Other Events. 5.500% Unsecured Notes due 2036 On August 10, 2026, Franklin Resources, Inc., a Delaware corporation (the “Company”), completed its previously announced underwritten public offering (the “Offering”) of $750,000,000 aggregate principal amount of its 5.500% Notes due 2036 (the “Notes”). The Notes were sold pursuant to the Company’s registration statement on Form S-3 (File No. 333-284711) (the “Registration Statement”) filed with the Securities and Exchange Commission (the “SEC”) o…

Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement. The disclosure contained in

Results of Operations and Financial Condition. On July 31, 2026, Franklin Resources, Inc. (the “Company”) issued a press release announcing the financial results for the Company’s third fiscal quarter ended June 30, 2026. A copy of the press release is attached hereto as Exhibit 99.1 and incorporated herein by reference.

Termination of a Material Definitive Agreement. Concurrently with entering into the Second Amended and Restated Credit Agreement, on [July 30], 2026, the Company terminated its $1,500,000,000 revolving credit agreement (the “Original Credit Agreement”) with Bank of America, N.A. and the other lenders party thereto, which, by its terms was scheduled to mature on April 30, 2030. At the time of termination, there were borrowings of $700,000,000 under the Original Credit Agreement, which have bee…

Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement. The disclosure contained in

Entry into a Material Definitive Agreement. Second Amended and Restated Credit Agreement On July 30, 2026 (the “Closing Date”), Franklin Resources, Inc., a Delaware corporation (the “Company”), entered into a Second Amended and Restated Credit Agreement (the “Second Amended and Restated Credit Agreement”), by and among the Company, as borrower, the financial institutions from time to time party thereto, as lenders, and Bank of America, N.A. (“Bank of America”), as administrative agent. Capita…

The company granted special retention equity awards and carried interest allocations to key executives.

Other Events. As previously disclosed, Western Asset Management Company, LLC (“Western Asset”), a wholly-owned subsidiary of Franklin Resources, Inc., received notifications of investigation by the U.S. Department of Justice (the “DOJ”) and the U.S. Securities and Exchange Commission (the “SEC”) regarding alleged violations of certain laws related to trade allocations by Ken Leech, the former co-Chief Investment Officer of Western Asset. The DOJ has notified Western Asset that it is no longer…

Results of Operations and Financial Condition. On April 28, 2026, Franklin Resources, Inc. (the “Company”) issued a press release announcing the financial results for the Company’s second fiscal quarter ended March 31, 2026. A copy of the press release is attached hereto as Exhibit 99.1 and incorporated herein by reference.

The filing pertains to the approval of amendments to stock incentive plans, not a management change.

Results of Operations and Financial Condition. On January 30, 2026, Franklin Resources, Inc. (the “Company”) issued a press release announcing the financial results for the Company’s first fiscal quarter ended December 31, 2025. A copy of the press release is attached hereto as Exhibit 99.1 and incorporated herein by reference.

Other Events. On December 17, 2025, the Board of Directors of the Company authorized the Company to repurchase, from time to time, up to an additional 20.8 million shares of its common stock in either open market or private transactions, for a total of up to 40.0 million shares available for repurchase. The new share authorization is in addition to the existing authorization, of which approximately 19.2 million shares remained available for repurchase at November 30, 2025. The size and timing…

Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement. The disclosure contained in

Entry into a Material Definitive Agreement. Joinder and Commitment Increase Agreement On December 11, 2025, Franklin Resources, Inc., a Delaware corporation (the “Company”), entered into a Joinder and Commitment Increase Agreement (the “Joinder Agreement”), by and among the Company, as borrower, Mizuho Bank, Ltd., Royal Bank of Canada, The Bank of New York Mellon, each of the other Lenders party thereto and Bank of America, N.A., as administrative agent, which amends the Amended and Restated…

Results of Operations and Financial Condition. On November 7, 2025, Franklin Resources, Inc. (the “Company”) issued a press release announcing the preliminary financial results for the Company’s fourth fiscal quarter and fiscal year ended September 30, 2025. A copy of the press release is attached hereto as Exhibit 99.1 and incorporated herein by reference.

Co-President and Chief Commercial Officer — Daniel Gamba: Daniel Gamba was appointed Co-President and Chief Commercial Officer, with significant responsibilities and compensation.

Results of Operations and Financial Condition. On August 1, 2025, Franklin Resources, Inc. (the “Company”) issued a press release announcing the financial results for the Company’s third fiscal quarter ended June 30, 2025. A copy of the press release is attached hereto as Exhibit 99.1 and incorporated herein by reference.

Results of Operations and Financial Condition. On May 2, 2025, Franklin Resources, Inc. (the “Company”) issued a press release announcing the financial results for the Company’s second fiscal quarter ended March 31, 2025. A copy of the press release is attached hereto as Exhibit 99.1 and incorporated herein by reference.

Results of Operations and Financial Condition. On January 31, 2025, Franklin Resources, Inc. (the “Company”) issued a press release announcing the financial results for the Company’s first fiscal quarter ended December 31, 2024. A copy of the press release is attached hereto as Exhibit 99.1 and incorporated herein by reference.

Results of Operations and Financial Condition. On November 4, 2024, Franklin Resources, Inc. (the “Company”) issued a press release announcing the preliminary financial results for the Company’s fourth fiscal quarter and fiscal year ended September 30, 2024. A copy of the press release is attached hereto as Exhibit 99.1 and incorporated herein by reference.

Results of Operations and Financial Condition. On July 26, 2024, Franklin Resources, Inc. (the “Company”) issued a press release announcing the financial results for the Company’s third fiscal quarter ended June 30, 2024. A copy of the press release is attached hereto as Exhibit 99.1 and incorporated herein by reference.

Results of Operations and Financial Condition. On April 29, 2024, Franklin Resources, Inc. (the “Company”) issued a press release announcing the financial results for the Company’s second fiscal quarter ended March 31, 2024. A copy of the press release is attached hereto as Exhibit 99.1 and incorporated herein by reference.

Matthew Nicholls: Awarded a special bonus for contributions to a recent acquisition.

Chief Accounting Officer — Lindsey H. Oshita: Ms. Lindsey H. Oshita was appointed as Chief Accounting Officer and principal accounting officer of the Company.

Results of Operations and Financial Condition. On January 29, 2024, Franklin Resources, Inc. (the “Company”) issued a press release announcing the financial results for the Company’s first fiscal quarter ended December 31, 2023. A copy of the press release is attached hereto as Exhibit 99.1 and incorporated herein by reference.