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SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Franklin Resources, Inc.
SEC Filings (Chronological Order)
Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.
| August 11, 2025 |
Franklin Resources, Inc. Table of Contents SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 File No. 813-[ ] Franklin Resources, Inc. (Name of Applicant) One Franklin Parkway San Mateo, CA 94403 (Address of principal offices of Applicant) APPLICATION PURSUANT TO SECTIONS 6(b) AND 6(e) OF THE INVESTMENT COMPANY ACT OF 1940 FOR AN ORDER EXEMPTING APPLICANT FROM CERTAIN PROVISIONS OF THAT AC |
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| August 1, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (MARK ONE) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2025 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 00 |
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| August 1, 2025 |
Franklin Resources, Inc. Announces Third Quarter Results EXHIBIT 99.1 Contact: Franklin Resources, Inc. Investor Relations: Selene Oh (650) 312-4091, [email protected] Media Relations: Jeaneen Terrio (212) 632-4005, [email protected] investors.franklinresources.com FOR IMMEDIATE RELEASE Franklin Resources, Inc. Announces Third Quarter Results San Mateo, CA, August 1, 2025 – Franklin Resources, Inc. (the “Company”) [NYSE: |
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| August 1, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 1, 2025 FRANKLIN RESOURCES, INC. (Exact name of registrant as specified in its charter) Delaware 001-09318 13-2670991 (State or other jurisdiction of incorporation) (Commission |
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| July 9, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 8, 2025 FRANKLIN RESOURCES, INC. (Exact name of registrant as specified in its charter) Delaware 001-09318 13-2670991 (State or other jurisdiction of incorporation) (Commission F |
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| July 9, 2025 |
Amended and Restated Bylaws of Franklin Resources, In exhibit31amendedandresta AMENDED AND RESTATED BYLAWS OF FRANKLIN RESOURCES, INC. (As Adopted and Effective July 8, 2025) ARTICLE I OFFICES Section 1.1 Franklin Resources, Inc. (the “Corporation”) may have offices at such places both within and without the State of Delaware as the Board of Directors or the Chairman of the Board of Directors (the “Chairman of the Board”) may from time to time determ |
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| June 24, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 11-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 11-K (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2024 OR o TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 001-09318 A. Full titl |
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| May 2, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (MARK ONE) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2025 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 0 |
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| May 2, 2025 |
Franklin Resources, Inc. Announces Second Quarter Results EXHIBIT 99.1 Contact: Franklin Resources, Inc. Investor Relations: Selene Oh (650) 312-4091, [email protected] Media Relations: Jeaneen Terrio (212) 632-4005, [email protected] investors.franklinresources.com FOR IMMEDIATE RELEASE Franklin Resources, Inc. Announces Second Quarter Results San Mateo, CA, May 2, 2025 – Franklin Resources, Inc. (the “Company”) [NYSE: B |
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| May 2, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 2, 2025 FRANKLIN RESOURCES, INC. (Exact name of registrant as specified in its charter) Delaware 001-09318 13-2670991 (State or other jurisdiction of incorporation) (Commission Fi |
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| May 2, 2025 |
exhibit10133125 EXECUTION VERSION 1533907301 Published CUSIP Number: 35462DAJ7 (Deal) 35462DAK4 (Revolving Facility) AMENDED AND RESTATED CREDIT AGREEMENT dated as of April 30, 2025 among FRANKLIN RESOURCES, INC. |
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| February 7, 2025 |
Financial Statements and Exhibits, Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 4, 2025 FRANKLIN RESOURCES, INC. (Exact name of registrant as specified in its charter) Delaware 001-09318 13-2670991 (State or other jurisdiction of incorporation) (Commissi |
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| February 5, 2025 |
As filed with the Securities and Exchange Commission on February 5, 2025 As filed with the Securities and Exchange Commission on February 5, 2025 Registration No. |
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| February 5, 2025 |
Exhibit 25.1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM T-1 STATEMENT OF ELIGIBILITY UNDER THE TRUST INDENTURE ACT OF 1939 OF A CORPORATION DESIGNATED TO ACT AS TRUSTEE CHECK IF AN APPLICATION TO DETERMINE ELIGIBILITY OF A TRUSTEE PURSUANT TO SECTION 305(b)(2) || THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A. (Exact name of trustee as specified in its charter) (J |
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| February 5, 2025 |
Exhibit 4.3 FRANKLIN RESOURCES, INC. INDENTURE Dated as of October 6, 2020 DEBT SECURITIES THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A. Trustee CROSS-REFERENCE SHEET* Reconciliation and tie between Trust Indenture Act and Indenture Trust Indenture Act Section Indenture Section § 310(a)(1), (2) and (5) 10.04(a) § 310(a)(3) and (4) Not applicable § 310(b) 10.04(b), 10.05 § 311(a) and (b) 10.11 § |
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| February 5, 2025 |
S-3ASR Exhibit 107 Calculation of Filing Fee Tables Form S-3 (Form Type) Franklin Resources, Inc. |
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| January 31, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 31, 2025 FRANKLIN RESOURCES, INC. (Exact name of registrant as specified in its charter) Delaware 001-09318 13-2670991 (State or other jurisdiction of incorporation) (Commissi |
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| January 31, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (MARK ONE) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2024 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number |
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| January 31, 2025 |
Franklin Resources, Inc. Announces First Quarter Results EXHIBIT 99.1 Contact: Franklin Resources, Inc. Investor Relations: Selene Oh (650) 312-4091, [email protected] Media Relations: Jeaneen Terrio (212) 632-4005, [email protected] investors.franklinresources.com FOR IMMEDIATE RELEASE Franklin Resources, Inc. Announces First Quarter Results San Mateo, CA, January 31, 2025 – Franklin Resources, Inc. (the “Company”) [NYS |
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| December 20, 2024 |
TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. |
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| December 12, 2024 |
frkbdc24a1.htm - Generated by SEC Publisher for SEC Filing 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No.1)* FRANKLIN BSP REAL ESTATE DEBT BDC (Name of Issuer) Common Shares, par value $0.001 per share (Title of Class of Securities) Not Applicable (CUSIP Number) Thomas C. Mandia Assistant Secretary Fra |
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| December 6, 2024 |
clar24a11.htm - Generated by SEC Publisher for SEC Filing CUSIP NO. 180567406 Page 1 of 14 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 11)* CLARION PARTNERS REAL ESTATE INCOME FUND INC. (Name of Issuer) CLASS I SHARES OF COMMON STOCK $.001 PAR VALUE PER SHARE (Title of Class of Securities) 180567406 ( |
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| December 2, 2024 |
SC 13D/A 1 frkbsp24a20.htm CUSIP NO. 35242N202 Page 1 of 18 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 20)* FRANKLIN BSP PRIVATE CREDIT FUND (Name of Issuer) ADVISOR CLASS SHARES OF BENEFICAL INTEREST (Title of Class of Securities) 35242N202 (CUSIP Number) Thomas C. Mandia Assistant Secretary Frankli |
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| November 21, 2024 |
SC 13D/A 1 frkbsp24a19.htm CUSIP NO. 35242N202 Page 1 of 18 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 19)* FRANKLIN BSP PRIVATE CREDIT FUND (Name of Issuer) ADVISOR CLASS SHARES OF BENEFICAL INTEREST (Title of Class of Securities) 35242N202 (CUSIP Number) Thomas C. Mandia Assistant Secretary Frankli |
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| November 15, 2024 |
SC 13D/A 1 clar24a10.htm CUSIP NO. 180567406 Page 1 of 14 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 10)* CLARION PARTNERS REAL ESTATE INCOME FUND INC. (Name of Issuer) CLASS I SHARES OF COMMON STOCK $.001 PAR VALUE PER SHARE (Title of Class of Securities) 180567406 (CUSIP Number) Thomas C. Mandia As |
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| November 12, 2024 |
Trading Blackout Policy dated as of December 11, 2012 (filed herewith) FRANKLIN RESOURCES, INC. TRADING BLACKOUT POLICY As Approved December 11, 2012 Overview and Purpose This Trading Blackout Policy (this “Policy”) has been adopted by the Board of Directors (“Board”) of Franklin Resources, Inc. (the “Company”) and addresses the implementation of trading blackout periods (as described below) in the Company’s securities (including, common stock, debt, options and othe |
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| November 12, 2024 |
Code of Ethics and Business Conduct dated as of October 21, 2024 (filed herewith) Franklin Resources, Inc. Code of Ethics and Business Conduct This Code of Ethics and Business Conduct (this “Code”) has been adopted by the Board of Directors (the “Board”) of Franklin Resources, Inc. (“Franklin”) in connection with its oversight of the management and business affairs of Franklin. 1. Purpose and Overview. (a) Application. This Code is applicable to all officers, directors, employe |
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| November 12, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1 )* Franklin Resources, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 354613101 (CUSIP Number) September 30, 2024 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which t |
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| November 12, 2024 |
EXHIBIT A TO FRANKLIN RESOURCES, INC. AWARD AGREEMENT RESTRICTIVE COVENANTS This Exhibit A to the Agreement shall apply if so indicated in the Notice of Award. 1. Confidentiality. (a) Confidential Information Obligations and Restrictions. Participant shall keep confidential and, except as the Company may otherwise consent to in writing, shall not divulge, communicate, disclose, or use to the detri |
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| November 12, 2024 |
Non-Employee Director Compensation as of October EXHIBIT 10.2 FRANKLIN RESOURCES, INC. NON-EMPLOYEE DIRECTOR COMPENSATION As of October 21, 2024 The following sets forth the fees and other payments that non-employee directors of Franklin Resources, Inc. (“Franklin”) are entitled to receive as members of the Board of Directors of Franklin (the “Franklin Board”). The Franklin Board last approved changes in such compensation structure on October 21 |
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| November 12, 2024 |
List of Subsidiaries (filed herewith) EXHIBIT 21 FRANKLIN RESOURCES, INC. LIST OF SUBSIDIARIES* (as of September 30, 2024) Name** State or Jurisdiction of Incorporation or Organization AdvisorEngine Inc. Delaware Benji Staking, LLC Delaware Brandywine Global Investment Management (Europe) Limited United Kingdom Clarion Partners (Deutschland) Europe GmbH Germany Clarion Partners EMEA Limited United Kingdom Clarion Partners Europe Limit |
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| November 12, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (MARK ONE) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended September 30, 2024 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-0 |
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| November 4, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 4, 2024 FRANKLIN RESOURCES, INC. (Exact name of registrant as specified in its charter) Delaware 001-09318 13-2670991 (State or other jurisdiction of incorporation) (Commissi |
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| November 4, 2024 |
