BEN 10-K Annual Report Sept. 30, 2019 | Alphaminr
FRANKLIN RESOURCES INC
ALPHAMINR

BEN 10-K Fiscal year ended Sept. 30, 2019

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FRANKLIN RESOURCES INC
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TABLE OF CONTENTS
Part IItem 1. BusinessItem 1A. Risk FactorsItem 1B. Unresolved Staff CommentsItem 2. PropertiesItem 3. Legal ProceedingsItem 4. Mine Safety DisclosuresPart IIItem 5. Market For Registrant S Common Equity, Related Stockholder Matters and Issuer Purchases Of Equity SecuritiesItem 6. Selected Financial DataItem 7. Management S Discussion and Analysis Of Financial Condition and Results Of OperationsItem 7A. Quantitative and Qualitative Disclosures About Market RiskItem 8. Financial Statements and Supplementary DataNote 1 Significant Accounting PoliciesNote 2 New Accounting GuidanceNote 3 AcquisitionNote 4 Earnings Per ShareNote 5 RevenuesNote 6 InvestmentsNote 7 Fair Value MeasurementsNote 8 Property and EquipmentNote 9 Goodwill and Other Intangible AssetsNote 10 DebtNote 11 Consolidated Investment ProductsNote 12 Nonconsolidated Variable Interest EntitiesNote 13 Taxes on IncomeNote 14 Commitments and ContingenciesNote 15 Stock-based CompensationNote 16 Defined Contribution PlansNote 17 Segment and Geographic InformationNote 18 Other Income (expenses)Note 19 Accumulated Other Comprehensive Income (loss)Item 9. Changes in and Disagreements with Accountants on Accounting and Financial DisclosureItem 9A. Controls and ProceduresItem 9B. Other InformationPart IIIItem 10. Directors, Executive Officers and Corporate GovernanceItem 11. Executive CompensationItem 12. Security Ownership Of Certain Beneficial Owners and Management and Related Stockholder MattersItem 13. Certain Relationships and Related Transactions, and Director IndependenceItem 14. Principal Accountant Fees and ServicesPart IVItem 15. Exhibits and Financial Statement SchedulesItem 16. Form 10 K Summary

Exhibits

3.6 Registrants Amended and Restated Bylaws (as adopted and effective October22, 2018), incorporated by reference to Exhibit3.1 to the Registrants Form8-K filed with the SEC on October24, 2018 (FileNo.001-09318) 4.3 Second Supplemental Indenture, dated May 20, 2010, between the Registrant and The Bank of New York Mellon Trust Company, N.A., as trustee, incorporated by reference to Exhibit 4.1 to the Registrants Form 8K filed with the SEC on May 20, 2010 (File No. 001-09318) 4.4 Third Supplemental Indenture, dated September 24, 2012, between the Registrant and The Bank of New York Mellon Trust Company, N.A., as trustee, incorporated by reference to Exhibit 4.1 to the Registrants Form 8K filed with the SEC on September 24, 2012 (File No. 001-09318) 4.5 Fourth Supplemental Indenture, dated March30, 2015, between the Registrant and The Bank of New York Mellon Trust Company, N.A., as trustee, incorporated by reference to Exhibit 4.1 to the Registrants Form 8K filed with the SEC on March30, 2015 (File No. 001-09318) 4.6 Description of Registrants Securities (filed herewith) 10.1 Representative Form of Amended and Restated Indemnification Agreement with directors of the Registrant, incorporated by reference to Exhibit 10.5 to the Registrants Quarterly Report on Form10-Q for the period ended March 31, 2006 (File No. 001-09318)* 10.2 Representative Forms of Notice of Restricted Stock Award and Restricted Stock Award Agreement (RSA) under the Registrants 2002 Universal Stock Incentive Plan for certain time-based awards to executive officers of the Registrant (filed herewith)* 10.3 Representative Form of Notice of Restricted Stock Unit Award and Restricted Stock Unit Award Agreement (RSU) under the Registrants 2002 Universal Stock Incentive Plan for certain performance-based awards to executive officers of the Registrant (filed herewith)* 10.4 2006 Directors Deferred Compensation Plan, as amended and restated effective March 13, 2013, incorporated by reference to Exhibit 10.1 to the Registrants Quarterly Report on Form 10-Q for the period ended March31, 2013 (File No. 001-09318)* 10.5 1998 Employee Stock Investment Plan (as amended and restated effective September13, 2017), incorporated by reference to Exhibit10.5 to the Registrants Annual Report on Form10-K for the fiscal year ended September30, 2017 (File No. 001-09318) (the 2017 Annual Report)* 10.6 2002 Universal Stock Incentive Plan (as amended and restated effective June14, 2017), incorporated by reference to Exhibit10.6 to the 2017 Annual Report* 10.7 Amended and Restated Annual Incentive Compensation Plan (as amended and restated effective June14, 2016), incorporated by reference to Exhibit10.1 to the Registrants Quarterly Report on Form10-Q for the period ended June30, 2016 (File No.001-09318)* 10.8 2014 Key Executive Incentive Compensation Plan (as adopted and effective December 10, 2013), incorporated by reference to Exhibit 10.1 to the Registrants Current Report on Form 8-K filed with the SEC on March 13, 2014 (File No. 001-09318)* 10.9 Non-Employee Director Compensation as of February14, 2018, incorporated by reference to Exhibit10.1 to the Registrants Quarterly Report on Form10-Q for the period ended March31, 2018 (File No.001-09318)* 10.10 Named Executive Officer Compensation as of September 30, 2018, incorporated by reference to Exhibit 10.3 to the Registrants Quarterly Report on Form 10-Q for the period ended December 31, 2018 (File No. 001-09318* 10.11 Offer Letter, dated March 6, 2019, between the Registrant and Matthew Nicholls, incorporated by reference to Exhibit10.1 to the Registrants Quarterly Report on Form10-Q for the period ended June30, 2019 (File No.001-09318)* 10.12 Executive Transition Agreement, effective May 7, 2019, between the Registrant and Kenneth A. Lewis, incorporated by reference to Exhibit10.2 to the Registrants Quarterly Report on Form10-Q for the period ended June30, 2019 (File No.001-09318)* 21 List of Subsidiaries (filed herewith) 23 Consent of Independent Registered Public Accounting Firm (filed herewith) 31.1 Certification of Chief Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 (filed herewith) 31.2 Certification of Chief Financial Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 (filed herewith) 32.1 Certification of Chief Executive Officer pursuant to 18 U.S.C. Section 1350 as adopted pursuant to Section906 of the Sarbanes-Oxley Act of 2002 (furnished herewith) 32.2 Certification of Chief Financial Officer pursuant to 18 U.S.C. Section 1350 as adopted pursuant to Section906 of the Sarbanes-Oxley Act of 2002 (furnished herewith)