# EDGAR Filing Document

**Accession Number:** 0000038777
**File Stem:** 0000038777-23-000044
**Filing Date:** 2023-2
**Character Count:** 6586
**Document Hash:** 3f44190918364726cd5ae0c20825b787
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000038777-23-000044.hdr.sgml**: 20230209

**ACCESSION NUMBER**: 0000038777-23-000044

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 12

**CONFORMED PERIOD OF REPORT**: 20230207

**ITEM INFORMATION**: Submission of Matters to a Vote of Security Holders

**FILED AS OF DATE**: 20230209

**DATE AS OF CHANGE**: 20230209

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** FRANKLIN RESOURCES INC
- **CENTRAL INDEX KEY:** 0000038777
- **STANDARD INDUSTRIAL CLASSIFICATION:** INVESTMENT ADVICE [6282]
- **IRS NUMBER:** 132670991
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 0930

**FILING VALUES:**
- **FORM TYPE:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-09318
- **FILM NUMBER:** 23605575

**BUSINESS ADDRESS:**
- **STREET 1:** ONE FRANKLIN PARKWAY
- **STREET 2:** BUILDING 920/2, LEGAL-FRI SECRETARY
- **CITY:** SAN MATEO
- **STATE:** CA
- **ZIP:** 94403
- **BUSINESS PHONE:** 650-312-2000

**MAIL ADDRESS:**
- **STREET 1:** FRANKLIN RESOURCES INC
- **STREET 2:** ONE FRANKLIN PARKWAY
- **CITY:** SAN MATEO
- **STATE:** CA
- **ZIP:** 94403

?xml version="1.0" ? ben-20230207

**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 <br> (State or other jurisdiction of incorporation) (Commission File Number) (IRS Employer Identification No.)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;

One Franklin Parkway, San Mateo, CA 94403

(Address of principal executive offices) (Zip Code)

Registrant's telephone number, including area code: (650) 312-2000

Not Applicable

(Former name or former address, if changed since last report.)

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act:

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| | | |
|:---|:---|:---|
| **Title of each class** | **Trading symbol(s)** | **Name of each exchange on which registered** |
| Common Stock, par value $0.10 per share | BEN | New York Stock Exchange |

---

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company&nbsp;&nbsp;&nbsp;&nbsp;☐

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

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**Item 5.07 Submission of Matters to a Vote of Security Holders.**

The matters voted upon at the Annual Meeting and the final voting results were as follows:

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;1.To elect 11 directors to the Board of Directors of the Company (the "Board") to hold office until the next annual meeting of stockholders or until that person's successor is elected and qualified or until his or her earlier death, resignation, retirement, disqualification or removal.

Each of the 11 nominees for director was elected, and the voting results are set forth below:

---

| | | | | |
|:---|:---|:---|:---|:---|
| **Name of Director** | **For** | **Against** | **Abstain** | **Broker <br>Non-Votes** |
| Mariann Byerwalter | 407581888 | 4635432 | 300534 | 34504991 |
| Alexander S. Friedman | 407248832 | 4965863 | 303159 | 34504991 |
| Gregory E. Johnson | 407733881 | 4574639 | 209334 | 34504991 |
| Jennifer M. Johnson | 410306690 | 2035089 | 176075 | 34504991 |
| Rupert H. Johnson, Jr. | 410217552 | 1999663 | 300639 | 34504991 |
| John Y. Kim | 406849896 | 5370811 | 297147 | 34504991 |
| Karen M. King | 410148334 | 2073276 | 296244 | 34504991 |
| Anthony J. Noto | 407571200 | 4686560 | 260094 | 34504991 |
| John W. Thiel | 409797207 | 2436367 | 284280 | 34504991 |
| Seth H. Waugh | 409406995 | 2828794 | 282065 | 34504991 |
| Geoffrey Y. Yang | 393082875 | 19153259 | 281720 | 34504991 |

---

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;2.To ratify the appointment of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for the fiscal year ending September 30, 2023.

The appointment of PricewaterhouseCoopers LLP was ratified, and the voting results are set forth below:

---

| | | |
|:---|:---|:---|
| **For** | **Against** | **Abstain** |
| 441,966,074 | 4,826,752 | 230,019 |

---

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;3.To approve, on an advisory basis, the compensation of the Company's named executive officers.

The compensation of the Company's named executive officers was approved, on an advisory basis, and the voting results are set forth below:

---

| | | |
|:---|:---|:---|
| **For** | **Against** | **Abstain** |
| 387,292,965 | 24,860,356 | 364,533 |

---

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;4.To hold an advisory vote on how frequently stockholders believe the Company should obtain future advisory votes on the compensation of the Company's named executive officers.

A majority has approved to hold an advisory vote every three years on whether stockholders approve the compensation of the Company's named executive officers.

---

| | | | |
|:---|:---|:---|:---|
| **1 year** | **2 years** | **3 years** | **Abstain** |
| 176,478,564 | 651,758 | 234,946,943 | 440,589 |

---

------

**SIGNATURE**

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

---

| | | |
|:---|:---|:---|
| | | FRANKLIN RESOURCES, INC. |
| Date: | February 9, 2023 | /s/ Thomas C. Merchant |
| | | Thomas C. Merchant |
| | | Executive Vice President, General Counsel and Secretary |

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