PartnerFacts
Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 7:55 AM ET

Sponsor Check › Issuer

FR

FRANKLIN RESOURCES INC

Corporation · organized in Delaware · formed more than five years before filing · San Mateo, CA

$27.8Mreported sold (max)
3investors (max)
2offerings
2Form D filings
2011–2018filing years
0new, last 12 mo
Follow this issuerConnect me with this sponsorEmail me the full reportLook further ↓

Data last updated Oct 23, 2026, 5:45 PM ET · Latest filing by this issuer May 1, 2018 · Courts (RECAP) last checked: Oct 24, 2026, 2:12 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

FRANKLIN RESOURCES INC is a corporation organized in Delaware (formed more than five years before filing), based in San Mateo, CA.

What this means A deal company is usually set up for one investment; its Form D is the notice it files after selling to investors.

It has filed 2 Form D filings (2 originals, 0 amendments) for 2 offerings between Jul 2011 and May 2018. The latest filing of each offering reports a combined $39.1M sold of $39.1M offered to 4 investors; industry as reported: investing; latest exemption Rule 506(b).

What this means 2 separate raises over about 7 years. Amendments are routine updates (an ongoing raise must update its Form D at least once a year).

Key people as listed: Alok Sethi (executive officer), Charles E Johnson (director), Chutta Ratnathicam (director), Craig S Tyle (executive officer), Geoffrey Y Yang (director) and 21 more.

What this means These are the people the company itself named as running or promoting it. Tap a name to see every other deal they are on.

No sales commissions, finder's fees or proceeds to insiders are reported. No sales-compensation recipients are listed.

What this means No broker was paid — the sponsor sold it directly to investors.

Activity: 0 new offerings in the last 12 months; no amendment on file; latest filing May 1, 2018.

What this means No new raise filed in the past year — this deal company may be done raising, or simply quiet.

Searched SEC Form ADV bulk data (registered + exempt reporting advisers) (24,962 records as of Oct 2, 2026, 8:00 AM ET) — nothing matched FRANKLIN RESOURCES INC.

Public records searched: federal courts (CourtListener / RECAP), SEC enforcement releases, state securities regulators (AK, AL, AR, AZ, CA, CT, DE, FINRA, GA, HI, ID, IL, KS, KY, LA, MA, MD, ME, MI, MO, MS, MT, NASAA, NC, ND, NH, NM, NV, OK, OR, PA, RI, SC, SD, TN, TX, VT, WA, WI, WV, WY), property records (NYC, FL, IL and TX counties) — 29 court cases matching the name listed in Key records below.

What this means 29 records came back. Each one is listed below with a link to the original document and a line saying why it matched. A name match is not proof it is the same person or company — read the why line and the document. Being sued or named in a release is an accusation, not a finding.

We compared 2 public filings for FRANKLIN RESOURCES INC and found 5 differences, 1 worth asking the sponsor about: 29 court cases name FRANKLIN RESOURCES INC; and more below.

What this means These are differences between the sponsor's own SEC filings — both values, dates and sources are listed in Key records, section 4. Most have ordinary explanations; ask the sponsor.

What the community is saying

Community search for FRANKLIN RESOURCES INC has not run yet — it is joining a line of 28,841 names; searches run around the clock at the hosts' allowed rate. Searched so far: 638 names.

Community comments are quoted as written by their authors. Sources searched: BiggerPockets forums (via DuckDuckGo, Brave, Bing and BiggerPockets search) and Reddit (search feed + public archive).

Key records

Five things investors ask first. Items still in human review are counted, not shown.

