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<title>ben-20210504</title></head><body><div style="display:none"><ix:header><ix:hidden><ix:nonNumeric contextRef="if4c54bef096d45458ebaa3614c3f702a_D20210504-20210504" name="dei:DocumentType" id="id3VybDovL2RvY3MudjEvZG9jOjkxNTAyYmUxOTdmZDQ5MTE5ZjA2NmE0OGUxYjFjNWYyL3NlYzo5MTUwMmJlMTk3ZmQ0OTExOWYwNjZhNDhlMWIxYzVmMl80L2ZyYWc6MGYwYTg5MTNhZGI3NGZiZGFkOGRiNmRjMGRkZmVkYTcvdGFibGU6YjliYmI3MWJlNzE0NDNjZjhiOTI3Zjc4YzQzNzg2MGEvdGFibGVyYW5nZTpiOWJiYjcxYmU3MTQ0M2NmOGI5MjdmNzhjNDM3ODYwYV8xLTEtMS0xLTA_a08bda2a-0be5-4c6e-aba8-a432d1828dd5">8-K</ix:nonNumeric><ix:nonNumeric contextRef="if4c54bef096d45458ebaa3614c3f702a_D20210504-20210504" name="dei:EntityRegistrantName" 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xlink:href="ben-20210504.xsd"></link:schemaRef></ix:references><ix:resources><xbrli:context id="if4c54bef096d45458ebaa3614c3f702a_D20210504-20210504"><xbrli:entity><xbrli:identifier scheme="http://www.sec.gov/CIK">0000038777</xbrli:identifier></xbrli:entity><xbrli:period><xbrli:startDate>2021-05-04</xbrli:startDate><xbrli:endDate>2021-05-04</xbrli:endDate></xbrli:period></xbrli:context></ix:resources></ix:header></div><div id="i91502be197fd49119f066a48e1b1c5f2_1"></div><div style="min-height:42.75pt;width:100%"><div><span><br/></span></div></div><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:16pt;font-weight:700;line-height:120%">UNITED STATES SECURITIES AND EXCHANGE COMMISSION</span></div><div style="margin-top:9pt;text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:12pt;font-weight:700;line-height:120%">Washington, D.C. 20549</span></div><div><span><br/></span></div><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:18pt;font-weight:700;line-height:120%">FORM <ix:nonNumeric contextRef="if4c54bef096d45458ebaa3614c3f702a_D20210504-20210504" name="dei:DocumentType" id="id3VybDovL2RvY3MudjEvZG9jOjkxNTAyYmUxOTdmZDQ5MTE5ZjA2NmE0OGUxYjFjNWYyL3NlYzo5MTUwMmJlMTk3ZmQ0OTExOWYwNjZhNDhlMWIxYzVmMl8xL2ZyYWc6NzQzZTE4Yzg4M2FmNGU3Yjg4NTViMGUzZjllNzU4ZjgvdGV4dHJlZ2lvbjo3NDNlMThjODgzYWY0ZTdiODg1NWIwZTNmOWU3NThmOF84Mw_a08bda2a-0be5-4c6e-aba8-a432d1828dd5">8-K</ix:nonNumeric> </span></div><div style="text-align:center"><span><br/></span></div><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:12pt;font-weight:700;line-height:120%">CURRENT REPORT</span></div><div><span><br/></span></div><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:120%">Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934</span></div><div style="margin-top:6pt;text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">Date of Report (Date of earliest event reported):&#160;<ix:nonNumeric contextRef="if4c54bef096d45458ebaa3614c3f702a_D20210504-20210504" format="ixt:datemonthdayyearen" name="dei:DocumentPeriodEndDate" id="id3VybDovL2RvY3MudjEvZG9jOjkxNTAyYmUxOTdmZDQ5MTE5ZjA2NmE0OGUxYjFjNWYyL3NlYzo5MTUwMmJlMTk3ZmQ0OTExOWYwNjZhNDhlMWIxYzVmMl8xL2ZyYWc6NzQzZTE4Yzg4M2FmNGU3Yjg4NTViMGUzZjllNzU4ZjgvdGV4dHJlZ2lvbjo3NDNlMThjODgzYWY0ZTdiODg1NWIwZTNmOWU3NThmOF8yMjU_ec8ecbdc-33d9-4ca4-8893-9969d733c63e">May&#160;4, 2021</ix:nonNumeric> </span></div><div style="text-align:center"><span><br/></span></div><div style="margin-top:6pt;text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:18pt;font-weight:700;line-height:120%"><ix:nonNumeric contextRef="if4c54bef096d45458ebaa3614c3f702a_D20210504-20210504" name="dei:EntityRegistrantName" id="id3VybDovL2RvY3MudjEvZG9jOjkxNTAyYmUxOTdmZDQ5MTE5ZjA2NmE0OGUxYjFjNWYyL3NlYzo5MTUwMmJlMTk3ZmQ0OTExOWYwNjZhNDhlMWIxYzVmMl8xL2ZyYWc6NzQzZTE4Yzg4M2FmNGU3Yjg4NTViMGUzZjllNzU4ZjgvdGV4dHJlZ2lvbjo3NDNlMThjODgzYWY0ZTdiODg1NWIwZTNmOWU3NThmOF8yMzA_6b4acbaf-08e3-4170-9dce-e8105a903ccc">FRANKLIN RESOURCES, INC.