Franklin Resources, Inc. Announces Preliminary Fourth Quarter and Fiscal Year Results EXHIBIT 99.1 Contact: Franklin Resources, Inc. Investor Relations: Selene Oh (650) 312-4091, [email protected] Media Relations: Jeaneen Terrio (212) 632-4005, [email protected] investors.franklinresources.com FOR IMMEDIATE RELEASE Franklin Resources, Inc. Announces Preliminary Fourth Quarter and Fiscal Year Results San Mateo, CA, November 4, 2024 – Franklin Resourc |
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| November 4, 2024 |
frkbsp24a18.htm - Generated by SEC Publisher for SEC Filing CUSIP NO. 35242N202 Page 1 of 18 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 18)* FRANKLIN BSP PRIVATE CREDIT FUND (Name of Issuer) ADVISOR CLASS SHARES OF BENEFICAL INTEREST (Title of Class of Securities) 35242N202 (CUSIP Number) Thomas C. M |
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| October 18, 2024 |
SC 13D/A 1 frkbsp24a17.htm CUSIP NO. 35242N202 Page 1 of 18 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 17)* FRANKLIN BSP PRIVATE CREDIT FUND (Name of Issuer) ADVISOR CLASS SHARES OF BENEFICAL INTEREST (Title of Class of Securities) 35242N202 (CUSIP Number) Thomas C. Mandia Assistant Secretary Frankli |
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| October 9, 2024 |
clar24a9.htm - Generated by SEC Publisher for SEC Filing CUSIP NO. 180567406 Page 1 of 14 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 9)* CLARION PARTNERS REAL ESTATE INCOME FUND INC. (Name of Issuer) CLASS I SHARES OF COMMON STOCK $.001 PAR VALUE PER SHARE (Title of Class of Securities) 180567406 (CU |
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| September 23, 2024 |
frkbsp24a16.htm - Generated by SEC Publisher for SEC Filing CUSIP NO. 35242N202 Page 1 of 18 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 16)* FRANKLIN BSP PRIVATE CREDIT FUND (Name of Issuer) ADVISOR CLASS SHARES OF BENEFICAL INTEREST (Title of Class of Securities) 35242N202 (CUSIP Number) Thomas C. M |
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| September 20, 2024 |
SC 13D/A 1 clar24a8.htm CUSIP NO. 180567406 Page 1 of 14 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 8)* CLARION PARTNERS REAL ESTATE INCOME FUND INC. (Name of Issuer) CLASS I SHARES OF COMMON STOCK $.001 PAR VALUE PER SHARE (Title of Class of Securities) 180567406 (CUSIP Number) Thomas C. Mandia Assi |
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| September 9, 2024 |
SC 13D/A 1 frkbsp24a15.htm CUSIP NO. 35242N202 Page 1 of 19 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 15)* FRANKLIN BSP PRIVATE CREDIT FUND (Name of Issuer) ADVISOR CLASS SHARES OF BENEFICAL INTEREST (Title of Class of Securities) 35242N202 (CUSIP Number) Thomas C. Mandia Assistant Secretary Frankli |
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| August 30, 2024 |
SC 13D/A 1 clar24a7.htm CUSIP NO. 180567406 Page 1 of 14 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 7)* CLARION PARTNERS REAL ESTATE INCOME FUND INC. (Name of Issuer) CLASS I SHARES OF COMMON STOCK $.001 PAR VALUE PER SHARE (Title of Class of Securities) 180567406 (CUSIP Number) Thomas C. Mandia Assi |
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| August 26, 2024 |
SC 13D/A 1 frkbsp24a14.htm CUSIP NO. 35242N202 Page 1 of 19 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 14)* FRANKLIN BSP PRIVATE CREDIT FUND (Name of Issuer) ADVISOR CLASS SHARES OF BENEFICAL INTEREST (Title of Class of Securities) 35242N202 (CUSIP Number) Thomas C. Mandia Assistant Secretary Frankli |
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| August 21, 2024 |
EXHIBIT 99.1 Press Release (WA) Western Asset Management Company Announces Leadership Transition Michael Buchanan named Chief Investment Officer Ken Leech on leave of absence PASADENA, CA / [BUSINESS WIRE] / [August 21, 2024] / Western Asset Management Company (“Western Asset” or the “Company”), a global manager of active fixed-income solutions, announced today that it has appointed Michael Buchan |
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| August 21, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 21, 2024 FRANKLIN RESOURCES, INC. (Exact name of registrant as specified in its charter) Delaware 001-09318 13-2670991 (State or other jurisdiction of incorporation) (Commissio |
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| August 14, 2024 |
clar24a6.htm - Generated by SEC Publisher for SEC Filing CUSIP NO. 180567406 Page 1 of 14 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 6)* CLARION PARTNERS REAL ESTATE INCOME FUND INC. (Name of Issuer) CLASS I SHARES OF COMMON STOCK $.001 PAR VALUE PER SHARE (Title of Class of Securities) 180567406 (CU |
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| August 1, 2024 |
frkbsp24a13.htm - Generated by SEC Publisher for SEC Filing CUSIP NO. 35242N202 Page 1 of 19 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 13)* FRANKLIN BSP PRIVATE CREDIT FUND (Name of Issuer) ADVISOR CLASS SHARES OF BENEFICAL INTEREST (Title of Class of Securities) 35242N202 (CUSIP Number) Thomas C. M |
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| July 26, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 26, 2024 FRANKLIN RESOURCES, INC. (Exact name of registrant as specified in its charter) Delaware 001-09318 13-2670991 (State or other jurisdiction of incorporation) (Commission |
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| July 26, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (MARK ONE) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2024 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 00 |
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| July 26, 2024 |
Franklin Resources, Inc. Announces Third Quarter Results EXHIBIT 99.1 Contact: Franklin Resources, Inc. Investor Relations: Selene Oh (650) 312-4091, [email protected] Media Relations: Jeaneen Terrio (212) 632-4005, [email protected] investors.franklinresources.com FOR IMMEDIATE RELEASE Franklin Resources, Inc. Announces Third Quarter Results San Mateo, CA, July 26, 2024 – Franklin Resources, Inc. (the “Company”) [NYSE: |
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| July 11, 2024 |
frkbdc24in.htm - Generated by SEC Publisher for SEC Filing 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No.)* FRANKLIN BSP REAL ESTATE DEBT BDC (Name of Issuer) Common Shares, par value $0.001 per share (Title of Class of Securities) Not Applicable (CUSIP Number) Thomas C. Mandia Assistant Secretary Fran |
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| July 5, 2024 |
clar24a5.htm - Generated by SEC Publisher for SEC Filing CUSIP NO. 180567406 Page 1 of 14 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 5)* CLARION PARTNERS REAL ESTATE INCOME FUND INC. (Name of Issuer) CLASS I SHARES OF COMMON STOCK $.001 PAR VALUE PER SHARE (Title of Class of Securities) 180567406 (CU |
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| July 2, 2024 |
SC 13D/A 1 frkbsp24a12.htm CUSIP NO. 35242N202 Page 1 of 19 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 12)* FRANKLIN BSP PRIVATE CREDIT FUND (Name of Issuer) ADVISOR CLASS SHARES OF BENEFICAL INTEREST (Title of Class of Securities) 35242N202 (CUSIP Number) Thomas C. Mandia Assistant Secretary Frankli |
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| July 1, 2024 |
Table of Contents As filed with the Securities and Exchange Commission on July 1, 2024. |
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| July 1, 2024 |
Exhibit 107.1 Calculation of Filing Fee Table Form S-3 (Form Type) Franklin Resources, Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities and Carry Forward Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered(1) (2) Proposed Maximum Offering Price Per Unit(3) Proposed Maximum Aggregate Offering Price Fee |
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| July 1, 2024 |
frkbsp24a11.htm - Generated by SEC Publisher for SEC Filing CUSIP NO. 35242N202 Page 1 of 19 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 11)* FRANKLIN BSP PRIVATE CREDIT FUND (Name of Issuer) ADVISOR CLASS SHARES OF BENEFICAL INTEREST (Title of Class of Securities) 35242N202 (CUSIP Number) Thomas C. M |
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| June 26, 2024 |
SC 13D/A 1 frkbsp24a10.htm CUSIP NO. 35242N202 Page 1 of 19 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 10)* FRANKLIN BSP PRIVATE CREDIT FUND (Name of Issuer) ADVISOR CLASS SHARES OF BENEFICAL INTEREST (Title of Class of Securities) 35242N202 (CUSIP Number) Thomas C. Mandia Assistant Secretary Frankli |
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| June 20, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 11-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 11-K (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2023 OR o TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 001-09318 A. Full titl |
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| June 11, 2024 |
SC 13D/A 1 clar24a4.htm CUSIP NO. 180567406 Page 1 of 14 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 4)* CLARION PARTNERS REAL ESTATE INCOME FUND INC. (Name of Issuer) CLASS I SHARES OF COMMON STOCK $.001 PAR VALUE PER SHARE (Title of Class of Securities) 180567406 (CUSIP Number) Thomas C. Mandia Assi |
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| June 6, 2024 |
frkbsp24a9.htm - Generated by SEC Publisher for SEC Filing CUSIP NO. 35242N202 Page 1 of 19 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 9)* FRANKLIN BSP PRIVATE CREDIT FUND (Name of Issuer) ADVISOR CLASS SHARES OF BENEFICAL INTEREST (Title of Class of Securities) 35242N202 (CUSIP Number) Thomas C. Man |
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| May 24, 2024 |
SC 13D/A 1 clar24a3.htm CUSIP NO. 180567406 Page 1 of 14 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 3)* CLARION PARTNERS REAL ESTATE INCOME FUND INC. (Name of Issuer) CLASS I SHARES OF COMMON STOCK $.001 PAR VALUE PER SHARE (Title of Class of Securities) 180567406 (CUSIP Number) Thomas C. Mandia Assi |
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| May 15, 2024 |
SC 13D/A 1 frkbsp24a8.htm CUSIP NO. 35242N202 Page 1 of 19 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 8)* FRANKLIN BSP PRIVATE CREDIT FUND (Name of Issuer) ADVISOR CLASS SHARES OF BENEFICAL INTEREST (Title of Class of Securities) 35242N202 (CUSIP Number) Thomas C. Mandia Assistant Secretary Franklin |
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| May 13, 2024 |
INVA / Innoviva, Inc. / FRANKLIN RESOURCES INC Passive Investment SC 13G 1 inno24in.htm CUSIP NO. 45781M101 13G Page 1 of 14 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Innoviva, Inc.1 (Name of Issuer) Common Stock, par value $0.01 (Title of Class of Securities) 45781M101 (CUSIP Number) April 30, 2024 (Date of Event Which Requires Filing of this Statement) Check |
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| May 8, 2024 |
INVA / Innoviva, Inc. / FRANKLIN RESOURCES INC Activist Investment SC 13D 1 inno24in.htm CUSIP NO. 45781M101 13G Page 1 of 14 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Innoviva, Inc. (Name of Issuer) Common Stock, par value $0.01 (Title of Class of Securities) 45781M101 (CUSIP Number) April 30, 2024 (Date of Event Which Requires Filing of this Statement) Check t |
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| May 6, 2024 |
frkbsp24a7.htm - Generated by SEC Publisher for SEC Filing CUSIP NO. 35242N202 Page 1 of 16 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 7)* FRANKLIN BSP PRIVATE CREDIT FUND (Name of Issuer) ADVISOR CLASS SHARES OF BENEFICAL INTEREST (Title of Class of Securities) 35242N202 (CUSIP Number) Thomas C. Man |
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| April 29, 2024 |
frkbsp24a6.htm - Generated by SEC Publisher for SEC Filing CUSIP NO. 35242N202 Page 1 of 16 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 6)* FRANKLIN BSP PRIVATE CREDIT FUND (Name of Issuer) ADVISOR CLASS SHARES OF BENEFICAL INTEREST (Title of Class of Securities) 35242N202 (CUSIP Number) Thomas C. Man |
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| April 29, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 29, 2024 FRANKLIN RESOURCES, INC. (Exact name of registrant as specified in its charter) Delaware 001-09318 13-2670991 (State or other jurisdiction of incorporation) (Commission |
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| April 29, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (MARK ONE) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2024 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 0 |
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| April 29, 2024 |