1. Lawsuits

29 cases: 14 closed (disposition not in docket feed), 2 judgment, 13 dismissed

Blockchain Innovation, LLC v. Franklin Resources, Inc. closed
District Court, N.D. California · No. 3:21-cv-08787 · Filed Nov 12, 2021 · Closed Jul 3, 2025 · Nature of suit: 880 Defend Trade Secrets Act (of 2016) · Cause: 18:1836(b) - Civil Action to Protect Trade Secrets
Role of Franklin Resources, Inc.: Defendant · Outcome: Terminated 2025-07-03 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
exact company name; court in the issuer's state (CA)
Miele v. Franklin Resources, Inc. judgment
District Court, N.D. California · No. 3:15-cv-00199 · Filed Jan 14, 2015 · Closed Apr 20, 2017 · Nature of suit: Negotiable Instrument · Cause: 28:1332 Diversity-Breach of Contract
Role of Franklin Resources, Inc.: Defendant · Outcome: Terminated 2017-04-20 — FJC Integrated Database disposition: Judgment on motion before trial; judgment for defendant Docket on CourtListener ↗
exact company name; court in the issuer's state (CA)
Patel v. Franklin Resources, Inc. dismissed
District Court, D. New Jersey · No. 2:10-cv-06469 · Filed Dec 14, 2010 · Closed Dec 14, 2011 · Nature of suit: 190 Contract: Other · Cause: 28:1332 Diversity-Other Contract
Role of Franklin Resources, Inc.: Defendant · Outcome: Terminated 2011-12-14 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
exact company name; court in NJ (not the issuer's state)
Patel v. Franklin Resources, Inc. closed
District Court, N.D. California · No. 4:10-cv-02746 · Filed Jun 23, 2010 · Closed Nov 30, 2010 · Nature of suit: 190 Contract: Other · Cause: 28:1332 Diversity-Other Contract
Role of Franklin Resources, Inc.: Defendant · Outcome: Terminated 2010-11-30 — FJC Integrated Database disposition: Transfer to another district Docket on CourtListener ↗
exact company name; court in the issuer's state (CA)
ULFERTS v. FRANKLIN RESOURCES, INC. dismissed
District Court, D. New Jersey · No. 2:07-cv-01309 · Filed Mar 20, 2007 · Closed Apr 24, 2008 · Nature of suit: Securities/Commodities · Cause: 15:78m(a) Securities Exchange Act
Role of FRANKLIN RESOURCES, INC.: Defendant · Outcome: Terminated 2008-04-24 — FJC Integrated Database disposition: Dismissed: other Docket on CourtListener ↗
exact company name; court in NJ (not the issuer's state)
ALEXANDER v. FRANKLIN RESOURCES, INC. dismissed
District Court, D. New Jersey · No. 2:07-cv-00848 · Filed Feb 21, 2007 · Closed Nov 27, 2007 · Nature of suit: 850 Securities/Commodities · Cause: 15:78m(a) Securities Exchange Act
Role of FRANKLIN RESOURCES, INC.: Defendant · Outcome: Terminated 2007-11-27 — FJC Integrated Database disposition: Dismissed: other Docket on CourtListener ↗
exact company name; court in NJ (not the issuer's state)
Ulferts v. Franklin Resources, Inc closed
District Court, N.D. California · No. 3:06-cv-07847 · Filed Dec 22, 2006 · Closed Mar 16, 2007 · Nature of suit: 850 Securities/Commodities · Cause: 15:78m(a) Securities Exchange Act
Role of Franklin Resources, Inc: Defendant · Outcome: Terminated 2007-03-16 — FJC Integrated Database disposition: Transfer to another district Docket on CourtListener ↗
exact company name; court in the issuer's state (CA)
Alexander v. Franklin Resources, Inc. closed
District Court, N.D. California · No. 3:06-cv-07121 · Filed Nov 16, 2006 · Closed Feb 14, 2007 · Nature of suit: 850 Securities/Commodities · Cause: 15:78m(a) Securities Exchange Act
Role of Franklin Resources, Inc.: Defendant · Outcome: Terminated 2007-02-14 — FJC Integrated Database disposition: Transfer to another district Docket on CourtListener ↗
exact company name; court in the issuer's state (CA)
Vladimir v. Franklin Resources, Inc. dismissed
District Court, E.D. New York · No. 2:05-cv-05957 · Filed Dec 19, 2005 · Closed Aug 25, 2006 · Nature of suit: 850 Securities, Commodities, Exchange
Role of Franklin Resources, Inc.: Defendant · Outcome: Terminated 2006-08-25 — FJC Integrated Database disposition: Voluntarily dismissed Docket on CourtListener ↗
exact company name; court in NY (not the issuer's state)
LUVERN N. MALSAM IRA ACCOUNT v. FRANKLIN RESOURCES, INC. dismissed