</ix:nonNumeric> </span></div><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">(Exact name of registrant as specified in its charter)</span></div><div style="text-align:center"><span><br/></span></div><div style="margin-top:5pt;text-align:center"><table style="border-collapse:collapse;display:inline-table;margin-bottom:5pt;vertical-align:text-bottom;width:99.707%"><tr><td style="width:1.0%"></td><td style="width:35.996%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td 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id="id3VybDovL2RvY3MudjEvZG9jOjkxNTAyYmUxOTdmZDQ5MTE5ZjA2NmE0OGUxYjFjNWYyL3NlYzo5MTUwMmJlMTk3ZmQ0OTExOWYwNjZhNDhlMWIxYzVmMl8xL2ZyYWc6NzQzZTE4Yzg4M2FmNGU3Yjg4NTViMGUzZjllNzU4ZjgvdGV4dHJlZ2lvbjo3NDNlMThjODgzYWY0ZTdiODg1NWIwZTNmOWU3NThmOF8zMTk_4a6fa37c-70ae-4639-80da-3f93c7f49c8b">94403</ix:nonNumeric> </span></div><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">(Address&#160;of&#160;principal&#160;executive&#160;offices) (Zip&#160;Code)</span></div><div><span><br/></span></div><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">Registrant&#8217;s telephone number, including area code:  (<ix:nonNumeric contextRef="if4c54bef096d45458ebaa3614c3f702a_D20210504-20210504" name="dei:CityAreaCode" id="id3VybDovL2RvY3MudjEvZG9jOjkxNTAyYmUxOTdmZDQ5MTE5ZjA2NmE0OGUxYjFjNWYyL3NlYzo5MTUwMmJlMTk3ZmQ0OTExOWYwNjZhNDhlMWIxYzVmMl8xL2ZyYWc6NzQzZTE4Yzg4M2FmNGU3Yjg4NTViMGUzZjllNzU4ZjgvdGV4dHJlZ2lvbjo3NDNlMThjODgzYWY0ZTdiODg1NWIwZTNmOWU3NThmOF80MzA_e757f690-cc98-4953-8571-7041cf90059b">650</ix:nonNumeric>) <ix:nonNumeric contextRef="if4c54bef096d45458ebaa3614c3f702a_D20210504-20210504" name="dei:LocalPhoneNumber" id="id3VybDovL2RvY3MudjEvZG9jOjkxNTAyYmUxOTdmZDQ5MTE5ZjA2NmE0OGUxYjFjNWYyL3NlYzo5MTUwMmJlMTk3ZmQ0OTExOWYwNjZhNDhlMWIxYzVmMl8xL2ZyYWc6NzQzZTE4Yzg4M2FmNGU3Yjg4NTViMGUzZjllNzU4ZjgvdGV4dHJlZ2lvbjo3NDNlMThjODgzYWY0ZTdiODg1NWIwZTNmOWU3NThmOF80MzQ_bb7018ca-b334-45ff-8bda-8f65206374b4">312-2000</ix:nonNumeric> </span></div><div style="text-align:center"><span><br/></span></div><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">Not Applicable</span></div><div style="text-align:center"><span 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id="id3VybDovL2RvY3MudjEvZG9jOjkxNTAyYmUxOTdmZDQ5MTE5ZjA2NmE0OGUxYjFjNWYyL3NlYzo5MTUwMmJlMTk3ZmQ0OTExOWYwNjZhNDhlMWIxYzVmMl8xL2ZyYWc6NzQzZTE4Yzg4M2FmNGU3Yjg4NTViMGUzZjllNzU4ZjgvdGV4dHJlZ2lvbjo3NDNlMThjODgzYWY0ZTdiODg1NWIwZTNmOWU3NThmOF84NzI_20457705-539b-4c1b-9526-4960ba6cc242">&#9744;</ix:nonNumeric></span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">&#160;&#160;Pre-commencement&#160;communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))</span></div><div><span style="color:#000000;font-family:'Arial Unicode MS',sans-serif;font-size:14pt;font-weight:400;line-height:120%"><ix:nonNumeric contextRef="if4c54bef096d45458ebaa3614c3f702a_D20210504-20210504" format="ixt-sec:boolballotbox" name="dei:PreCommencementIssuerTenderOffer" id="id3VybDovL2RvY3MudjEvZG9jOjkxNTAyYmUxOTdmZDQ5MTE5ZjA2NmE0OGUxYjFjNWYyL3NlYzo5MTUwMmJlMTk3ZmQ0OTExOWYwNjZhNDhlMWIxYzVmMl8xL2ZyYWc6NzQzZTE4Yzg4M2FmNGU3Yjg4NTViMGUzZjllNzU4ZjgvdGV4dHJlZ2lvbjo3NDNlMThjODgzYWY0ZTdiODg1NWIwZTNmOWU3NThmOF85Nzk_e9480571-42d4-4a87-ac64-d00f22119180">&#9744;</ix:nonNumeric></span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">&#160;&#160;Pre-commencement&#160;communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) </span></div><div style="text-align:justify"><span><br/></span></div><div><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">Securities registered pursuant to Section&#160;12(b) of the Act:</span></div><div style="margin-top:8pt;text-align:center"><table style="border-collapse:collapse;display:inline-table;margin-bottom:5pt;vertical-align:text-bottom;width:100.000%"><tr><td 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style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">Emerging growth company&#160;&#160;&#160;&#160;</span><span style="color:#000000;font-family:'Arial Unicode MS',sans-serif;font-size:11pt;font-weight:400;line-height:120%"><ix:nonNumeric contextRef="if4c54bef096d45458ebaa3614c3f702a_D20210504-20210504" format="ixt-sec:boolballotbox" name="dei:EntityEmergingGrowthCompany" id="id3VybDovL2RvY3MudjEvZG9jOjkxNTAyYmUxOTdmZDQ5MTE5ZjA2NmE0OGUxYjFjNWYyL3NlYzo5MTUwMmJlMTk3ZmQ0OTExOWYwNjZhNDhlMWIxYzVmMl8xL2ZyYWc6NzQzZTE4Yzg4M2FmNGU3Yjg4NTViMGUzZjllNzU4ZjgvdGV4dHJlZ2lvbjo3NDNlMThjODgzYWY0ZTdiODg1NWIwZTNmOWU3NThmOF8xNDE4_375d776b-b0b9-4a6d-96eb-da7fce6edc2e">&#9744;</ix:nonNumeric></span><span style="color:#000000;font-family:'Wingdings',sans-serif;font-size:10pt;font-weight:400;line-height:120%"> </span></div><div style="text-align:justify"><span><br/></span></div><div style="text-align:justify"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">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&#160;13(a) of the Exchange Act.