Franklin Resources, Inc. Announces Second Quarter Results EXHIBIT 99.1 Contact: Franklin Resources, Inc. Investor Relations: Selene Oh (650) 312-4091, [email protected] Media Relations: Jeaneen Terrio (212) 632-4005, [email protected] investors.franklinresources.com FOR IMMEDIATE RELEASE Franklin Resources, Inc. Announces Second Quarter Results San Mateo, CA, April 29, 2024 – Franklin Resources, Inc. (the “Company”) [NYSE |
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| April 19, 2024 |
frkbsp24a5.htm - Generated by SEC Publisher for SEC Filing CUSIP NO. 35242N202 Page 1 of 16 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 5)* FRANKLIN BSP PRIVATE CREDIT FUND (Name of Issuer) ADVISOR CLASS SHARES OF BENEFICAL INTEREST (Title of Class of Securities) 35242N202 (CUSIP Number) Thomas C. Man |
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| April 16, 2024 |
clar24a2.htm - Generated by SEC Publisher for SEC Filing CUSIP NO. 180567406 Page 1 of 14 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2)* CLARION PARTNERS REAL ESTATE INCOME FUND INC. (Name of Issuer) CLASS I SHARES OF COMMON STOCK $.001 PAR VALUE PER SHARE (Title of Class of Securities) 180567406 (CU |
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| April 11, 2024 |
SC 13D/A 1 frkbsp24a4.htm CUSIP NO. 35242N202 Page 1 of 16 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 4)* FRANKLIN BSP PRIVATE CREDIT FUND (Name of Issuer) ADVISOR CLASS SHARES OF BENEFICAL INTEREST (Title of Class of Securities) 35242N202 (CUSIP Number) Thomas C. Mandia Assistant Secretary Franklin |
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| April 9, 2024 |
ITRG / Integra Resources Corp. / FRANKLIN RESOURCES INC Passive Investment inte24a4.htm - Generated by SEC Publisher for SEC Filing CUSIP NO. 45826T509 13G Page 1 of 14 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4)* INTEGRA RESOURCES CORP. (Name of Issuer) Common Shares, no par value (Title of Class of Securities) 45826T509 (CUSIP Number) March 31, 2024 (Date of Event Which |
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| March 28, 2024 |
SC 13D/A 1 frkbsp24a3.htm CUSIP NO. 35242N202 Page 1 of 16 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 3)* FRANKLIN BSP PRIVATE CREDIT FUND (Name of Issuer) ADVISOR CLASS SHARES OF BENEFICAL INTEREST (Title of Class of Securities) 35242N202 (CUSIP Number) Thomas C. Mandia Assistant Secretary Franklin |
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| March 21, 2024 |
Filing Fee Table (filed herewith). Exhibit 107 CALCULATION OF FILING FEE TABLE Form S-8 (Form Type) Franklin Resources, Inc. |
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| March 21, 2024 |
As filed with the Securities and Exchange Commission on March 21, 2024 As filed with the Securities and Exchange Commission on March 21, 2024 Registration No. |
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| March 21, 2024 |
clar24a1.htm - Generated by SEC Publisher for SEC Filing CUSIP NO. 180567406 Page 1 of 14 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1)* CLARION PARTNERS REAL ESTATE INCOME FUND INC. (Name of Issuer) CLASS I SHARES OF COMMON STOCK $.001 PAR VALUE PER SHARE (Title of Class of Securities) 180567406 (CU |
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| March 20, 2024 |
frkbsp24a2.htm - Generated by SEC Publisher for SEC Filing CUSIP NO. 35242N202 Page 1 of 16 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2)* FRANKLIN BSP PRIVATE CREDIT FUND (Name of Issuer) ADVISOR CLASS SHARES OF BENEFICAL INTEREST (Title of Class of Securities) 35242N202 (CUSIP Number) Thomas C. Man |
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| March 13, 2024 |
SABA / Saba Capital Income & Opportunities Fund II / FRANKLIN RESOURCES INC Activist Investment SC 13D/A 1 temp24a4.htm CUSIP NO. 880198106 Page 1 of 13 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 4)* Saba Capital Income & Opportunities Fund II1 (Name of Issuer) Shares of Beneficial Interest, without par value (Title of Class of Securities) 880198106 (CUSIP Number) Virginia E. Rosas Assistant Se |
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| March 11, 2024 |
SC 13D/A 1 frkbsp24a1.htm CUSIP NO. 35242N202 Page 1 of 16 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1)* FRANKLIN BSP PRIVATE CREDIT FUND (Name of Issuer) ADVISOR CLASS SHARES OF BENEFICAL INTEREST (Title of Class of Securities) 35242N202 (CUSIP Number) Thomas C. Mandia Assistant Secretary Franklin |
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| March 11, 2024 |
ACHV / Achieve Life Sciences, Inc. / FRANKLIN RESOURCES INC Passive Investment SC 13G 1 achi24in.htm CUSIP NO. 004468500 13G Page 1 of 14 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Achieve Life Sciences, Inc. (Name of Issuer) Common Stock, par value $0.001 (Title of Class of Securities) 004468500 (CUSIP Number) February 29, 2024 (Date of Event Which Requires Filing of this S |
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| February 27, 2024 |
frkbsp23in.htm - Generated by SEC Publisher for SEC Filing CUSIP NO. 35242N202 Page 1 of 16 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* FRANKLIN BSP PRIVATE CREDIT FUND (Name of Issuer) ADVISOR CLASS SHARES OF BENEFICAL INTEREST (Title of Class of Securities) 35242N202 (CUSIP Number) Thomas C. Mand |
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| February 27, 2024 |
SC 13D 1 clar24in.htm CUSIP NO. 180567406 Page 1 of 14 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* CLARION PARTNERS REAL ESTATE INCOME FUND INC. (Name of Issuer) CLASS I SHARES OF COMMON STOCK $.001 PAR VALUE PER SHARE (Title of Class of Securities) 180567406 (CUSIP Number) Thomas C. Mandia Assista |
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| February 13, 2024 |
BEN / Franklin Resources, Inc. / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment SC 13G/A 1 tv0977-franklinresourcesinc.htm SCHEDULE 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 5)* Name of issuer: Franklin Resources Inc Title of Class of Securities: Common Stock CUSIP Number: 354613101 Date of Event Which Requires Filing of this Statement: December 29, 2023 Check the appropriate box to d |
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| February 9, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 5, 2024 FRANKLIN RESOURCES, INC. (Exact name of registrant as specified in its charter) Delaware 001-09318 13-2670991 (State or other jurisdiction of incorporation) (Commissi |
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| February 9, 2024 |
SC 13G 1 SEC13GFiling.htm SEC SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Franklin Resources, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 354613101 (CUSIP Number) December 29, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box t |
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| February 8, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 6, 2024 FRANKLIN RESOURCES, INC. (Exact name of registrant as specified in its charter) Delaware 001-09318 13-2670991 (State or other jurisdiction of incorporation) (Commissi |
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| February 8, 2024 |
Franklin Resources, Inc. 2002 Universal Stock Incentive Plan As Amended and Restated effective February 6, 2024 1. General 1.1. Purpose. The Franklin Resources, Inc. 2002 Universal Stock Incentive Plan (the “2002 Stock Plan”) has been established by Franklin Resources, Inc., a Delaware corporation (the “Company”) to (i) attract and retain persons eligible to participate in the 2002 Stock Plan; (ii |
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| February 6, 2024 |
EYPT / EyePoint Pharmaceuticals, Inc. / FRANKLIN RESOURCES INC Passive Investment eyep23a5.htm - Generated by SEC Publisher for SEC Filing CUSIP NO. 30233G209 13G Page 1 of 14 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 5)* EyePoint Pharmaceuticals, Inc. (Name of Issuer) Common Stock, par value $0.001 (Title of Class of Securities) 30233G209 (CUSIP Number) December 31, 2023 (Date o |
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| February 6, 2024 |
DXC / DXC Technology Company / FRANKLIN RESOURCES INC Passive Investment dxct23a2.htm - Generated by SEC Publisher for SEC Filing CUSIP NO. 23355L106 13G Page 1 of 13 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* DXC TECHNOLOGY COMPANY (Name of Issuer) Common Stock, $0.01 par value per share (Title of Class of Securities) 23355L106 (CUSIP Number) December 31, 2023 (Date |
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| February 6, 2024 |
HRTX / Heron Therapeutics, Inc. / FRANKLIN RESOURCES INC Passive Investment hero23a13.htm - Generated by SEC Publisher for SEC Filing CUSIP NO. 427746102 13G Page 1 of 13 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 13)* HERON THERAPEUTICS, INC. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 427746102 (CUSIP Number) December 31, 2023 (D |
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| February 6, 2024 |
RVNC / Revance Therapeutics, Inc. / FRANKLIN RESOURCES INC Passive Investment SC 13G 1 reva23in.htm CUSIP NO. 761330109 13G Page 1 of 14 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Revance Therapeutics, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 761330109 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing |
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| February 6, 2024 |
APLT / Applied Therapeutics, Inc. / FRANKLIN RESOURCES INC Passive Investment appl23a41.htm - Generated by SEC Publisher for SEC Filing CUSIP NO. 03828A101 13G Page 1 of 15 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4)* Applied Therapeutics, Inc. (Name of Issuer) Common Stock, par value $0.0001 (Title of Class of Securities) 03828A101 (CUSIP Number) December 31, 2023 (Date of |
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| February 6, 2024 |
PLG / Platinum Group Metals Ltd. / FRANKLIN RESOURCES INC Passive Investment SC 13G/A 1 plat23a12.htm CUSIP NO. 72765Q882 13G Page 1 of 14 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 12)* PLATINUM GROUP METALS LTD. (Name of Issuer) Common Shares, no par value (Title of Class of Securities) 72765Q8821 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of this |
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| February 6, 2024 |
BRDG / Bridge Investment Group Holdings Inc. / FRANKLIN RESOURCES INC Passive Investment SC 13G/A 1 brid23a2.htm CUSIP NO. 10806B100 13G Page 1 of 13 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* BRIDGE INVESTMENT GROUP HOLDINGS INC. (Name of Issuer) Class A common stock, $0.01 par value per share (Title of Class of Securities) 10806B100 (CUSIP Number) December 31, 2023 (Date of Event W |
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| February 6, 2024 |
CGEM / Cullinan Oncology, Inc. / FRANKLIN RESOURCES INC Passive Investment SC 13G 1 cull23in.htm CUSIP NO. 230031106 13G Page 1 of 14 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* CULLINAN ONCOLOGY, INC. (Name of Issuer) Common Stock, $0.0001 par value per share (Title of Class of Securities) 230031106 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of |
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| February 6, 2024 |
ABOS / Acumen Pharmaceuticals, Inc. / FRANKLIN RESOURCES INC Passive Investment SC 13G 1 acum23in.htm CUSIP NO. 00509G209 13G Page 1 of 14 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Acumen Pharmaceuticals, Inc (Name of Issuer) Common stock, par value $0.0001 per share (Title of Class of Securities) 00509G209 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filin |
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| February 6, 2024 |
OIS / Oil States International, Inc. / FRANKLIN RESOURCES INC Passive Investment SC 13G 1 oils23in.htm CUSIP NO. 678026105 13G Page 1 of 14 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* OIL STATES INTERNATIONAL, INC. (Name of Issuer) Common stock, par value $0.01 per share (Title of Class of Securities) 678026105 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Fili |
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| February 6, 2024 |
PAY / Paymentus Holdings, Inc. / FRANKLIN RESOURCES INC Passive Investment SC 13G/A 1 paym23a5.htm CUSIP NO. 70439P108 13G Page 1 of 14 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 5)* Paymentus Holdings, Inc. (Name of Issuer) Class A Common Stock, par value $0.0001 per share (Title of Class of Securities) 70439P108 (CUSIP Number) December 31, 2023 (Date of Event Which Requir |
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| February 6, 2024 |