District Court, D. New Jersey · No. 2:04-cv-02696 · Filed Jun 9, 2004 · Closed Aug 31, 2005 · Nature of suit: 850 Securities, Commodities, Exchange
Role of FRANKLIN RESOURCES, INC.: Defendant · Outcome: Terminated 2005-08-31 — FJC Integrated Database disposition: Dismissed: want of prosecution Docket on CourtListener ↗
exact company name; court in NJ (not the issuer's state)
Marcus v. Franklin Resources, Inc. dismissed
District Court, D. Maryland · No. 1:04-cv-01451 · Filed Jun 2, 2004 · Closed Mar 7, 2012 · Nature of suit: 850 Securities, Commodities, Exchange
Role of Franklin Resources, Inc.: Defendant · Outcome: Terminated 2012-03-07 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
exact company name; court in MD (not the issuer's state)
Banner v. Franklin Resources, Inc. dismissed
District Court, D. Maryland · No. 1:04-cv-01452 · Filed Jun 2, 2004 · Closed Mar 7, 2012 · Nature of suit: 850 Securities, Commodities, Exchange · Cause: 15:78m(a) Securities Exchange Act
Role of Franklin Resources, Inc.: Defendant · Outcome: Terminated 2012-03-07 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
exact company name; court in MD (not the issuer's state)
Denenberg v. Franklin Resources, Inc. dismissed
District Court, D. Maryland · No. 1:04-cv-01453 · Filed May 25, 2004 · Closed Mar 7, 2012 · Nature of suit: 850 Securities, Commodities, Exchange
Role of Franklin Resources, Inc.: Defendant · Outcome: Terminated 2012-03-07 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
exact company name; court in MD (not the issuer's state)
WOLBRINK v. FRANKLIN RESOURCES, INC. closed
District Court, D. New Jersey · No. 2:04-cv-02430 · Filed May 25, 2004 · Closed Aug 23, 2006 · Nature of suit: 850 Securities, Commodities, Exchange
Role of FRANKLIN RESOURCES, INC.: Defendant · Outcome: Terminated 2006-08-23 — FJC Integrated Database disposition: Statistical closing Docket on CourtListener ↗
exact company name; court in NJ (not the issuer's state)
McAlvey v. Franklin Resources, Inc. dismissed
District Court, D. Maryland · No. 1:04-cv-01274 · Filed May 17, 2004 · Closed Dec 22, 2011 · Nature of suit: 850 Securities/Commodities · Cause: 15:78m(a) Securities Exchange Act
Role of Franklin Resources, Inc.: Defendant · Outcome: Terminated 2011-12-22 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
exact company name; court in MD (not the issuer's state)
Ira/Ro v. Franklin Resources, Inc. judgment
District Court, D. Maryland · No. 1:04-cv-01310 · Filed May 14, 2004 · Closed Dec 9, 2011 · Nature of suit: 850 Securities/Commodities · Cause: 15:78m(a) Securities Exchange Act
Role of Franklin Resources, Inc.: Defendant · Outcome: Terminated 2011-12-09 — FJC Integrated Database disposition: Judgment on motion before trial; judgment for plaintiff Docket on CourtListener ↗
exact company name; court in MD (not the issuer's state)
WILCOX v. FRANKLIN RESOURCES, INC. closed
District Court, D. New Jersey · No. 2:04-cv-02258 · Filed May 12, 2004 · Closed Jun 29, 2004 · Nature of suit: 850 Securities, Commodities, Exchange
Role of FRANKLIN RESOURCES, INC.: Defendant · Outcome: Terminated 2004-06-29 — FJC Integrated Database disposition: Statistical closing Docket on CourtListener ↗
exact company name; court in NJ (not the issuer's state)
Lum v. Franklin Resources, Inc. dismissed
District Court, D. Maryland · No. 1:04-cv-01271 · Filed May 7, 2004 · Closed Mar 7, 2012 · Nature of suit: 850 Securities, Commodities, Exchange · Cause: 15:78m(a) Securities Exchange Act
Role of Franklin Resources, Inc.: Defendant · Outcome: Terminated 2012-03-07 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
exact company name; court in MD (not the issuer's state)
Denenberg v. Franklin Resources, Inc. closed
District Court, N.D. California · No. 3:04-cv-00984 · Filed Mar 10, 2004 · Closed May 19, 2004 · Nature of suit: 850 Securities, Commodities, Exchange
Role of Franklin Resources, Inc.: Defendant · Outcome: Terminated 2004-05-19 — FJC Integrated Database disposition: Transfer to another district Docket on CourtListener ↗
exact company name; court in the issuer's state (CA)
Marcus v. Franklin Resources Inc. closed
