Form 8K Q4 FY11
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): October 27, 2011
FRANKLIN RESOURCES, INC.
(Exact name of registrant as specified in its charter)
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Delaware | 001-09318 | 13-2670991 |
(State or other jurisdiction | (Commission File Number) | (IRS Employer Identification No.) |
of incorporation) | | |
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 2.02 Results of Operations and Financial Condition.
On October 27, 2011, Franklin Resources, Inc. (the “Company”) issued a press release announcing the preliminary financial results for the Company's fourth quarter and fiscal year ended September 30, 2011. The Company also posted a fourth quarter and fiscal year financial results presentation on its internet website, as stated in the press release. A copy of the press release is attached hereto as Exhibit 99.1 and a copy of the presentation is attached hereto as Exhibit 99.2, and each is incorporated herein by reference.
The information in this report, including the exhibits hereto, (x) shall not be deemed to be “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended, or otherwise subject to the liabilities of that section and (y) shall not be incorporated by reference into any filing of the Company with the Securities and Exchange Commission, whether made before or after the date hereof, regardless of any general incorporation language in such filings (unless the Company specifically states that the information or exhibits in this particular report are incorporated by reference).
Item 9.01 Financial Statements and Exhibits.
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(d) | Exhibits. | | |
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| Exhibit No. | | Description |
| 99.1 | | Press Release dated October 27, 2011 issued by Franklin Resources, Inc. |
| 99.2 | | Franklin Resources, Inc. Preliminary Fourth Quarter Results presentation, dated October 27, 2011. |
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.
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| FRANKLIN RESOURCES, INC. |
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Date: October 27, 2011 | /s/ Kenneth A. Lewis |
| Name: Kenneth A. Lewis Title: Executive Vice President and Chief Financial Officer |
Exhibit Index
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Exhibit No. | | Description |
99.1 | | Press Release dated October 27, 2011 issued by Franklin Resources, Inc. |
99.2 | | Franklin Resources, Inc. Preliminary Fourth Quarter Results presentation, dated October 27, 2011. |