ITRG / Integra Resources Corp. / FRANKLIN RESOURCES INC Passive Investment inte23a3.htm - Generated by SEC Publisher for SEC Filing CUSIP NO. 45826T509 13G Page 1 of 14 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* INTEGRA RESOURCES CORP. (Name of Issuer) Common Shares, no par value (Title of Class of Securities) 45826T509 (CUSIP Number) December 31, 2023 (Date of Event Wh |
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| February 6, 2024 |
NRDY / Nerdy, Inc. / FRANKLIN RESOURCES INC Passive Investment SC 13G/A 1 nerd23a2.htm CUSIP NO. 64081V109 13G Page 1 of 13 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* NERDY INC. (Name of Issuer) Class A common stock, par value $0.0001 per share (Title of Class of Securities) 64081V109 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of t |
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| February 6, 2024 |
SITM / SiTime Corporation / FRANKLIN RESOURCES INC Passive Investment SC 13G/A 1 siti23a2.htm CUSIP NO. 82982T106 13G Page 1 of 14 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* SiTime Corporation (Name of Issuer) Common Stock, $0.0001 par value per share (Title of Class of Securities) 82982T106 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of t |
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| February 6, 2024 |
GAU / Galiano Gold Inc. / FRANKLIN RESOURCES INC Passive Investment gali23a5.htm - Generated by SEC Publisher for SEC Filing CUSIP NO. 36352H100 13G Page 1 of 13 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 5)* GALIANO GOLD INC. (Name of Issuer) Common Shares, no par value (Title of Class of Securities) 36352H100 (CUSIP Number) December 31, 2023 (Date of Event Which Re |
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| February 6, 2024 |
OSW / OneSpaWorld Holdings Limited / FRANKLIN RESOURCES INC Passive Investment SC 13G/A 1 ones23a6.htm CUSIP NO. P73684113 13G Page 1 of 14 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 6)* OneSpaWorld Holdings Limited (Name of Issuer) Common Shares, par value (U.S.) $0.0001 per share (Title of Class of Securities) P73684113 (CUSIP Number) December 31, 2023 (Date of Event Which Re |
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| February 6, 2024 |
VZLA / Vizsla Silver Corp. / FRANKLIN RESOURCES INC Passive Investment SC 13G/A 1 vizs23a1.htm CUSIP NO. 92859G202 13G Page 1 of 14 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Vizsla Silver Corp. (Name of Issuer) Common Shares, no par value (Title of Class of Securities) 92859G202 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of this Statement |
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| February 6, 2024 |
MRNS / Marinus Pharmaceuticals, Inc. / FRANKLIN RESOURCES INC Passive Investment mari23in.htm - Generated by SEC Publisher for SEC Filing CUSIP NO. 56854Q200 13G Page 1 of 14 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* MARINUS PHARMACEUTICALS, INC. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 56854Q200 (CUSIP Number) December 31, 2023 |
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| January 29, 2024 |
Franklin Resources, Inc. Announces First Quarter Results EXHIBIT 99.1 Contact: Franklin Resources, Inc. Investor Relations: Selene Oh (650) 312-4091, [email protected] Media Relations: Matt Walsh (650) 312-2245, [email protected] investors.franklinresources.com FOR IMMEDIATE RELEASE Franklin Resources, Inc. Announces First Quarter Results San Mateo, CA, January 29, 2024 – Franklin Resources, Inc. (the “Company”) [NYSE: BE |
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| January 29, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (MARK ONE) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number |
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| January 29, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 29, 2024 FRANKLIN RESOURCES, INC. (Exact name of registrant as specified in its charter) Delaware 001-09318 13-2670991 (State or other jurisdiction of incorporation) (Commissi |
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| January 5, 2024 |
EX-99.2 EXHIBIT 99.2 Item 7 Information The securities being reported on by Power Corporation of Canada, as parent holding company, Great-West Lifeco Inc. and PAFI, LLC are owned directly by PAFI, LLC, a wholly owned subsidiary of Empower Services Holdings US, LLC. Pursuant to the instructions in Item 7 of Schedule 13G, the following table lists the identity of each other relevant entity that may |
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| January 5, 2024 |
EX-99.1 2 d681721dex991.htm EX-99.1 EXHIBIT 99.1 JOINT FILING STATEMENT In accordance with Rule 13d-1(k)(1) promulgated under the Securities Exchange Act of 1934, the undersigned agree to the joint filing of a Statement on Schedule 13G (including any and all amendments thereto) with respect to the Common Stock, par value $0.10 per share, of Franklin Resources, Inc. and further agree to the filing |
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| January 5, 2024 |
BEN / Franklin Resources, Inc. / GREAT-WEST LIFECO INC. - SC 13G Passive Investment SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. |
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| December 27, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. |
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| December 27, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. |
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| December 27, 2023 |
COURTESY PDF OF PROXY STATEMENT and Notice of Annual Meeting 2024 Proxy Statement February 6, 2024, 8:00 a.m. Pacific Time www.virtualshareholdermeeting.com/BEN2024 and Notice of Annual Meeting 2024 Proxy StatementLetter from Our Lead Director and CEO December 27, 2023 DEAR FELLOW STOCKHOLDERS, The 2024 Annual Meeting of Stockholders of Franklin Resources, Inc. will be held virtually this year, and we cordially invite you to par |
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| December 13, 2023 |
Contact: Franklin Resources, Inc. Investor Relations: Selene Oh (650) 312-4091, [email protected] Media Relations: Matt Walsh (650) 312-2245, [email protected] investors.franklinresources.com For Immediate Release Franklin Resources, Inc. Announces Quarterly Dividend and Addition to Stock Repurchase Program San Mateo, CA, December 12, 2023 – Franklin Resources, Inc. |
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| December 13, 2023 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 12, 2023 FRANKLIN RESOURCES, INC. (Exact name of registrant as specified in its charter) Delaware 001-09318 13-2670991 (State or other jurisdiction of incorporation) (Commiss |
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| December 11, 2023 |
APLT / Applied Therapeutics Inc / FRANKLIN RESOURCES INC Passive Investment SC 13G/A 1 appli23a3.htm CUSIP NO. 03828A101 13G Page 1 of 15 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* Applied Therapeutics, Inc. (Name of Issuer) Common Stock, par value $0.0001 (Title of Class of Securities) 03828A101 (CUSIP Number) November 30, 2023 (Date of Event Which Requires Filing of th |
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| December 11, 2023 |
PAY / Paymentus Holdings Inc - Class A / FRANKLIN RESOURCES INC Passive Investment SC 13G/A 1 paym23a4.htm CUSIP NO. 70439P108 13G Page 1 of 14 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4)* Paymentus Holdings, Inc. (Name of Issuer) Class A Common Stock, par value $0.0001 per share (Title of Class of Securities) 70439P108 (CUSIP Number) November 30, 2023 (Date of Event Which Requir |
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| December 11, 2023 |
US08205P2092 / Benitec Biopharma, Inc. / FRANKLIN RESOURCES INC Passive Investment beni23a2.htm - Generated by SEC Publisher for SEC Filing CUSIP NO. 08205P209 13G Page 1 of 15 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* BENITEC BIOPHARMA INC. (Name of Issuer) Common Stock, par value $0.0001 (Title of Class of Securities) 08205P209 (CUSIP Number) November 30, 2023 (Date of Event |
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| November 17, 2023 |
GIM / Templeton Global Income Fund Inc / FRANKLIN RESOURCES INC Activist Investment SC 13D/A 1 temp23a3.htm CUSIP NO. 880198106 Page 1 of 13 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 3)* TEMPLETON GLOBAL INCOME FUND (Name of Issuer) Shares of Beneficial Interest, Without par value (Title of Class of Securities) 880198106 (CUSIP Number) Virginia E. Rosas Assistant Secretary Franklin |
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| November 14, 2023 |
LEGG MASON, INC. AMENDED AND RESTASTED DEFERRED COMPENSATION FUND PLAN AMENDED AND RESTATED EFFECTIVE OCTOBER 6, 2023 LEGG MASON, INC. AMENDED AND RESTATED DEFERRED COMPENSATION FUND PLAN (As amended and restated effective October 6, 2023) THIS AMENDED AND RESTATED LEGG MASON, INC. DEFERRED COMPENSATION FUND PLAN, as amended and restated effective February 1, 2021, and hereby further amended and r |
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| November 14, 2023 |
FRANKLIN RESOURCES, INC. 2002 UNIVERSAL STOCK INCENTIVE PLAN NOTICE OF RESTRICTED STOCK UNIT AWARD PLEASE NOTE: Where indicated below, certain of your award terms are set forth in your [] electronic account (“BenefitsOnline”). Such award terms are incorporated herein by this reference. Name of Participant: See BenefitsOnline In accordance with the Franklin Resources, Inc. 2002 Universal Stock Ince |
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| November 14, 2023 |
FRANKLIN RESOURCES, INC. AMENDED AND RESTATED DEFERRED COMPENSATION FUND PLAN (Amended and Restated Effective as of August 15, 2023) THIS AMENDED AND RESTATED FRANKLIN RESOURCES, INC. DEFERRED COMPENSATION FUND PLAN (the “Plan”) is adopted by FRANKLIN RESOURCES, INC. (the “Company”) as of the effective date set forth above (the “Effective Date”), under the terms and conditions hereinafter set fort |
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| November 14, 2023 |
CLEARBRIDGE INVESTMENTS, LLC DEFERRED INCENTIVE PLAN AS AMENDED AND RESTATED DATED AS OF FEBRUARY 10, 2023 TABLE OF CONTENTS ARTICLE I - General . |
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| November 14, 2023 |
2023 Restricted Fund Unit Plan (effective October 18, 2023) (filed herewith)* Franklin Resources, Inc. 2023 Restricted Fund Unit Plan Effective October 18, 2023 1. General 1.1 Purpose. The Franklin Resources, Inc. 2023 Restricted Fund Unit Plan (the “Plan”) has been established by Franklin Resources, Inc., a Delaware corporation (the “Company”), to (i) attract and retain persons eligible to participate in the Plan; (ii) motivate Participants, by means of appropriate incenti |
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| November 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (MARK ONE) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended September 30, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-0 |
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| November 14, 2023 |
List of Subsidiaries (filed herewith) EXHIBIT 21 FRANKLIN RESOURCES, INC. LIST OF SUBSIDIARIES* (as of September 30, 2023) Name** State or Jurisdiction of Incorporation or Organization AdvisorEngine Inc. Delaware Benji Staking, LLC Delaware Brandywine Global Investment Management (Europe) Limited United Kingdom CCPF GP Holdco No.2 Limited United Kingdom CCPF No.2 (GP) Limited United Kingdom Clarion Partners (Deutschland) Europe GmbH G |
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| November 14, 2023 |
FRANKLIN RESOURCES, INC. 2002 UNIVERSAL STOCK INCENTIVE PLAN NOTICE OF RESTRICTED STOCK UNIT AWARD PLEASE NOTE: Where indicated below, certain of your award terms are set forth in your [] electronic account (“BenefitsOnline”). Such award terms are incorporated herein by this reference. Name of Participant: See BenefitsOnline In accordance with the Franklin Resources, Inc. 2002 Universal Stock Ince |
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| November 14, 2023 |
ation as of October 18, 2023 (filed here EXHIBIT 10.2 FRANKLIN RESOURCES, INC. NON-EMPLOYEE DIRECTOR COMPENSATION As of October 18, 2023 The following sets forth the fees and other payments that non-employee directors of Franklin Resources, Inc. (“Franklin”) are entitled to receive as members of the Board of Directors of Franklin (the “Franklin Board”). The Franklin Board last approved changes in such compensation structure on October 18 |
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| November 1, 2023 |