District Court, N.D. California · No. 3:04-cv-00901 · Filed Mar 5, 2004 · Closed May 19, 2004 · Nature of suit: 850 Securities, Commodities, Exchange
Role of Franklin Resources Inc.: Defendant · Outcome: Terminated 2004-05-19 — FJC Integrated Database disposition: Multi-district litigation transfer Docket on CourtListener ↗
exact company name; court in the issuer's state (CA)
Banner v. Franklin Resources Inc closed
District Court, N.D. California · No. 3:04-cv-00902 · Filed Mar 5, 2004 · Closed May 19, 2004 · Nature of suit: 850 Securities, Commodities, Exchange
Role of Franklin Resources Inc: Defendant · Outcome: Terminated 2004-05-19 — FJC Integrated Database disposition: Multi-district litigation transfer Docket on CourtListener ↗
exact company name; court in the issuer's state (CA)
TRICARICO v. FRANKLIN RESOURCES, INC. closed
District Court, D. New Jersey · No. 2:04-cv-01052 · Filed Mar 4, 2004 · Closed Jun 29, 2004 · Nature of suit: 850 Securities, Commodities, Exchange
Role of FRANKLIN RESOURCES, INC.: Defendant · Outcome: Terminated 2004-06-29 — FJC Integrated Database disposition: Statistical closing Docket on CourtListener ↗
exact company name; court in NJ (not the issuer's state)
Strigliabotti v. Franklin Resources, Inc. dismissed
District Court, N.D. California · No. 3:04-cv-00883 · Filed Mar 4, 2004 · Closed Aug 9, 2007 · Nature of suit: 890 Other Statutory Actions · Cause: 28:1331 Fed. Question
Role of Franklin Resources, Inc.: Defendant · Outcome: Terminated 2007-08-09 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
exact company name; court in the issuer's state (CA)
STEVEN R. ALEXANDER IRA v. FRANKLIN RESOURCES, INC. dismissed
District Court, D. New Jersey · No. 2:04-cv-00982 · Filed Mar 2, 2004 · Closed Mar 13, 2007 · Nature of suit: 850 Securities/Commodities · Cause: 15:78m(a) Securities Exchange Act
Role of FRANKLIN RESOURCES, INC.: Defendant · Outcome: Terminated 2007-03-13 — FJC Integrated Database disposition: Dismissed: other Docket on CourtListener ↗
exact company name; court in NJ (not the issuer's state)
HUGH SHARKEY IRA/RO v. FRANKLIN RESOURCES, INC. closed
District Court, S.D. New York · No. · Filed Feb 18, 2004 · Closed May 12, 2004 · Nature of suit: 850 Securities, Commodities, Exchange
Role of FRANKLIN RESOURCES, INC.: Defendant · Outcome: Terminated 2004-05-12 — FJC Integrated Database disposition: Multi-district litigation transfer Docket on CourtListener ↗
exact company name; court in NY (not the issuer's state)
McAlvey v. Franklin Resources Inc. closed
District Court, N.D. California · No. 4:04-cv-00628 · Filed Feb 13, 2004 · Closed May 4, 2004 · Nature of suit: 890 Other statutory actions
Role of Franklin Resources Inc.: Defendant · Outcome: Terminated 2004-05-04 — FJC Integrated Database disposition: Multi-district litigation transfer Docket on CourtListener ↗
exact company name; court in the issuer's state (CA)
Lum v. Franklin Resources, Inc. closed
District Court, N.D. California · No. 3:04-cv-00583 · Filed Feb 11, 2004 · Closed May 4, 2004 · Nature of suit: 850 Securities, Commodities, Exchange
Role of Franklin Resources, Inc.: Defendant · Outcome: Terminated 2004-05-04 — FJC Integrated Database disposition: Transfer to another district Docket on CourtListener ↗
exact company name; court in the issuer's state (CA)
JEFFERY BENNETT v. FRANKLIN RESOURCES, INC. closed
District Court, D. Nevada · No. 2:04-cv-00154 · Filed Feb 10, 2004 · Closed May 3, 2004 · Nature of suit: 850 Securities, Commodities, Exchange
Role of FRANKLIN RESOURCES, INC.: Defendant · Outcome: Terminated 2004-05-03 — FJC Integrated Database disposition: Multi-district litigation transfer Docket on CourtListener ↗
exact company name; court in NV (not the issuer's state)
FEBSCO, INC. v. FRANKLIN RESOURCES dismissed
District Court, D. New Jersey · No. 3:02-cv-05371 · Filed Nov 6, 2002 · Closed Oct 20, 2003 · Nature of suit: 140 Negotiable Instrument · Cause: 28:1332 Diversity-Negotiable Instrument
Role of FRANKLIN RESOURCES: Defendant · Outcome: Terminated 2003-10-20 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
exact company name; court in NJ (not the issuer's state)
What was searched

