BEN 10-K Annual Report Sept. 30, 2021 | Alphaminr
FRANKLIN RESOURCES INC
ALPHAMINR

BEN 10-K Fiscal year ended Sept. 30, 2021

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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. [reserved]Item 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 Redeemable Noncontrolling InterestsNote 13 Nonconsolidated Variable Interest EntitiesNote 14 Taxes on IncomeNote 15 LeasesNote 16 Commitments and ContingenciesNote 17 Stock-based CompensationNote 18 Defined Contribution PlansNote 19 Segment and Geographic InformationNote 20 Investment and Other Income (losses), NetNote 21 Accumulated Other Comprehensive Income (loss)Note 22 Pending AcquisitionsItem 9. Changes in and Disagreements with Accountants on Accounting and Financial DisclosureItem 9A. Controls and ProceduresItem 9B. Other InformationItem 9C. Disclosure Regarding Foreign Jurisdictions That Prevent InspectionsPart 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 Amended and Restated Bylaws of Registrant (as adopted and effectiveJune29, 2021), incorporated by reference to Exhibit3.1 to our Current Report on Form8-K filed onJuly1, 2021(FileNo.001-09318) 4.3 Second Supplemental Indenture, dated May 20, 2010, between Registrant and The Bank of New York Mellon Trust Company, N.A., as trustee, incorporated by reference to Exhibit 4.1 to our Current Report on Form 8K filed on May 20, 2010 (File No. 001-09318) 4.4 Third Supplemental Indenture, dated September 24, 2012 (inclusive of the form of note of Registrants 2.800% Notes due 2022), between Registrant and The Bank of New York Mellon Trust Company, N.A., as trustee, incorporated by reference to Exhibit 4.1 to our Current Report on Form 8K filed on September 24, 2012 (File No. 001-09318) 4.5 Fourth Supplemental Indenture, dated March30, 2015 (inclusive of the form of note of Registrants 2.850% Notes due 2025), between Registrant and The Bank of New York Mellon Trust Company, N.A., as trustee, incorporated by reference to Exhibit 4.1 to our Current Report on Form 8K filed on March30, 2015 (File No. 001-09318) 4.6 Indenture, dated as of October6, 2020, between Registrant and The Bank of New York Mellon Trust Company, N.A., as trustee, incorporated by reference to Exhibit 4.3 to our Registration Statement on Form S-3ASR filed on October6, 2020 (FileNo.033-249350) 4.7 Officers Certificate, dated October19, 2020 (inclusive of the form of note of Registrants 1.600% Notes due 2030), incorporated by reference to Exhibit 4.2 to our Current Report on Form8-K filed on October19, 2020 (File No. 011-09318) 4.8 Base Indenture, dated as of January22, 2014, for Senior Notes between Legg Mason, Inc. and The Bank of New York Mellon, as trustee, incorporated by reference to Exhibit4.1 to Legg Masons Registration Statement on Form S-3ASR filed on February19, 2016 (File No. 333-209616) 4.9 First Supplemental Indenture, dated as of January22, 2014 (inclusive of the form of note of Legg Masons 5.625% Senior Notes due 2044), between Legg Mason, Inc. and The Bank of New York Mellon, as trustee, incorporated by reference to Exhibit 4.2 to Legg Masons Current Report on Form 8-K filed on January 22, 2014 (File No. 001-08529) 4.10 Second Supplemental Indenture, dated as of June26, 2014, between Legg Mason, Inc. and The Bank of New York Mellon, as trustee, incorporated by reference to Exhibit 4.1 to Legg Masons Current Report on Form 8-K filed on June26, 2014 (File No. 001-08529) 4.11 Third Supplemental Indenture, dated as of June26, 2014 (inclusive of the form of note of Legg Masons 3.950% Senior Notes due 2024), between Legg Mason, Inc. and The Bank of New York Mellon, as trustee, incorporated by reference to Exhibit 4.2 to Legg Masons Current Report on Form 8-K filed on June26, 2014 (File No. 001-08529) 4.12 Fourth Supplemental Indenture, dated as of March22, 2016 (inclusive of the form of note of Legg Masons 4.750% Senior Notes due 2026), between Legg Mason, Inc. and The Bank New York Mellon, as trustee, incorporated by reference to Exhibit 4.2 to Legg Masons Current Report on Form 8-K filed on March22, 2016 (File No. 001-08529) 4.13 Form of Indenture for Junior Subordinated Notes between Legg Mason, Inc. and The Bank of New York Mellon, as trustee, incorporated by reference to Exhibit 4.2 to Legg Masons Registration Statement on Form S-3ASR filed on February19, 2016 (File No. 333-209616) 4.14 Registrant Parent Guarantee dated August 2, 2021, incorporated by reference to Exhibit 4.1 to our Quarterly Report on Form 10-Q for the period ended June 30, 2021 (File No. 001-09318) 4.15 Officers Certificate, dated August 12, 2021 (inclusive of the form of additional note of Registrants 1.600% Notes due 2030 and form of note of Registrants 