Unregistered Sales of Equity Securities UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 31, 2023 FRANKLIN RESOURCES, INC. (Exact name of registrant as specified in its charter) Delaware 001-09318 13-2670991 (State or other jurisdiction of incorporation) (Commission F |
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| October 31, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 31, 2023 FRANKLIN RESOURCES, INC. (Exact name of registrant as specified in its charter) Delaware 001-09318 13-2670991 (State or other jurisdiction of incorporation) (Commissi |
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| October 31, 2023 |
Franklin Resources, Inc. Announces Preliminary Fourth Quarter and Fiscal Year Results EX-99.1 2 exhibit991q4fy23.htm EX-99.1 EXHIBIT 99.1 Contact: Franklin Resources, Inc. Investor Relations: Selene Oh (650) 312-4091, [email protected] Media Relations: Matt Walsh (650) 312-2245, [email protected] investors.franklinresources.com FOR IMMEDIATE RELEASE Franklin Resources, Inc. Announces Preliminary Fourth Quarter and Fiscal Year Results San Mateo, CA, O |
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| October 24, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 18, 2023 FRANKLIN RESOURCES, INC. (Exact name of registrant as specified in its charter) Delaware 001-09318 13-2670991 (State or other jurisdiction of incorporation) (Commissi |
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| October 24, 2023 |
Executive Compensation Clawback Policy of Franklin Resources, Inc. Franklin Resources, Inc. Executive Compensation Clawback Policy Adopted October 18, 2023 I. Purpose The Board of Directors (the “Board”) of Franklin Resources, Inc. (the “Corporation”) has adopted this executive compensation clawback policy (this “Policy”) that provides for the recoupment of incentive-based compensation in the event of an accounting restatement. This Policy is intended to comply w |
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| September 22, 2023 |
DE:6VL / Proterra Inc / FRANKLIN RESOURCES INC Passive Investment prot23a3.htm - Generated by SEC Publisher for SEC Filing CUSIP NO. 74374T109 13G Page 1 of 12 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* Proterra Inc (Name of Issuer) Common Stock, $0.0001 par value per share (Title of Class of Securities) 74374T109 (CUSIP Number) August 31, 2023 (Date of Event W |
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| September 11, 2023 |
EYPT / EyePoint Pharmaceuticals Inc / FRANKLIN RESOURCES INC Passive Investment SC 13G/A 1 eyep23a4.htm CUSIP NO. 30233G209 13G Page 1 of 14 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4)* EyePoint Pharmaceuticals, Inc. (Name of Issuer) Common Stock, par value $0.001 (Title of Class of Securities) 30233G209 (CUSIP Number) August 31, 2023 (Date of Event Which Requires Filing of th |
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| September 11, 2023 |
BNTC / Benitec Biopharma Inc / FRANKLIN RESOURCES INC Passive Investment SC 13G/A 1 beni23a1.htm CUSIP NO. 08205P209 13G Page 1 of 15 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* BENITEC BIOPHARMA INC. (Name of Issuer) Common Stock, par value $0.0001 (Title of Class of Securities) 08205P209 (CUSIP Number) August 31, 2023 (Date of Event Which Requires Filing of this Stat |
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| July 28, 2023 |
Franklin Resources, Inc. Announces Third Quarter Results EXHIBIT 99.1 Contact: Franklin Resources, Inc. Investor Relations: Selene Oh (650) 312-4091, [email protected] Media Relations: Matt Walsh (650) 312-2245, [email protected] investors.franklinresources.com FOR IMMEDIATE RELEASE Franklin Resources, Inc. Announces Third Quarter Results San Mateo, CA, July 28, 2023 – Franklin Resources, Inc. (the “Company”) [NYSE: BEN] |
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| July 28, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 25, 2023 FRANKLIN RESOURCES, INC. (Exact name of registrant as specified in its charter) Delaware 001-09318 13-2670991 (State or other jurisdiction of incorporation) (Commission |
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| July 28, 2023 |
exhibit101revolvingcredi Exhibit 10.1 Published CUSIP Number: 35462DAG3 (Deal) 35462DAH1 (Revolving Facility) CREDIT AGREEMENT dated as of July 25, 2023 among FRANKLIN RESOURCES, INC., as the Borrower, BANK OF AMERICA, N.A., as Administrative Agent, the Lenders party hereto, HSBC BANK USA, N.A., as Syndication Agent, and BANK OF AMERICA, N.A., and HSBC BANK USA, N.A., as Joint Lead Arrangers and J |
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| July 28, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (MARK ONE) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 00 |
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| July 28, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 28, 2023 FRANKLIN RESOURCES, INC. (Exact name of registrant as specified in its charter) Delaware 001-09318 13-2670991 (State or other jurisdiction of incorporation) (Commission |
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| June 30, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 7, 2023 FRANKLIN RESOURCES, INC. (Exact name of registrant as specified in its charter) Delaware 001-09318 13-2670991 (State or other jurisdiction of inco |
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| June 27, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 11-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 11-K (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 OR o TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 001-09318 A. Full titl |
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| May 10, 2023 |
APLT / Applied Therapeutics Inc / FRANKLIN RESOURCES INC Passive Investment appl23a2.htm - Generated by SEC Publisher for SEC Filing CUSIP NO. 03828A101 13G Page 1 of 15 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* Applied Therapeutics, Inc. (Name of Issuer) Common Stock, par value $0.0001 (Title of Class of Securities) 03828A101 (CUSIP Number) April 30, 2023 (Date of Even |
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| May 1, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (MARK ONE) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 0 |
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| May 1, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 1, 2023 FRANKLIN RESOURCES, INC. (Exact name of registrant as specified in its charter) Delaware 001-09318 13-2670991 (State or other jurisdiction of incorporation) (Commission Fi |
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| May 1, 2023 |
Franklin Resources, Inc. Announces Second Quarter Results EXHIBIT 99.1 Contact: Franklin Resources, Inc. Investor Relations: Selene Oh (650) 312-4091, [email protected] Media Relations: Matt Walsh (650) 312-2245, [email protected] investors.franklinresources.com FOR IMMEDIATE RELEASE Franklin Resources, Inc. Announces Second Quarter Results San Mateo, CA, May 1, 2023 – Franklin Resources, Inc. (the “Company”) [NYSE: BEN] t |
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| February 9, 2023 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 7, 2023 FRANKLIN RESOURCES, INC. (Exact name of registrant as specified in its charter) Delaware 001-09318 13-2670991 (State or other jurisdiction of incorporation) (Commissi |
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| February 9, 2023 |
BEN / Franklin Resources, Inc. / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment SC 13G/A 1 tv0949-franklinresourcesinc.htm SCHEDULE 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 4)* Name of issuer: Franklin Resources Inc. Title of Class of Securities: Common Stock CUSIP Number: 354613101 Date of Event Which Requires Filing of this Statement: December 30, 2022 Check the appropriate box to |
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| February 3, 2023 |
VZLA / Vizsla Silver Corp - New / FRANKLIN RESOURCES INC Passive Investment vizs22in1.htm - Generated by SEC Publisher for SEC Filing CUSIP NO. 92859G202 13G Page 1 of 14 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Vizsla Silver Corp. (Name of Issuer) Common Shares, no par value (Title of Class of Securities) 92859G202 (CUSIP Number) December 31, 2022 (Date of Event Which |
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| February 1, 2023 |
DE:6VL / Proterra, Inc. / FRANKLIN RESOURCES INC Passive Investment SC 13G/A 1 prot22a21.htm CUSIP NO. 74374T109 13G Page 1 of 14 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* Proterra Inc (Name of Issuer) Common Stock, $0.0001 par value per share (Title of Class of Securities) 74374T109 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing of this S |
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| February 1, 2023 |
viao22a1.htm - Generated by SEC Publisher for SEC Filing CUSIP NO. 91823Y109 13G Page 1 of 12 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.1)* VIA optronics AG (Name of Issuer) American Depositary Shares, each representing one-fifth of an ordinary share, €1.00 notional value per share Ordinary shares, € |
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| February 1, 2023 |
IOT / Samsara Inc - Class A / FRANKLIN RESOURCES INC Passive Investment CUSIP NO. 79589L106 13G Page 1 of 13 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* SAMSARA INC. (Name of Issuer) Class A Common Stock, $0.0001 par value per share (Title of Class of Securities) 79589L106 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing of this Statement) Check t |
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| February 1, 2023 |
STRO / Sutro Biopharma Inc / FRANKLIN RESOURCES INC Passive Investment SC 13G/A 1 sutr22a11.htm CUSIP NO. 869367102 13G Page 1 of 13 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* SUTRO BIOPHARMA, INC. (Name of Issuer) Common stock, $0.001 par value (Title of Class of Securities) 869367102 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing of this Sta |
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| February 1, 2023 |
VTGN / Vistagen Therapeutics Inc / FRANKLIN RESOURCES INC Passive Investment CUSIP NO. 92840H202 13G Page 1 of 12 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.1)* VISTAGEN THERAPEUTICS, INC. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 92840H202 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing of this Statement) Ch |
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| February 1, 2023 |
US76010Y1038 / RENT THE RUNWAY INC A / FRANKLIN RESOURCES INC Passive Investment rent22a11.htm - Generated by SEC Publisher for SEC Filing CUSIP NO. 76010Y103 13G Page 1 of 13 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G RentUnder the Securities Exchange Act of 1934 (Amendment No. 1)* RENT THE RUNWAY, INC. (Name of Issuer) Class A common stock, par value $0.001 per share (Title of Class of Securities) 76010Y103 (CUSIP Number) December 31 |
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| February 1, 2023 |
PLG / Platinum Group Metals Ltd. / FRANKLIN RESOURCES INC Passive Investment SC 13G/A 1 plat22a111.htm CUSIP NO. 72765Q882 13G Page 1 of 14 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 11)* PLATINUM GROUP METALS LTD. (Name of Issuer) Common Shares, no par value (Title of Class of Securities) 72765Q8821 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing of thi |
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| February 1, 2023 |
OSW / OneSpaWorld Holdings Ltd / FRANKLIN RESOURCES INC Passive Investment CUSIP NO. P73684113 13G Page 1 of 14 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 5)* OneSpaWorld Holdings Limited (Name of Issuer) Common Shares, par value (U.S.) $0.0001 per share (Title of Class of Securities) P73684113 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing of this St |
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| February 1, 2023 |
PAY / Paymentus Holdings Inc / FRANKLIN RESOURCES INC Passive Investment SC 13G/A 1 paym22a31.htm CUSIP NO. 70439P108 13G Page 1 of 14 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* Paymentus Holdings, Inc. (Name of Issuer) Class A Common Stock, par value $0.0001 per share (Title of Class of Securities) 70439P108 (CUSIP Number) December 31, 2022 (Date of Event Which Requi |
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| February 1, 2023 |
ZEPP / Zepp Health Corporation / FRANKLIN RESOURCES INC Passive Investment zepp22a2.htm - Generated by SEC Publisher for SEC Filing CUSIP NO. 98945L105 13G Page 1 of 14 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.2)* ZEPP HEALTH CORPORATION (Name of Issuer) American depositary shares (each representing four Class A ordinary shares Class A ordinary shares, par value US$0.0001 |