Sources searched: CourtListener bulk data (RECAP dockets as of 2026-09-30; recall-first rule 10-24) — federal district + bankruptcy courts State courts: not covered (one-tap state court links under Look further). PACER: not searched. · Last checked Oct 24, 2026, 2:12 AM ET.

Court records show docket facts only; we never restate allegations as facts. Outcome wording comes from the docket feed; where it does not state a disposition we say so.

State courts: not covered (one-tap state court links under Look further). No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.

2. Regulatory actions

None found in sources searched — SEC enforcement releases (index scan as of Oct 24, 2026, 2:50 AM ET) · state securities regulators: VA (crawled Oct 23, 2026)

What was searched

SEC enforcement searched: SEC litigation releases and administrative proceedings — respondent names in the sec.gov index titles (30,205 releases, 1995-09-19 to 2026-10-23); release text is read only to confirm a candidate. Names that appear only in the body of a release are not found. — Searched SEC litigation releases and administrative proceedings (1995→ / 2007→) (30,205 records as of Oct 24, 2026, 2:50 AM ET) — nothing matched FRANKLIN RESOURCES INC..

State securities regulators: Securities regulators searched (3,318 actions): AZ Corporation Commission Securities Division (411 actions, 2017–2026), CA DFPI (25 actions, 2007–2024; listing starts 2002 — 16 of 12,159 DFPI respondent pages read so far; sponsor-name matches are read first), DE DOJ Investor Protection Unit (257 actions, 1987–2026), TX State Securities Board (586 actions, 2006–2026), WA DFI (2,039 actions, 2001–2026) — last crawled Oct 23, 2026, 9:57 PM ET. No machine-readable public listing today for CO, FL, IA, IN, MN, NE, NJ, NY, OH, UT, VA (see docs/state-regulators.md).

3. Bankruptcies

None found in sources searched — federal bankruptcy courts (CourtListener / RECAP), checked Oct 24, 2026

What was searched

Sources searched: Federal bankruptcy courts via CourtListener / RECAP archive (federal district courts, federal bankruptcy courts). State courts: not covered (one-tap state court links under Look further). PACER: not searched (RECAP only). · Last checked Oct 24, 2026, 2:12 AM ET.

State courts: not covered (one-tap state court links under Look further). No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.

4. Differences between public sources

No comparisons published

What is compared

No public statement by this issuer has been collected yet, so there is nothing to compare. Sources compared: the sponsor's own website (known from the issuer's own filings — Form C issuer website, EDGAR company profile — an approved profile claim or Form ADV Item 1.I of its matched adviser) · SEC Form D · SEC Form ADV (IAPD) · Internet Archive · No website is on file for this issuer yet.

5 differences found between the filings for FRANKLIN RESOURCES INC — 1 worth asking about (compared 2 filings on Oct 24, 2026)

Note · May 6, 2009 – Jun 25, 2010

Bankruptcy case: Armacost Villas, L.P., a California partnership — filed May 6, 2009

United States Bankruptcy Court, C.D. California docket "Armacost Villas, L.P., a California partnership" filed May 6, 2009, closed Jun 25, 2010. Samuel H. Armacost (listed on the same filings) is listed as Debtor ("Armacost Villas, L.P., a California partnership"). Our match estimate: 70%.

