Franklin Resources

Current directors and officers who also hold a role at another S&P 500 company.

• Jennifer M. JohnsonTMO · Director

Latest Schedule 13D/13G filing per holder. Holders that reported falling below 5% are not shown. Index funds usually report once a year.

No 5% holder filings parsed yet for this company.

Open-market purchases and sales reported on Form 4. Grants, option exercises and tax withholding are excluded.

Every 8-K with Item 5.02 (departure, election or appointment of directors and officers). The text is the first paragraph of the item.

1. Jul 23, 2026

   (e) Effective July 21, 2026, as approved and recommended by the Compensation Committee (the “Committee”) of the Board of Directors (the “Board”) of Franklin Resources, Inc. (the “Company”), in consultation with the independent compensation consultant of the Committee, as further approved by the Board, the Committee granted one-time special retention (1) equity awards (the “Awards”) to each of Ms. Jennifer M. Johnson, the Chief Executive Officer of the Company (“CEO”); Mr. Daniel Gamba, Co-President and Chief Commercial Officer of the Company; Mr. Terrence J. Murphy, Co-President and Head of Public Market Investments of the Company; and Matthew Nicholls, Co-President, Chief Financial Officer and Chief Operating Officer of the Company, and (2) allocations of carried interest (the “Carry Incentives”) to each of the CEO and Mr. Gregory E.

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2. Feb 5, 2026

   (e) At the annual meeting of stockholders of Franklin Resources, Inc. (the “Company”) held on February 3, 2026 (the “Annual Meeting”), the Company’s stockholders approved an amendment and restatement of the Company's 1998 Employee Stock Investment Plan ("ESIP"), to increase the number of shares of common stock, par value $0.10 per share, of the Company ("Common Stock") authorized for issuance under the ESIP by an additional 5,000,000 shares, and an amendment and restatement of the Company’s 2002 Universal Stock Incentive Plan (“USIP”), to increase the number of shares of Common Stock authorized for issuance under the USIP by an additional 25,000,000 shares.

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3. Sep 8, 2025

   Election of Directors; Appointment of Certain Officers; Compensatory Arrangement of Certain Officers. On July 16, 2025, Daniel Gamba was appointed Co-President and Chief Commercial Officer of Franklin Resources, Inc. (the “Company”), effective as of October 15, 2025. As Chief Commercial Officer, Mr. Gamba will oversee the Company’s global sales, marketing and product strategy. Mr. Gamba, 57 years of age, was Executive Vice President of Northern Trust Corporation and the President of Northern Trust Asset Management from April 2023 until September 2025. Prior to that, Mr. Gamba spent over two decades at Blackrock, Inc., where, among other roles, he served as Co-Head of Fundamental Equities from 2020 to February 2023, as Global Head of Active Equity Product Strategy from 2016 to 2020, and as Head of Americas Institutional iShares Business and Co-Head iShares U.S. from 2011 to 2016.

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4. Feb 9, 2024

   (e) On February 5, 2024, the Compensation Committee (the “Committee”) of the Board of Directors (the “Board”) of Franklin Resources, Inc. (the “Company”) awarded a special bonus of $750,000 (the “Bonus”) to Matthew Nicholls, the Company’s Executive Vice President, Chief Financial Officer and Chief Operating Officer. The Bonus was awarded to Mr. Nicholls in recognition of his contributions to a recent acquisition and is payable in cash on or before March 1, 2024. 2

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5. Feb 8, 2024

   (b) On February 6, 2024, the Board of Directors (the “Board”) of Franklin Resources, Inc. (the “Company”) removed Ms. Gwen L. Shaneyfelt as Chief Accounting Officer of the Company pursuant to various organizational changes. As of such date, Ms. Shaneyfelt will no longer serve as principal accounting officer of the Company but will remain with the Company serving as an executive vice president. (c) On February 6, 2024, the Board appointed Ms. Lindsey H. Oshita, currently Senior Vice President and Chief Accounting Officer – Americas for the Company, as Chief Accounting Officer and the principal accounting officer of the Company. Ms. Oshita, age 41, has served as Senior Vice President and Chief Accounting Officer – Americas for the Company since September 2019. She previously served as Director of Global Accounting Policy for the Company from October 2014 to September 2019.