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| February 1, 2023 |
SITM / SiTime Corp / FRANKLIN RESOURCES INC Passive Investment siti22a11.htm - Generated by SEC Publisher for SEC Filing CUSIP NO. 82982T106 13G Page 1 of 14 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* SiTime Corporation (Name of Issuer) Common Stock, $0.0001 par value per share (Title of Class of Securities) 82982T106 (CUSIP Number) December 31, 2022 (Date o |
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| February 1, 2023 |
CH:WFTLF / WEATHERFORD INTL PLC / FRANKLIN RESOURCES INC Passive Investment CUSIP NO. G48833118 13G Page 1 of 13 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 5)* Weatherford International plc (Name of Issuer) Ordinary shares, $0.001 par value per share (Title of Class of Securities) G48833118 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing of this Stateme |
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| February 1, 2023 |
PTCT / PTC Therapeutics, Inc. / FRANKLIN RESOURCES INC Passive Investment CUSIP NO. 69366J200 13G Page 1 of 13 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.4)* PTC Therapeutics, Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 69366J200 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing of this Statement) Check t |
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| February 1, 2023 |
US64081V1098 / Nerdy Inc / FRANKLIN RESOURCES INC Passive Investment SC 13G/A 1 nerd22a11.htm CUSIP NO. 64081V109 13G Page 1 of 14 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* NERDY INC. (Name of Issuer) Class A common stock, par value $0.0001 per share (Title of Class of Securities) 64081V109 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing of |
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| January 31, 2023 |
US37637K1088 / Gitlab Inc / FRANKLIN RESOURCES INC Passive Investment SC 13G/A 1 gitl22a11.htm CUSIP NO. 37637K108 13G Page 1 of 13 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* GITLAB INC. (Name of Issuer) Class A common stock, par value $0.0000025 per share (Title of Class of Securities) 37637K108 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing |
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| January 31, 2023 |
H / Hyatt Hotels Corporation / FRANKLIN RESOURCES INC Passive Investment SC 13G/A 1 hyat22a11.htm CUSIP NO. 448579102 13G Page 1 of 13 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* HYATT HOTELS CORPORATION (Name of Issuer) Class A Common Stock, $0.01 par value (Title of Class of Securities) 448579102 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing o |
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| January 31, 2023 |
ITRG / Integra Resources Corp. / FRANKLIN RESOURCES INC Passive Investment SC 13G/A 1 inte22a21.htm CUSIP NO. 45826T301 13G Page 1 of 14 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* INTEGRA RESOURCES CORP. (Name of Issuer) Common Shares, no par value (Title of Class of Securities) 45826T301 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing of this Stat |
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| January 31, 2023 |
CYH / Community Health Systems Inc / FRANKLIN RESOURCES INC Passive Investment SC 13G/A 1 comm22a21.htm CUSIP NO. 203668108 13G Page 1 of 13 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* COMMUNITY HEALTH SYSTEMS, INC. (Name of Issuer) Common Stock, $.01 par value (Title of Class of Securities) 203668108 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing of t |
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| January 31, 2023 |
KZR / Kezar Life Sciences Inc / FRANKLIN RESOURCES INC Passive Investment SC 13G/A 1 keza22a11.htm CUSIP NO. 49372L100 13G Page 1 of 13 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Kezar Life Sciences, Inc. (Name of Issuer) Common Stock, $0.001 par value (Title of Class of Securities) 49372L100 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing of this |
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| January 31, 2023 |
KALV / Kalvista Pharmaceuticals Inc / FRANKLIN RESOURCES INC Passive Investment kalv22a1.htm - Generated by SEC Publisher for SEC Filing CUSIP NO. 483497103 13G Page 1 of 12 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.1)* KALVISTA PHARMACEUTICALS, INC. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 483497103 (CUSIP Number) December 31, 202 |
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| January 31, 2023 |
HRTX / Heron Therapeutics Inc / FRANKLIN RESOURCES INC Passive Investment SC 13G/A 1 hero22a121.htm CUSIP NO. 427746102 13G Page 1 of 14 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 12)* HERON THERAPEUTICS, INC. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 427746102 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Fili |
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| January 31, 2023 |
FIGS / FIGS, Inc. / FRANKLIN RESOURCES INC Passive Investment SC 13G/A 1 figs22a11.htm CUSIP NO. 30260D103 13G Page 1 of 13 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* FIGS, Inc. (Name of Issuer) Class A common stock, $0.0001 par value per share (Title of Class of Securities) 30260D103 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing of |
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| January 31, 2023 |
IRON / Disc Medicine Inc / FRANKLIN RESOURCES INC Passive Investment SC 13G/A 1 disc22a11.htm CUSIP NO. 254604101 13G Page 1 of 12 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.1)* DISC MEDICINE, INC. (Name of Issuer) Common stock, par value $0.0001 per share (Title of Class of Securities) 254604101 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing of |
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| January 31, 2023 |
GAU / Galiano Gold Inc. / FRANKLIN RESOURCES INC Passive Investment SC 13G/A 1 gali22a41.htm CUSIP NO. 36352H100 13G Page 1 of 14 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4)* GALIANO GOLD INC. (Name of Issuer) Common Shares, no par value (Title of Class of Securities) 36352H100 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing of this Statement) |
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| January 31, 2023 |
DXC / DXC Technology Co / FRANKLIN RESOURCES INC Passive Investment SC 13G/A 1 dxct22a11.htm CUSIP NO. 23355L106 13G Page 1 of 15 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* DXC TECHNOLOGY COMPANY (Name of Issuer) Common Stock, $0.01 par value per share (Title of Class of Securities) 23355L106 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing o |
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| January 31, 2023 |
CHK / Chesapeake Energy Corp / FRANKLIN RESOURCES INC Passive Investment SC 13G/A 1 ches22a41.htm CUSIP NO. 165167735 13G Page 1 of 13 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4)* CHESAPEAKE ENERGY CORPORATION (Name of Issuer) Common Stock, $0.01 par value per share (Title of Class of Securities) 165167735 (CUSIP Number) December 31, 2022 (Date of Event Which Requires F |
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| January 31, 2023 |
EYPT / Eyepoint Pharmaceuticals Inc / FRANKLIN RESOURCES INC Passive Investment SC 13G/A 1 eyep22a31.htm CUSIP NO. 30233G209 13G Page 1 of 15 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.3)* EyePoint Pharmaceuticals, Inc. (Name of Issuer) Common Stock, par value $0.001 (Title of Class of Securities) 30233G209 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing of |
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| January 30, 2023 |
Franklin Resources, Inc. Announces First Quarter Results EXHIBIT 99.1 Contact: Franklin Resources, Inc. Investor Relations: Selene Oh (650) 312-4091, [email protected] Media Relations: Matt Walsh (650) 312-2245, [email protected] investors.franklinresources.com FOR IMMEDIATE RELEASE Franklin Resources, Inc. Announces First Quarter Results San Mateo, CA, January 30, 2023 – Franklin Resources, Inc. (the “Company”) [NYSE: BE |
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| January 30, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 30, 2023 FRANKLIN RESOURCES, INC. (Exact name of registrant as specified in its charter) Delaware 001-09318 13-2670991 (State or other jurisdiction of incorporation) (Commissi |
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| January 30, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (MARK ONE) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2022 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number |
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| January 30, 2023 |
BRBR / Bellring Brands Inc / FRANKLIN RESOURCES INC Passive Investment CUSIP NO. 07831C103 13G Page 1 of 13 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.2)* BellRing Brands, Inc. (Name of Issuer) Common Stock, $0.01 par value (Title of Class of Securities) 07831C103 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing of this Statement) Check the appropria |
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| January 30, 2023 |
US01675A1097 / Allbirds Inc / FRANKLIN RESOURCES INC Passive Investment SC 13G/A 1 allbi22a2a.htm CUSIP NO. 01675A109 13G Page 1 of 13 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.2)* Allbirds, Inc. (Name of Issuer) Class A Common Stock, $0.0001 par value per share (Title of Class of Securities) 01675A109 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing |
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| January 30, 2023 |
APLT / Applied Therapeutics Inc / FRANKLIN RESOURCES INC Passive Investment appl22in1.htm - Generated by SEC Publisher for SEC Filing CUSIP NO. 03828A101 13G Page 1 of 15 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.1)* Applied Therapeutics, Inc. (Name of Issuer) Common Stock, par value $0.0001 (Title of Class of Securities) 03828A101 (CUSIP Number) December 31, 2022 (Date of E |
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| January 30, 2023 |
BRDG / Bridge Investment Group Holdings Inc. / FRANKLIN RESOURCES INC Passive Investment brid22a11.htm - Generated by SEC Publisher for SEC Filing CUSIP NO. 10806B100 13G Page 1 of 14 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* BRIDGE INVESTMENT GROUP HOLDINGS INC. (Name of Issuer) Class A common stock, $0.01 par value per share (Title of Class of Securities) 10806B100 (CUSIP Number) |
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| January 30, 2023 |
ATHA / Athira Pharma Inc / FRANKLIN RESOURCES INC Passive Investment SC 13G/A 1 athi22a1.htm CUSIP NO. 04746L104 13G Page 1 of 12 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.1)* Athira Pharma, Inc. (Name of Issuer) Common Stock, $0.0001 par value per share (Title of Class of Securities) 04746L104 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing of t |
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| December 28, 2022 |
DEF 14A 1 ben4107981-def14a.htm DEFINITIVE PROXY STATEMENT Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) ☑ Filed by the Registrant ☐ Filed by a party other than the Registrant CHECK THE APPROPRIATE BOX: ☐ Preliminary Proxy Statement ☐ Confidenti |
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| December 28, 2022 |
and Notice of Annual Meeting 2023 Proxy Statement February 7, 2023, 8:00 a.m. Pacific Time www.virtualshareholdermeeting.com/BEN2023 and Notice of Annual Meeting 2023 Proxy StatementLetter from Our Lead Director and CEO December 28, 2022 DEAR FELLOW STOCKHOLDERS, 2022 marked the 75 th anniversary of Franklin Templeton. Our firm was founded on the value of active investment management and the impor |
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| December 9, 2022 |
US4181001037 / HashiCorp Inc / FRANKLIN RESOURCES INC Passive Investment CUSIP NO. 418100103 13G Page 1 of 13 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* HashiCorp, Inc. (Name of Issuer) Class A Common Stock, par value $0.000015 per share (Title of Class of Securities) 418100103 (CUSIP Number) November 30, 2022 (Date of Event Which Requires Filing of this Statement) Ch |
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| November 14, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (MARK ONE) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended September 30, 2022 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-0 |
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| November 14, 2022 |