&#160;&#160;</span><span style="color:#000000;font-family:'Arial Unicode MS',sans-serif;font-size:10pt;font-weight:400;line-height:120%">&#9744;</span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">&#160;</span></div><div style="text-align:justify"><span><br/></span></div><div style="height:42.75pt;position:relative;width:100%"><div style="bottom:0;position:absolute;width:100%"><div><span><br/></span></div></div></div><div id="i91502be197fd49119f066a48e1b1c5f2_7"></div><hr style="page-break-after:always"/><div style="min-height:42.75pt;width:100%"><div><span><br/></span></div></div><div><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:120%">Item 2.02  Results of Operations and Financial Condition.</span></div><div><span><br/></span></div><div style="text-align:justify"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">On May&#160;4, 2021, Franklin Resources, Inc. (the &#8220;Company&#8221;) issued a press release announcing the financial results for the Company&#8217;s second fiscal quarter ended March&#160;31, 2021. A copy of the press release is attached hereto as Exhibit&#160;99.1 and incorporated herein by reference.</span></div><div><span><br/></span></div><div style="margin-top:9pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:120%">Item 7.01  Regulation FD Disclosure.</span></div><div><span><br/></span></div><div style="text-align:justify"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">The Company also posted a second quarter earnings commentary on its internet website, available via investors.franklinresources.com.</span></div><div style="text-align:justify"><span><br/></span></div><div style="text-align:justify"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">The contents of the Company&#8217;s website referenced herein and in the exhibit are not incorporated into this Current Report on Form&#160;8-K.</span></div><div style="margin-top:9pt;text-align:justify"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">The information in these Items&#160;2.02 and 7.01, including the exhibits hereto, (x)&#160;shall not be deemed to be &#8220;filed&#8221; for purposes of Section&#160;18 of the Securities Exchange Act of 1934, as amended, or otherwise subject to the liabilities of that section and (y)&#160;shall not be incorporated by reference into any filing of the Company with the Securities and Exchange Commission, whether made before or after the date hereof, regardless of any general incorporation language in such filings (unless the Company specifically states that the information or exhibits in this particular report with respect to Item&#160;2.02 or Item&#160;7.01, as the case may be, are incorporated by reference).</span></div><div style="text-align:justify"><span><br/></span></div><div style="margin-top:9pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:120%">Item 9.01  Financial Statements and Exhibits.</span></div><div><span><br/></span></div><div><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">(d)&#160;&#160;&#160;&#160;Exhibits.</span></div><div><span><br/></span></div><div><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">The exhibits listed on the Exhibit Index are incorporated herein by reference.