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6. Oct 24, 2023

   (e) On October 18, 2023, the Board of Directors of Franklin Resources, Inc., a Delaware corporation (the “Company”), adopted an Executive Compensation Clawback Policy (the “Clawback Policy”) in order to comply with Section 10D of the Securities Exchange Act of 1934 (the “Exchange Act”), Rule 10D-1 of the Exchange Act and the listing standards of the New York Stock Exchange. Capitalized terms used and not defined herein have the meaning given to them in the Clawback Policy. The Clawback Policy provides for the repayment or forfeiture of Excess Compensation following an Accounting Restatement from persons who served as an executive officer of the Company at any time during the performance period for such Incentive-Based Compensation and who received such compensation during the three fiscal years preceding the date on which the Company is required to prepare an Accounting Restatement.

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7. Apr 12, 2022

   (c) On April 11, 2022, the Board of Directors (the “Board”) of Franklin Resources, Inc. (the “Company”) appointed Mr. Matthew Nicholls, currently Executive Vice President and Chief Financial Officer of the Company, to the additional role of Chief Operating Officer of the Company, effective April 15, 2022. Mr. Nicholls will expand his responsibilities to include technology, operations, and human resources. Since joining the firm in 2019, Mr. Nicholls has worked in close partnership with all these groups to drive changes designed to improve operational capabilities across the firm. Biographic information regarding Mr. Nicholls is included at the end of Part I of the Company’s Annual Report on Form 10-K for the fiscal year ended September 30, 2021 under the heading “Information About Our Executive Officers,” and such information is incorporated herein by reference.

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8. Dec 17, 2021

   (e) On December 13, 2021, the Compensation Committee of the Board of Directors of Franklin Resources, Inc. (the “Company”) approved certain restricted stock unit awards under the Company’s 2002 Universal Stock Incentive Plan, as amended, to the below named executive officers (“NEOs”) of the Company for whom disclosure was required in the Company’s most recent 2021 proxy statement filing, in the amount of units set forth opposite each NEO’s name in the table below: Name and Principal Position Restricted Stock Units Jennifer M. Johnson 5,429 President and Chief Executive Officer Matthew Nicholls 918 Executive Vice President and Chief Financial Officer Gregory E. Johnson 8,958 Executive Chairman and Chairman of the Board Craig S. Tyle 950 Executive Vice President and General Counsel Jed A.

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9. Jul 1, 2021

   Effective July 1, 2021, the Board of Directors (the “Board”) of Franklin Resources, Inc. (the “Company”) elected Karen M. King to serve as a director of the Company, increasing the size of the Board from 10 to 11. Ms. King’s term will expire at the 2022 Annual Meeting of Stockholders. Ms. King is a Managing Director and the Chief Legal Officer of Silver Lake, a global technology investment firm. The Board has determined that Ms. King is an independent director under the Company’s Director Independence Standards and the New York Stock Exchange listing standards, and that Ms. King satisfies the standards for independence for members of an audit committee and a compensation committee under the New York Stock Exchange listing standards. The Board has appointed Ms. King to the Audit Committee and the Compensation Committee. Ms. King will be compensated as a non-employee director.

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10. Feb 10, 2021

    (e) At the virtual annual meeting of the stockholders of Franklin Resources, Inc. (the “Company”) held on February 9, 2021 (the “Annual Meeting”), the Company’s stockholders approved an amendment and restatement of the Company’s 2002 Universal Stock Incentive Plan (“USIP”), which includes increasing the number of shares of common stock, par value $0.10 per share, of the Company available for delivery under the USIP by 20,000,000 shares. The amendment and restatement of the USIP also reflects the inclusion of individual consultants as eligible participants and a number of other changes and clarifications. A brief description of the terms and conditions of the USIP is set forth in the Company’s definitive proxy statement on Schedule 14A, filed with the Securities and Exchange Commission on December 28, 2020 (the “Proxy Statement”) under the heading “Proposal No.

