Form D
View Original Filing
Notice of Exempt Offering of Securities
Item 1. Issuer's Identity
Name of Issuer:
FRANKLIN RESOURCES INC
Jurisdiction of Incorporation/Organization
DELAWARE
Year of Incorporation/Organization
Over Five Years Ago
Item 2 Issuer Principal Place of Business and Contact Information
ONE FRANKLIN PARKWAY
BUILDING 920
SAN MATEO, CA 94403
Phone Number:
subscription required
Item 3. Related Persons
Name
GREGORY E JOHNSON, JR.
Address
subscription required
Relationship(s)
- EXECUTIVE OFFICER
- DIRECTOR
Clarification of Response
Item 3. Related Persons
Name
RUPERT H JOHNSON
Address
subscription required
Relationship(s)
- EXECUTIVE OFFICER
- DIRECTOR
Clarification of Response
Item 3. Related Persons
Name
JENNIFER M JOHNSON
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
KENNETH A LEWIS
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
CRAIG S TYLE
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
JED A PLAFKER
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
ALOK SETHI
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
PETER K BARKER
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
MARIANN BYERWALTER
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
CHARLES E JOHNSON
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
MARK C PIGOTT
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
CHUTTA RATNATHICAM
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
LAURA STEIN
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
SETH WAUGH
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
GEOFFREY Y YANG
Address
subscription required
Relationship(s)
Clarification of Response
Item 4. Industry Group
INVESTING
Item 5. Issuer Size
Revenue Range (for issuer not specifying "hedge" or "other investment" fund in Item 4 above)
OVER $100,000,000
Item 6. Federal Exemptions and Exclusions Claimed
Item 7. Type of Filing
New Notice
Date of First Sale in this Offering:
05/01/2018
Item 8. Duration of Offering
Does the issuer intend this offering to last more than one year?
No
Item 9. Type(s) of Securities Offered
Item 10. Business Combination Transaction
Is this offering being made in connection with a business combination
transaction, such as a merger, acquisition or exchange offer?
Yes
Clarification of Response
Item 11. Minimum Investment
Minimum Investment accepted from any outside investor
0
Item 13. Offering and Sales Amounts
Total Offering Amount
27836000
Total Amount Sold
27836000
Total Remaining to be Sold
0
Clarification of Response
Item 14. Investors
Securities in the offering have been or may be sold to persons
who do not qualify as accredited investors,
Number of non-accredited investors who already have invested in the offering:
Total number of investors who already have invested in the offering:
1
Item 15. Sales Commissions and Finders' Fees Expenses
Sales Commissions:
0.0
Finders' Fees
0.0
Clarification of Response
Item 16. Use of Proceeds
Provide the amount of the gross proceeds of the offering
that has been or is proposed to be used for payments to any of the persons required
to be named as executive officers,directors or promoters in response to Item 3 above.
0.0
Clarification of Response
Signature and Submission
Issuer Name
FRANKLIN RESOURCES INC
Issuer Signature
/S/MARIA GRAY
Signer Name
MARIA GRAY
Signer Title
SECRETARY
Signature Date
05/01/2018