</span></div><div><span><br/></span></div><div><span><br/></span></div><div id="i91502be197fd49119f066a48e1b1c5f2_10"></div><div style="-sec-extract:summary;margin-top:9pt;text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:120%">Exhibit Index</span></div><div style="margin-top:5pt"><table style="border-collapse:collapse;display:inline-table;margin-bottom:5pt;vertical-align:text-bottom;width:99.707%"><tr><td style="width:1.0%"></td><td style="width:9.457%"></td><td style="width:0.1%"></td><td style="width:0.1%"></td><td style="width:0.533%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:87.610%"></td><td style="width:0.1%"></td></tr><tr><td colspan="3" style="padding:2px 1pt;text-align:right;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:8pt;font-weight:700;line-height:100%">Exhibit No.</span></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:8pt;font-weight:700;line-height:100%">Description</span></td></tr><tr><td colspan="2" style="border-top:1pt solid #000000;padding:2px 0 2px 1pt;text-align:right;vertical-align:top"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">99.1&#160;</span></td><td style="border-top:1pt solid #000000;padding:2px 1pt 2px 0;text-align:right;vertical-align:top"></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="border-top:1pt solid #000000;padding:2px 1pt;text-align:left;vertical-align:top"><div><span style="color:#0000ff;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%;text-decoration:underline"><a style="-sec-extract:exhibit;color:#0000ff;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%;text-decoration:underline" href="exhibit991q2fy21.htm">Press Release dated </a><a style="-sec-extract:exhibit;color:#0000ff;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%;text-decoration:underline" href="exhibit991q2fy21.htm">May 4, 2021</a><a style="-sec-extract:exhibit;color:#0000ff;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%;text-decoration:underline" href="exhibit991q2fy21.htm"> issued by Franklin Resources, Inc. Announces </a><a style="-sec-extract:exhibit;color:#0000ff;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%;text-decoration:underline" href="exhibit991q2fy21.htm">Second</a><a style="-sec-extract:exhibit;color:#0000ff;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%;text-decoration:underline" href="exhibit991q2fy21.htm"> Quarter Results</a></span></div></td></tr><tr><td colspan="2" style="padding:2px 0 2px 1pt;text-align:right;vertical-align:top"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">104&#160;</span></td><td style="padding:2px 1pt 2px 0;text-align:right;vertical-align:top"></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:top"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">Cover Page Interactive Data File (embedded within the Inline XBRL document)</span></td></tr></table></div><div><span><br/></span></div><div style="height:42.75pt;position:relative;width:100%"><div style="bottom:0;position:absolute;width:100%"><div style="-sec-extract:summary;text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">2</span></div><div style="text-align:center"><span><br/></span></div></div></div><div id="i91502be197fd49119f066a48e1b1c5f2_13"></div><hr style="page-break-after:always"/><div style="min-height:42.75pt;width:100%"><div><span><br/></span></div></div><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:120%">SIGNATURES</span></div><div><span><br/></span></div><div style="text-align:justify"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">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.</span></div><div><span><br/></span></div><div style="margin-top:5pt"><table style="border-collapse:collapse;display:inline-table;margin-bottom:5pt;vertical-align:text-bottom;width:99.853%"><tr><td style="width:1.0%"></td><td style="width:4.756%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:37.992%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:53.952%"></td><td style="width:0.1%"></td></tr><tr><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:top"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">FRANKLIN&#160;RESOURCES,&#160;INC.