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 13, 2013

 

 

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 13, 2013, Franklin Resources, Inc. (the “Company”) held its annual meeting of stockholders (the “Annual Meeting”). The matters voted upon at the Annual Meeting and the results of the votes were as follows:

 

  1. To elect 11 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 11 nominees for director was elected, and the voting results are set forth below:

 

Name of Director

  

For

    

Against

    

Abstain

    

Broker

Non-Votes

 

Samuel H. Armacost

     169,936,651         2,383,570         128,146         7,380,760   

Peter K. Barker

     167,212,906         5,122,638         112,823         7,380,760   

Charles Crocker

     169,748,601         2,576,917         122,849         7,380,760   

Charles B. Johnson

     167,083,803         5,282,156         82,408         7,380,760   

Gregory E. Johnson

     171,371,519         998,433         78,415         7,380,760   

Rupert H. Johnson, Jr.

     167,322,711         5,037,054         88,602         7,380,760   

Mark C. Pigott

     169,892,335         2,423,700         132,332         7,380,760   

Chutta Ratnathicam

     172,061,818         253,495         133,054         7,380,760   

Laura Stein

     172,145,359         196,679         106,329         7,380,760   

Anne M. Tatlock

     168,029,555         4,300,567         118,245         7,380,760   

Geoffrey Y. Yang

     172,091,012         227,554         129,801         7,380,760   

 

  2. To ratify the appointment of PricewaterhouseCoopers LLP as the Company’s independent registered public accounting firm for the fiscal year ending September 30, 2013.

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

 

For

 

Against

 

Abstain

178,544,796   1,195,762   88,569

 

  3. To consider and vote on a stockholder proposal.

The stockholder proposal on genocide-free investing was not approved, and the voting results are set forth below:

 

For

 

Against

 

Abstain

 

Broker Non-Votes

14,945,222   144,668,155   12,834,990   7,380,760


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 14, 2013    

 /s/ Maria Gray

    Name: Maria Gray
    Title:   Vice President and Secretary