Form 8-K

 

 

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): March 11, 2015

 

 

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, California 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 (see General Instruction A.2. below):

 

¨ 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))

 

 

 


Item 5.07 Submission of Matters to a Vote of Security Holders.

On March 11, 2015, Franklin Resources, Inc. (the “Company”) held its annual meeting of stockholders (the “Annual Meeting”). The matters voted upon at the Annual Meeting and the final voting results were as follows:

 

  1. To elect 10 directors to the Board of Directors of the Company to hold office until the next annual meeting of stockholders or until that person’s successor is elected and qualified or until his or her earlier death, resignation, retirement, disqualification or removal.

Each of the 10 nominees for director was elected, and the voting results are set forth below:

 

Name of Director

   For      Against      Abstain      Broker
Non-Votes
 

Peter K. Barker

     477,279,889         14,504,760         1,297,302         32,278,147   

Mariann Byerwalter

     490,973,720         800,302         1,307,929         32,278,147   

Charles E. Johnson

     477,379,371         14,447,032         1,255,548         32,278,147   

Gregory E. Johnson

     486,665,749         4,590,419         1,825,783         32,278,147   

Rupert H. Johnson, Jr.

     477,947,313         13,907,924         1,226,714         32,278,147   

Mark C. Pigott

     490,545,063         1,238,503         1,298,385         32,278,147   

Chutta Ratnathicam

     489,314,135         2,473,409         1,294,407         32,278,147   

Laura Stein

     487,698,078         4,092,323         1,291,550         32,278,147   

Seth H. Waugh

     490,966,944         806,276         1,308,731         32,278,147   

Geoffrey Y. Yang

     491,093,725         683,190         1,305,036         32,278,147   

 

  2. To ratify the appointment of PricewaterhouseCoopers LLP as the Company’s independent registered public accounting firm for the fiscal year ending September 30, 2015.

The ratification of the appointment of PricewaterhouseCoopers LLP was approved, and the voting results are set forth below:

 

For

   Against      Abstain  

519,828,234

     3,615,545         1,916,319   

 

  3. To submit for re-approval the material terms of the performance goals included in the Company’s 2002 Universal Stock Incentive Plan for purposes of complying with the requirements of Section 162(m) of the Internal Revenue Code.

The material terms of the performance goals included in the 2002 Universal Stock Incentive Plan were approved, and the voting results are set forth below:

 

For

   Against      Abstain      Broker Non-Votes  

485,924,471

     5,857,766         1,299,714         32,278,147   

 


SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the Company has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

FRANKLIN RESOURCES, INC.
Date: March 12, 2015

/s/ Maria Gray

Name:   Maria Gray

Title:     Vice President and Secretary