</span></td></tr><tr style="height:15pt"><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td></tr><tr style="height:15pt"><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td></tr><tr><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">Date:</span></td><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">May 4, 2021</span></td><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">/s/&#160;Matthew Nicholls</span></td></tr><tr><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="border-top:1pt solid #000000;padding:2px 1pt;text-align:left;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">Matthew Nicholls</span></td></tr><tr><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">Executive Vice President and Chief&#160;Financial&#160;Officer</span></td></tr><tr style="height:15pt"><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td></tr><tr style="height:15pt"><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td></tr><tr><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">Date:</span></td><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">May 4, 2021</span></td><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">/s/ Gwen L. Shaneyfelt</span></td></tr><tr><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="border-top:1pt solid #000000;padding:2px 1pt;text-align:left;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">Gwen L. Shaneyfelt</span></td></tr><tr><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">Chief Accounting Officer</span></td></tr></table></div><div><span><br/></span></div><div style="height:42.75pt;position:relative;width:100%"><div style="bottom:0;position:absolute;width:100%"><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">3</span></div><div style="text-align:center"><span><br/></span></div></div></div></body></html>
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ben-20210504
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 4, 2021
FRANKLIN RESOURCES, INC.
(Exact name of registrant as specified in its charter)
Delaware
001-09318
13-2670991
(State or other jurisdiction of incorporation)
(Commission File Number)
(IRS Employer Identification No.)
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:
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
☐
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.
☐
Item 2.02  Results of Operations and Financial Condition.
On May 4, 2021, Franklin Resources, Inc. (the "Company") issued a press release announcing the financial results for the Company's second fiscal quarter ended March 31, 2021. A copy of the press release is attached hereto as Exhibit 99.1 and incorporated herein by reference.
Item 7.01  Regulation FD Disclosure.
The Company also posted a second quarter earnings commentary on its internet website, available via investors.franklinresources.com.
The contents of the Company's website referenced herein and in the exhibit are not incorporated into this Current Report on Form 8-K.
The information in these Items 2.02 and 7.01, including the exhibits hereto, (x) shall not be deemed to be "filed" for purposes of Section 18 of the Securities Exchange Act of 1934, as amended, or otherwise subject to the liabilities of that section and (y) shall not be incorporated by reference into any filing of the Company with the Securities and Exchange Commission, whether made before or after the date hereof, regardless of any general incorporation language in such filings (unless the Company specifically states that the information or exhibits in this particular report with respect to Item 2.02 or Item 7.01, as the case may be, are incorporated by reference).
Item 9.01  Financial Statements and Exhibits.
(d)    Exhibits.
The exhibits listed on the Exhibit Index are incorporated herein by reference.
Exhibit Index
Exhibit No.
Description
99.1
Press Release dated
May 4, 2021
issued by Franklin Resources, Inc. Announces
Second
Quarter Results
104
Cover Page Interactive Data File (embedded within the Inline XBRL document)
2
SIGNATURES
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:
May 4, 2021
/s/ Matthew Nicholls
Matthew Nicholls
Executive Vice President and Chief Financial Officer
Date:
May 4, 2021
/s/ Gwen L. Shaneyfelt
Gwen L. Shaneyfelt
Chief Accounting Officer
3