Unregistered Sales of Equity Securities and Use of Proceeds.
−Removed: The following table provides information with respect to the shares of our common stock that we repurchased during the three months ended June 30, 2023.
+Added: The following table provides information with respect to the shares of our common stock that we repurchased during the three months ended December 31, 2023.
Month Total Number of
6 unchanged sentences
Purchased Under the Plans
−Removed: April 2023 23,773 $ 26.90 23,773 23,717,399
−Removed: May 2023 9,143 24.58 9,143 23,708,256
−Removed: June 2023 1,938,836 25.82 1,938,836 21,769,420
+Added: October 2023 1,240,037 $ 23.83 1,240,037 13,505,416
+Added: November 2023 725,713 24.16 725,713 12,779,703
+Added: December 2023 457,523 25.63 457,523 39,535,964
Total 2,423,273 2,423,273
1 unchanged sentence
In order to pay taxes due in connection with the vesting of employee and executive officer stock and stock unit awards, we may repurchase shares under our program using a net stock issuance method.
−Removed: In April 2018, we announced that our Board of Directors authorized the repurchase of up to 80.0 million additional shares of our common stock under the stock repurchase program.
+Added: In December 2023, our Board of Directors authorized the repurchase of up to an additional 27.2 million shares of our common stock in either open market or private transactions, for a total of up to 40.0 million shares available for repurchase under the stock repurchase program.
+Added: The exhibits listed on the Exhibit Index to this Form 10-Q are incorporated herein by reference.
+Added: EXHIBIT INDEX
+Added: 3.1 Certificate of Incorporation of Registrant, as filed November 28, 1969, incorporated by reference to Exhibit (3)(i) to our Annual Report on Form 10-K for the fiscal year ended September 30, 1994 (File No.
+Added: 001-09318) (the “1994 Annual Report”)
+Added: 3.2 Certificate of Amendment of Certificate of Incorporation of Registrant, as filed March 1, 1985, incorporated by reference to Exhibit 3(ii) to the 1994 Annual Report
+Added: 3.3 Certificate of Amendment of Certificate of Incorporation of Registrant, as filed April 1, 1987, incorporated by reference to Exhibit 3(iii) to the 1994 Annual Report
+Added: 3.4 Certificate of Amendment of Certificate of Incorporation of Registrant, as filed February 2, 1994, incorporated by reference to Exhibit 3(iv) to the 1994 Annual Report
+Added: 3.5 Certificate of Amendment of Certificate of Incorporation of Registrant, as filed February 4, 2005, incorporated by reference to Exhibit (3)(i)(e) to our Quarterly Report on Form 10-Q for the period ended December 31, 2004 (File No.
+Added: 3.6 Amended and Restated Bylaws of Registrant (as adopted and effective June 29, 2021), incorporated by reference to Exhibit 3.1 to our Current Report on Form 8-K filed on July 1, 2021 (File No.
+Added: 31.1 Certification of Chief Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 (filed herewith)
+Added: 31.2 Certification of Chief Financial Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 (filed herewith)
+Added: 32.1 Certification of Chief Executive Officer pursuant to 18 U.S.C.
+Added: Section 1350 as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 (furnished herewith)
+Added: 32.2 Certification of Chief Financial Officer pursuant to 18 U.S.C.
+Added: Section 1350 as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 (furnished herewith)
+Added: 101 The following materials from Registrant’s Quarterly Report on Form 10-Q for the quarter ended December 31, 2023, formatted in Inline Extensible Business Reporting Language (iXBRL), include:
+Added: (i) the Consolidated Statements of Income, (ii) the Consolidated Statements of Comprehensive Income, (iii) the Consolidated Balance Sheets, (iv) the Consolidated Statements of Stockholders’ Equity, (v) the Consolidated Statements of Cash Flows, and (vi) related notes (filed herewith)
+Added: 104 Cover Page Interactive Data File (formatted in iXBRL and contained in Exhibit 101)
+Added: 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 thereunto duly authorized.
+Added: FRANKLIN RESOURCES, INC.
+Added: January 29, 2024 By:
+Added: /s/ Matthew Nicholls
+Added: Matthew Nicholls
+Added: Executive Vice President, Chief Financial Officer and Chief Operating Officer
+Added: January 29, 2024 By:
+Added: Chief Accounting Officer
Compared sentence by sentence after normalising whitespace, quotation marks, case and digits, so re-formatting and restated figures do not read as changed language. Wording changes appear as one removal and one addition. The current filing and the prior one are authoritative.