPLETON INC · BEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jed A. Plafker
Officer — Senior Vice President
Period of report
Nov 20, 2018
Accepted (ET)
Nov 21, 2018 · 5:07 pm EST
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 $.10F1,F2,F3 | Nov 20, 2018 | A | 1,418 | $0.00 | A | 113,664 | D | |
| Common Stock, par value $.10F4 | holding | — | — | — | 508 | I | By 401(k) |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On December 11, 2017 the Reporting Person was granted certain restricted stock unit subject to vesting over a three-year period based upon satisfaction of certain performance criteria. On November 20, 2018, the Issuer's management certified that certain performance criteria with respect to the Issuer's fiscal year ended September 30, 2018 were achieved, and therefore the amount of shares reported in number Column 4 are scheduled to vest on November 30, 2018.
- F2Not applicable.
- F3Of the amount of securities beneficially owned, 76,025 shares represent unvested restricted stock awards (which excludes the unvested restricted stock units scheduled to vest on November 30, 2018 as reported in Footnote 1).
- F4Reporting Person holds shares in the Franklin Templeton 401(k) Retirement Plan. Information is based on a plan statement as of September 30, 2018.