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11. Feb 12, 2020

    (e) At the annual meeting of the stockholders of Franklin Resources, Inc. (the “Company”) held on February 11, 2020 (the “Annual Meeting”), the Company’s stockholders approved an amendment and restatement of the Company’s 1998 Employee Stock Investment Plan (“ESIP”), which includes increasing the number of shares of common stock, par value $0.10 per share, of the Company authorized for issuance under the ESIP by an additional 5,000,000 shares to a total of 29,000,000 shares (on a split-adjusted basis). Additionally, the amendment and restatement of the ESIP reflects an extension of its term from February 1, 2022 to February 1, 2029. A summary of the material terms of the ESIP is set forth in the Company’s definitive proxy statement on Schedule 14A, filed with the Securities and Exchange Commission on December 26, 2019 (the “Proxy Statement”) under the heading “Proposal No.

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12. Dec 11, 2019

    (b) On December 9, 2019 , Mr. Chutta Ratnathicam notified Franklin Resources, Inc. (the “Company”) that he will retire from the Company’s board of directors effective at the Company’s upcoming 2020 annual meeting of stockholders (“Annual Meeting”) and therefore will not stand for re-election at the Annual Meeting. His decision to retire was not because of any disagreement with the Company. 2

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13. Nov 21, 2019

    (b) On November 20, 2019, Mr. Gregory E. Johnson, Chairman of the Board of Directors (the “Board”) of Franklin Resources, Inc. (the “Company”), announced that he will step down as Chief Executive Officer of the Company, effective February 11, 2020. As of such date, Mr. G. Johnson will no longer serve as principal executive officer of the Company but will remain with the Company serving as Executive Chairman and Chairman of the Board. He will continue to serve as a director of the Company. (c) On November 20, 2019, the Board appointed Ms. Jennifer M. Johnson, currently President and Chief Operating Officer of the Company, to the additional role of Chief Executive Officer of the Company, effective February 11, 2020. As of such date, Ms. Johnson will serve as President and Chief Executive Officer of the Company and will be the principal executive officer of the Company. Ms.

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14. Jun 12, 2019

    (e) As previously disclosed in March 2019, Kenneth A. Lewis notified Franklin Resources, Inc. (the “Company”) of his retirement from his position as Executive Vice President and Chief Financial Officer of the Company effective as of May 6, 2019. Under the terms of an Executive Transition Agreement (the “Agreement”) with the Company, effective as of May 7, 2019, Mr. Lewis agreed to serve as an executive advisor to the Company’s Chief Executive Officer and Chief Financial Officer until September 30, 2019, subject to earlier termination under certain circumstances (the “Termination Date”). On June 11, 2019, the Compensation Committee of the Company’s Board of Directors approved a lump sum severance payment to Mr. Lewis of $2,650,000, pursuant to the Agreement. Upon a qualifying termination as specified in the Agreement, Mr.

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15. Apr 3, 2019

    (c) On April 2, 2019, the Board of Directors of Franklin Resources, Inc. (the “Company”) appointed Gwen L. Shaneyfelt as Chief Accounting Officer of the Company. Ms. Shaneyfelt, 56 years of age, joined the Franklin Templeton organization in December 2004. Ms. Shaneyfelt has been an officer or director of certain subsidiaries of the Company for more than the past five years. In connection with Ms. Shaneyfelt’s appointment, on April 2, 2019, the Compensation Committee of the Board of Directors of the Company approved a restricted stock award under the Company’s 2002 Universal Stock Incentive Plan, as amended, valued at $450,000. The award is subject to service-based vesting over three years.

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Proxy statements (DEF 14A): 2025 · 2024 · 2023 · 2022 · 2022 · 2020

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