EXHIBIT 10.12 FRANKLIN RESOURCES, INC. 2002 UNIVERSAL STOCK INCENTIVE PLAN NOTICE OF RESTRICTED STOCK UNIT AWARD PLEASE NOTE: Where indicated below, certain of your award terms are set forth in your [] electronic account (?BenefitsOnline?). Such award terms are incorporated herein by this reference. Name of Participant: See BenefitsOnline In accordance with the Franklin Resources, Inc. 2002 Univer |
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| November 14, 2022 |
List of Subsidiaries (filed herewith) EXHIBIT 21 FRANKLIN RESOURCES, INC. LIST OF SUBSIDIARIES* (as of September 30, 2022) Name** State or Jurisdiction of Incorporation or Organization AdvisorEngine Inc. Delaware Alumcreek Holdings LLC Delaware Balanced Equity Management Pty. Limited Australia Brandywine Global Investment Management (Europe) Limited United Kingdom CCPF GP Holdco No.2 Limited United Kingdom CCPF No.2 (GP) Limited Unite |
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| November 14, 2022 |
EXHIBIT 10.13 FRANKLIN RESOURCES, INC. 2002 UNIVERSAL STOCK INCENTIVE PLAN NOTICE OF RESTRICTED STOCK UNIT AWARD PLEASE NOTE: Where indicated below, certain of your award terms are set forth in your [] electronic account (?BenefitsOnline?). Such award terms are incorporated herein by this reference. Name of Participant: See BenefitsOnline In accordance with the Franklin Resources, Inc. 2002 Univer |
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| November 10, 2022 |
GIM / Templeton Global Income Fund / FRANKLIN RESOURCES INC Activist Investment CUSIP NO. 880198106 Page 1 of 13 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2)* TEMPLETON GLOBAL INCOME FUND (Name of Issuer) Shares of Beneficial Interest, Without par value (Title of Class of Securities) 880198106 (CUSIP Number) Lori A. Weber Assistant Secretary Franklin Resources, Inc. 300 Southea |
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| November 10, 2022 |
PAY / Paymentus Holdings Inc / FRANKLIN RESOURCES INC Passive Investment CUSIP NO. 70439P108 13G Page 1 of 14 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* Paymentus Holdings, Inc. (Name of Issuer) Class A Common Stock, par value $0.0001 per share (Title of Class of Securities) 70439P108 (CUSIP Number) October 31, 2022 (Date of Event Which Requires Filing of this Stateme |
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| November 1, 2022 |
Franklin Resources, Inc. Announces Preliminary Fourth Quarter and Fiscal Year Results EXHIBIT 99.1 Contact: Franklin Resources, Inc. Investor Relations: Selene Oh (650) 312-4091, [email protected] Media Relations: Matt Walsh (650) 312-2245, [email protected] investors.franklinresources.com FOR IMMEDIATE RELEASE Franklin Resources, Inc. Announces Preliminary Fourth Quarter and Fiscal Year Results San Mateo, CA, November 1, 2022 ? Franklin Resources, I |
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| November 1, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 1, 2022 FRANKLIN RESOURCES, INC. (Exact name of registrant as specified in its charter) Delaware 001-09318 13-2670991 (State or other jurisdiction of incorporation) (Commissi |
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| October 11, 2022 |
AU:BLT / BENITEC BIOPHARMA INC / FRANKLIN RESOURCES INC Passive Investment SC 13G 1 beni22in.htm CUSIP NO. 08205P100 13G Page 1 of 15 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* BENITEC BIOPHARMA INC. (Name of Issuer) Common Stock, par value $0.0001 (Title of Class of Securities) 08205P100 (CUSIP Number) September 30, 2022 (Date of Event Which Requires Filing of this Stat |
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| October 11, 2022 |
GIM / Templeton Global Income Fund / FRANKLIN RESOURCES INC Activist Investment templeton22a1.htm - Generated by SEC Publisher for SEC Filing CUSIP NO. 880198106 Page 1 of 13 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1)* TEMPLETON GLOBAL INCOME FUND (Name of Issuer) Shares of Beneficial Interest, Without par value (Title of Class of Securities) 880198106 (CUSIP Number) Lori A. |
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| September 13, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 8, 2022 FRANKLIN RESOURCES, INC. (Exact name of registrant as specified in its charter) Delaware 001-09318 13-2670991 (State or other jurisdiction of incorporation) (Commiss |
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| September 13, 2022 |
EXHIBIT 10.1 AMENDED AND RESTATED CREDIT AGREEMENT dated as of September 8, 2022 among FRANKLIN RESOURCES, INC., as the Borrower, BANK OF AMERICA, N.A., as Administrative Agent, and the Lenders party hereto BANK OF AMERICA, N.A., as Sole Lead Arranger and Sole Bookrunner - i - TABLE OF CONTENTS Section Page ARTICLE I DEFINITIONS AND ACCOUNTING TERMS ................................................ |
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| September 13, 2022 |
EXHIBIT 10.2 TERM LOAN CREDIT AGREEMENT dated as of September 8, 2022 among FRANKLIN RESOURCES, INC., as the Borrower, BANK OF AMERICA, N.A., as Administrative Agent, and the Lenders party hereto BANK OF AMERICA, N.A., as Sole Lead Arranger and Sole Bookrunner TABLE OF CONTENTS Section Page ARTICLE I DEFINITIONS AND ACCOUNTING TERMS ............................................................... 1 |
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| September 12, 2022 |
GIM / Templeton Global Income Fund / FRANKLIN RESOURCES INC Activist Investment CUSIP NO. 880198106 Page 1 of 18 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* TEMPLETON GLOBAL INCOME FUND (Name of Issuer) Shares of Beneficial Interest, Without par value (Title of Class of Securities) 880198106 (CUSIP Number) Lori A. Weber Assistant Secretary Franklin Resources, Inc. 300 Southeas |
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| July 28, 2022 |
Franklin Resources, Inc. Announces Third Quarter Results EXHIBIT 99.1 Contact: Franklin Resources, Inc. Investor Relations: Selene Oh (650) 312-4091, [email protected] Media Relations: Matt Walsh (650) 312-2245, [email protected] investors.franklinresources.com FOR IMMEDIATE RELEASE Franklin Resources, Inc. Announces Third Quarter Results San Mateo, CA, July 28, 2022 ? Franklin Resources, Inc. (the ?Company?) [NYSE: BEN] |
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| July 28, 2022 |
Exhibit 10.1 FRANKLIN RESOURCES, INC. 1998 EMPLOYEE STOCK INVESTMENT PLAN As Amended and Restated effective as of June 21, 2022 The following constitute the provisions of the 1998 Employee Stock Investment Plan of Franklin Resources, Inc. 1.Purpose. The purpose of the Plan is to provide Eligible Employees of the Company and its Designated Parents, Subsidiaries or Affiliates with an opportunity to |
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| July 28, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 28, 2022 FRANKLIN RESOURCES, INC. (Exact name of registrant as specified in its charter) Delaware 001-09318 13-2670991 (State or other jurisdiction of incorporation) (Commission |
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| July 28, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (MARK ONE) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2022 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 00 |
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| July 8, 2022 |
APLT / Applied Therapeutics Inc / FRANKLIN RESOURCES INC Passive Investment CUSIP NO. 03828A101 13G Page 1 of 15 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Applied Therapeutics, Inc. (Name of Issuer) Common Stock, par value $0.0001 (Title of Class of Securities) 03828A101 (CUSIP Number) June 30, 2022 (Date of Event Which Requires Filing of this Statement) Check the approp |
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| June 14, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 11-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 11-K (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2021 OR o TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 001-09318 A. Full titl |
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| May 10, 2022 |
CH:WFTLF / WEATHERFORD INTL PLC / FRANKLIN RESOURCES INC Passive Investment CUSIP NO. G48833118 13G Page 1 of 14 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4)* Weatherford International plc (Name of Issuer) Ordinary Shares, $0.001 par value per share (Title of Class of Securities) G48833118 (CUSIP Number) April 30, 2022 (Date of Event Which Requires Filing of this Statement) |
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| May 3, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (MARK ONE) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2022 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 0 |
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| May 3, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 3, 2022 FRANKLIN RESOURCES, INC. (Exact name of registrant as specified in its charter) Delaware 001-09318 13-2670991 (State or other jurisdiction of incorporation) (Commission Fi |
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| May 3, 2022 |
Franklin Resources, Inc. Announces Second Quarter Results EXHIBIT 99.1 Contact: Franklin Resources, Inc. Investor Relations: Selene Oh (650) 312-4091, [email protected] Media Relations: Matt Walsh (650) 312-2245, [email protected] investors.franklinresources.com FOR IMMEDIATE RELEASE Franklin Resources, Inc. Announces Second Quarter Results San Mateo, CA, May 3, 2022 ? Franklin Resources, Inc. (the ?Company?) [NYSE: BEN] t |
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| April 12, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 11, 2022 FRANKLIN RESOURCES, INC. (Exact name of registrant as specified in its charter) Delaware 001-09318 13-2670991 (State or other jurisdiction of incorporation) (Commission |
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| April 8, 2022 |
US01675A1097 / Allbirds Inc / FRANKLIN RESOURCES INC Passive Investment CUSIP NO. 01675A109 13G Page 1 of 14 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Allbirds, Inc. (Name of Issuer) Class A Common Stock, $0.0001 par value per share (Title of Class of Securities) 01675A109 (CUSIP Number) March 31, 2022 (Date of Event Which Requires Filing of this Statement) Check th |
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| April 8, 2022 |
US4181001037 / HashiCorp Inc / FRANKLIN RESOURCES INC Passive Investment SC 13G/A 1 hash22a1.htm CUSIP NO. 418100103 13G Page 1 of 14 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* HashiCorp, Inc. (Name of Issuer) Class A Common Stock, par value $0.000015 per share (Title of Class of Securities) 418100103 (CUSIP Number) March 31, 2021 (Date of Event Which Requires Filing |
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| February 24, 2022 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 23, 2022 FRANKLIN RESOURCES, INC. (Exact name of registrant as specified in its charter) Delaware 001-09318 13-2670991 (State or other jurisdiction of incorporation) (Commiss |
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| February 10, 2022 |
BEN / Franklin Resources, Inc. / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 3)* Name of issuer: Franklin Resources Inc. Title of Class of Securities: Common Stock CUSIP Number: 354613101 Date of Event Which Requires Filing of this Statement: December 31, 2021 Check the appropriate box to designate the rule pursuant to which this Schedule is file |
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| February 7, 2022 |
PTCT / PTC Therapeutics, Inc. / FRANKLIN RESOURCES INC Passive Investment CUSIP NO. 69366J200 13G Page 1 of 14 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* PTC Therapeutics, Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 69366J200 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Statement) Check |
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| February 7, 2022 |
RADA / Rada Electronic Industries, Ltd. / FRANKLIN RESOURCES INC Passive Investment rada21in.htm - Generated by SEC Publisher for SEC Filing CUSIP NO. M81863124 13G Page 1 of 14 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* RADA ELECTRONIC INDUSTRIES LTD. (Name of Issuer) Ordinary Shares, NIS 0.03 Par Value (Title of Class of Securities) M81863124 (CUSIP Number) December 31, 2021 (D |
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| February 7, 2022 |
IOT / Samsara Inc - Class A / FRANKLIN RESOURCES INC Passive Investment sams21in.htm - Generated by SEC Publisher for SEC Filing CUSIP NO. 79589L106 13G Page 1 of 14 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Samsara Inc. (Name of Issuer) Class A Common Stock, par value $0.0001 per share (Title of Class of Securities) 79589L106 (CUSIP Number) December 31, 2021 (Date o |