2.950% Notes due 2051), incorporated by reference to Exhibit 4.3 to our Current Report on Form 8-K filed on August 12, 2021(File No. 011-09318) 4.16 Description of Registrants Securities,incorporated by reference to Exhibit 4.16 to our Annual Report on Form 10-K for the fiscal year ended September 30, 2020 (File No. 001-09318) 10.1 Representative Form of Amended and Restated Indemnification Agreement with directors of Registrant, incorporated by reference to Exhibit 10.5 to our Quarterly Report on Form10-Q for the period ended March 31, 2006 (File No. 001-09318)* 10.2 2006 Directors Deferred Compensation Plan(as amended and restated effective November5, 2020), incorporated by reference to Exhibit 10.4 to our Annual Report on Form 10-K for the fiscal year endedSeptember 30, 2020(File No. 001-09318)* 10.3 1998 Employee Stock Investment Plan (as amended and restated effective December10, 2019), incorporated by reference to Exhibit 10.1 to our Current Report on Form 8-K filed on February12, 2020 (File No. 001-09318)* 10.4 2002 Universal Stock Incentive Plan (as amended and restated effectiveFebruary 9, 2021),incorporated by reference to Exhibit10.1to ourCurrentReport on Form8-K filed on February 10, 2021(File No.001-09318)* 10.5 Amended and Restated Annual Incentive Compensation Plan (as amended and restated effective December10, 2019), incorporated by reference to Exhibit10.1 to our Quarterly Report on Form10-Q for the period ended December31, 2019 (File No.001-09318)* 10.6 2014 Key Executive Incentive Compensation Plan (as adopted and effective December10, 2013), incorporated by reference to Exhibit 10.1 to our Current Report on Form 8-K filed on March13, 2014 (File No. 001-09318)* 10.7 Amended and Restated 2017 Equity Incentive Plan, incorporated by reference to Exhibit 99.1 to our Registration Statement on Form S-8 filed on October6, 2020 (File No. 333-249336)* 10.8 Deferred Compensation Fund Plan (effective November 16, 2021), incorporated by reference to Exhibit 10.1 to our Current Report on Form 8-K filed on November 16, 2021 (File No. 001-09318)* 10.9 Non-Employee Director Compensation as of February11, 2020, incorporated by reference to Exhibit 10.3 to our Quarterly Report on Form 10-Q for the period ended March31, 2020 (File No. 001-09318)* 10.10 Named Executive Officer Compensation as of October1, 2020, incorporated by reference to Exhibit 10.11 to our Annual Report on Form 10-K for the fiscal year ended September 30, 2020(File No. 001-09318)* 10.11 Representative Forms of Notice of Restricted Stock Award and Restricted Stock Award Agreement (RSA) under our 2002 Universal Stock Incentive Plan for certain time-based awards to executive officers of Registrant, incorporated by reference to Exhibit 10.2 to our Annual Report on Form 10-K for the fiscal year ended September 30, 2019 (File No. 001-09318)* 10.12 Representative Forms of Notice of Restricted Stock Unit Award and Restricted Stock Unit Award Agreement (RSU) under our 2002 Universal Stock Incentive Plan for certain performance-based awards to executive officers of Registrant, incorporated by reference to Exhibit 10.3 to our Annual Report on Form 10-K for the fiscal year ended September 30, 2019 (File No. 001-09318)* 10.13 Representative Forms of Notice of Restricted Stock Award and Restricted Stock Award Agreement (RSA) under our 2002 Universal Stock Incentive Plan for certain time-based awards to executive officers of Registrant, incorporated by reference to Exhibit 10.2 to our Annual Report on Form 10-K for the fiscal year ended September 30, 2020 (File No. 001-09318)* 10.14 Representative Forms of Notice of Restricted Stock Unit Award and Restricted Stock Unit Award Agreement (RSU) under our 2002 Universal Stock Incentive Plan for certain performance-based awards to executive officers of Registrant, incorporated by reference to Exhibit 10.3 to our Annual Report on Form 10-K for the fiscal year ended September 30, 2020 (File No. 001-09318)* 10.15 Representative Forms of Notice of Restricted Stock Unit Award and Restricted Stock Unit Award Agreement (RSU) under our 2002 Universal Stock Incentive Plan for certain time-based awards to executive officers of Registrant (filed herewith)* 10.16 Representative Forms of Notice of Restricted Stock Unit Award and Restricted Stock Unit Award Agreement (RSU) under our 2002 Universal Stock Incentive Plan for certain performance-based awards to executive officers of Registrant (filed herewith)* 10.17 Notice of Restricted Stock AwardandRestricted Stock Award Agreement (dated September 2, 2020) underour2002 Universal Stock Incentive Planforperformance-based award to Adam B. Spector (filed herewith)* 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)