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| February 7, 2022 |
RNGR / Ranger Energy Services Inc / FRANKLIN RESOURCES INC Passive Investment rang21a1.htm - Generated by SEC Publisher for SEC Filing CUSIP NO. 75282U104 13G Page 1 of 13 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* RANGER ENERGY SERVICES, INC. (Name of Issuer) Class A Common Stock, $0.01 par value (Title of Class of Securities) 75282U104 (CUSIP Number) December 31, 2021 (D |
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| February 7, 2022 |
US76010Y1038 / RENT THE RUNWAY INC A / FRANKLIN RESOURCES INC Passive Investment rent21in.htm - Generated by SEC Publisher for SEC Filing CUSIP NO. 76010Y103 13G Page 1 of 14 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* RENT THE RUNWAY, INC. (Name of Issuer) Class A common stock (Title of Class of Securities) 76010Y103 (CUSIP Number) December 31, 2021 (Date of Event Which Requir |
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| February 7, 2022 |
PNT / POINT Biopharma Global Inc. / FRANKLIN RESOURCES INC Passive Investment poin21a1.htm - Generated by SEC Publisher for SEC Filing CUSIP NO. 730541109 13G Page 1 of 13 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* POINT BIOPHARMA GLOBAL INC. (Name of Issuer) Common Stock (Title of Class of Securities) 730541109 (CUSIP Number) December 31, 2021 (Date of Event Which Require |
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| February 7, 2022 |
PLG / Platinum Group Metals Ltd. / FRANKLIN RESOURCES INC Passive Investment plat21a10.htm - Generated by SEC Publisher for SEC Filing CUSIP NO. 72765Q882 13G Page 1 of 14 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 10)* PLATINUM GROUP METALS LTD. (Name of Issuer) Common Shares, no par value (Title of Class of Securities) 72765Q8821 (CUSIP Number) December 31, 2021 (Date of Ev |
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| February 4, 2022 |
CH:WFTLF / WEATHERFORD INTL PLC / FRANKLIN RESOURCES INC Passive Investment SC 13G/A 1 weat21a3.htm CUSIP NO. G48833118 13G Page 1 of 14 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* Weatherford International plc (Name of Issuer) Ordinary Shares, $0.001 par value per share (Title of Class of Securities) G48833118 (CUSIP Number) December 31, 2021 (Date of Event Which Require |
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| February 4, 2022 |
H / Hyatt Hotels Corporation / FRANKLIN RESOURCES INC Passive Investment hyat21in.htm - Generated by SEC Publisher for SEC Filing CUSIP NO. 448579102 13G Page 1 of 13 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* HYATT HOTELS CORPORATION (Name of Issuer) Class A Common Stock, $0.01 par value (Title of Class of Securities) 448579102 (CUSIP Number) December 31, 2021 (Date o |
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| February 4, 2022 |
CUSIP NO. 91823Y109 13G Page 1 of 14 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* VIA optronics AG (Name of Issuer) American Depositary Shares, each representing one-fifth of an ordinary share, ?1.00 notional value per share Ordinary shares, ? 1.00 notional value per share1 (Title of Class of Securi |
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| February 4, 2022 |
STRO / Sutro Biopharma Inc / FRANKLIN RESOURCES INC Passive Investment SC 13G 1 sutr21in.htm CUSIP NO. 869367102 13G Page 1 of 14 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* SUTRO BIOPHARMA, INC. (Name of Issuer) Common Stock, $0.001 par value (Title of Class of Securities) 869367102 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Stateme |
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| February 4, 2022 |
CXM / Sprinklr, Inc. / FRANKLIN RESOURCES INC Passive Investment CUSIP NO. 85208T107 13G Page 1 of 13 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Sprinklr, Inc. (Name of Issuer) Class A common stock, par value $0.00003 per share (Title of Class of Securities) 85208T107 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Statement) Chec |
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| February 4, 2022 |
MTCR / Metacrine Inc / FRANKLIN RESOURCES INC Passive Investment meta21a1.htm - Generated by SEC Publisher for SEC Filing CUSIP NO. 59101E103 13G Page 1 of 12 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Metacrine, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 59101E103 (CUSIP Number) December 31, 2021 (Date of Ev |
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| February 4, 2022 |
LOGC / LogicBio Therapeutics Inc / FRANKLIN RESOURCES INC Passive Investment CUSIP NO. 54142F102 13G Page 1 of 13 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* LogicBio Therapeutics, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 54142F102 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Statement) |
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| February 4, 2022 |
WST / West Pharmaceutical Services Inc. / FRANKLIN RESOURCES INC Passive Investment CUSIP NO. 955306105 13G Page 1 of 13 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* WEST PHARMACEUTICAL SERVICES, INC. (Name of Issuer) Common Stock, par value $0.25 per share (Title of Class of Securities) 955306105 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Statem |
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| February 4, 2022 |
PAY / Paymentus Holdings Inc / FRANKLIN RESOURCES INC Passive Investment paym21a1.htm - Generated by SEC Publisher for SEC Filing CUSIP NO. 70439P108 13G Page 1 of 14 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Paymentus Holdings, Inc. (Name of Issuer) Class A Common Stock, par value $0.0001 per share (Title of Class of Securities) 70439P108 (CUSIP Number) December 31, |
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| February 4, 2022 |
ITRG / Integra Resources Corp. / FRANKLIN RESOURCES INC Passive Investment SC 13G/A 1 inte21a1.htm CUSIP NO. 45826T301 13G Page 1 of 14 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* INTEGRA RESOURCES CORP. (Name of Issuer) Common Shares, no par value (Title of Class of Securities) 45826T301 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this State |
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| February 4, 2022 |
IOVA / Iovance Biotherapeutics Inc / FRANKLIN RESOURCES INC Passive Investment iova21a5.htm - Generated by SEC Publisher for SEC Filing CUSIP NO. 462260100 13G Page 1 of 13 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* IOVANCE BIOTHERAPEUTICS, INC. (Name of Issuer) Common Stock, par value $0.000041666 (Title of Class of Securities) 462260100 (CUSIP Number) December 31, 2021 (D |
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| February 4, 2022 |
VTGN / Vistagen Therapeutics Inc / FRANKLIN RESOURCES INC Passive Investment CUSIP NO. 92840H202 13G Page 1 of 14 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* VistaGen Therapeutics, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 92840H202 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Statement) Ch |
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| February 4, 2022 |
SITM / SiTime Corp / FRANKLIN RESOURCES INC Passive Investment CUSIP NO. 82982T106 13G Page 1 of 14 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 ( Amendment No. )* SiTime Corporation (Name of Issuer) Common Stock, $0.0001 par value per share (Title of Class of Securities) 82982T106 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Statement) Check the |
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| February 4, 2022 |
OSW / OneSpaWorld Holdings Ltd / FRANKLIN RESOURCES INC Passive Investment CUSIP NO. P73684113 13G Page 1 of 14 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4)* OneSpaWorld Holdings Limited (Name of Issuer) Common Shares, par value (U.S.) $0.0001 per share (Title of Class of Securities) P73684113 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this St |
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| February 4, 2022 |
KALV / Kalvista Pharmaceuticals Inc / FRANKLIN RESOURCES INC Passive Investment CUSIP NO. 483497103 13G Page 1 of 14 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* KALVISTA PHARMACEUTICALS, INC. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 483497103 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Statement) |
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| February 4, 2022 |
KZR / Kezar Life Sciences Inc / FRANKLIN RESOURCES INC Passive Investment CUSIP NO. 49372L100 13G Page 1 of 14 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Kezar Life Sciences, Inc. (Name of Issuer) Common Stock, $0.001 par value (Title of Class of Securities) 49372L100 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Statement) Check the appr |
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| February 4, 2022 |
US64081V1098 / Nerdy Inc / FRANKLIN RESOURCES INC Passive Investment CUSIP NO. 64081V109 13G Page 1 of 14 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* NERDY INC. (Name of Issuer) Class A common stock, par value $0.0001 per share (Title of Class of Securities) 64081V109 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Statement) Check the |
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| February 3, 2022 |
BRBR / Bellring Brands Inc / FRANKLIN RESOURCES INC Passive Investment SC 13G/A 1 bell21a1.htm CUSIP NO. 079823100 13G Page 1 of 14 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* BellRing Brands, Inc. (Name of Issuer) Class A Common Stock, $0.01 par value (Title of Class of Securities) 079823100 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of th |
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| February 3, 2022 |
HRTX / Heron Therapeutics Inc / FRANKLIN RESOURCES INC Passive Investment CUSIP NO. 427746102 13G Page 1 of 14 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 11)* HERON THERAPEUTICS, INC. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 427746102 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Statement) Chec |
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| February 3, 2022 |
FBRX / Forte Biosciences Inc / FRANKLIN RESOURCES INC Passive Investment CUSIP NO. 34962G109 13G Page 1 of 12 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* FORTE BIOSCIENCES, INC. (Name of Issuer) Common Stock (Title of Class of Securities) 34962G109 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to desi |
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| February 3, 2022 |
ATHA / Athira Pharma Inc / FRANKLIN RESOURCES INC Passive Investment CUSIP NO. 04746L104 13G Page 1 of 14 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Athira Pharma, Inc. (Name of Issuer) Common Stock, $0.0001 par value per share (Title of Class of Securities) 04746L104 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Statement) Check the |
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| February 3, 2022 |
ZGNX / Zogenix, Inc. / FRANKLIN RESOURCES INC Passive Investment zoge21in.htm - Generated by SEC Publisher for SEC Filing CUSIP NO. 98978L204 13G Page 1 of 14 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* ZOGENIX, INC. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 98978L204 (CUSIP Number) December 31, 2021 (Date of Event |
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| February 3, 2022 |
BRDG / Bridge Investment Group Holdings Inc. / FRANKLIN RESOURCES INC Passive Investment SC 13G 1 brid21in.htm CUSIP NO. 10806B100 13G Page 1 of 14 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* BRIDGE INVESTMENT GROUP HOLDINGS INC. (Name of Issuer) Class A common stock, $0.01 par value (Title of Class of Securities) 10806B100 (CUSIP Number) December 31, 2021 (Date of Event Which Requires |
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| February 3, 2022 |
FIGS / FIGS, Inc. / FRANKLIN RESOURCES INC Passive Investment CUSIP NO. 30260D103 13G Page 1 of 14 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* FIGS, Inc. (Name of Issuer) Class A common stock, $0.0001 par value per share (Title of Class of Securities) 30260D103 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Statement) Check the |
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| February 3, 2022 |
DXC / DXC Technology Co / FRANKLIN RESOURCES INC Passive Investment CUSIP NO. 23355L106 13G Page 1 of 14 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* DXC TECHNOLOGY COMPANY (Name of Issuer) Common Stock, $0.01 par value per share (Title of Class of Securities) 23355L106 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Statement) Check th |