What this means A bankruptcy filing was found. Many are old or personal and have nothing to do with the deal — but ask what it was and when it closed.

Docket · United States Bankruptcy Court, C.D. California ↗Samuel H. Armacost — PartnerFacts page ↗
Sources
Note · Feb 9, 1998 – Apr 21, 1998

Bankruptcy case: AT and T Universal Services Corp. v. Plafker — filed Feb 9, 1998

United States Bankruptcy Court, N.D. California docket "AT and T Universal Services Corp. v. Plafker" filed Feb 9, 1998, closed Apr 21, 1998. Jed A. Plafker (listed on the same filings) is listed as Defendant ("Plafker"). Our match estimate: 70%.

What this means A bankruptcy filing was found. Many are old or personal and have nothing to do with the deal — but ask what it was and when it closed.

Docket · United States Bankruptcy Court, N.D. California ↗Jed A. Plafker — PartnerFacts page ↗
Sources
Worth asking · Nov 6, 2002 – Nov 12, 2021

29 court cases name FRANKLIN RESOURCES INC — 29 as defendant

By role: defendant in 29. Newest: "Blockchain Innovation, LLC v. Franklin Resources, Inc." (District Court, N.D. California, Nov 12, 2021); "Miele v. Franklin Resources, Inc." (District Court, N.D. California, Jan 14, 2015); "Patel v. Franklin Resources, Inc." (District Court, D. New Jersey, Dec 14, 2010). Some of these are name matches with a match estimate below 95% — check each docket.

What this means Several court cases name this subject. Some are routine business suits. Ask what each was about and how it ended.

Docket · Blockchain Innovation, LLC v. Franklin Resources, Inc. ↗Docket · Miele v. Franklin Resources, Inc. ↗Docket · Patel v. Franklin Resources, Inc. ↗Docket · Patel v. Franklin Resources, Inc. ↗
Sources
Note · Jul 6, 2011 – May 1, 2018

RUPERT H JOHNSON, JR. is written 2 different ways on the filings

listed as "Rupert H Johnson, Jr." on the Jul 6, 2011 filing, and "Rupert H Johnson" on the May 1, 2018 filing.

What this means Same person, written differently — a middle name or suffix left off, or spelled another way. It is normal, but check that the full legal name matches your subscription documents.

Form D · Jul 6, 2011 ↗Form D · May 1, 2018 ↗RUPERT H JOHNSON, JR. — PartnerFacts page ↗
Sources
Note · Jul 6, 2011 – May 1, 2018

Gregory E Johnson is written 2 different ways on the filings

listed as "Gregory E Johnson" on the Jul 6, 2011 filing, and "Gregory E Johnson, Jr." on the May 1, 2018 filing.

What this means Same person, written differently — a middle name or suffix left off, or spelled another way. It is normal, but check that the full legal name matches your subscription documents.

Form D · Jul 6, 2011 ↗Form D · May 1, 2018 ↗Gregory E Johnson — PartnerFacts page ↗
Sources
What is compared

What is compared: every Form D and D/A we hold for this subject, side by side — filing dates vs. first-sale dates (the 15-day rule), amendment timing on open offerings (the yearly-amendment expectation), amounts sold, investor counts, offering amounts and minimums across amendments, industry and size bands, addresses, how each person's name and role is written, paid sellers' CRD numbers, and (for groups) where the member companies were formed and sit. Everything is as filed by the issuer; the SEC does not check it. Differences are common and usually have ordinary explanations — we show both values, the dates, and the source so you can ask. As of Oct 24, 2026.

5. Money to insiders

None reported on 2 offerings — no sales commissions, finder's fees or proceeds to insiders

Per-offering detail
Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
May 1, 2018 D
File 021-311434
$0$0$0None listed on this filingEDGAR ↗
Jul 6, 2011 D
File 021-162340
$0$0$0None listed on this filingEDGAR ↗

Counts come from Form D Items 12–15 on the filings in our index (latest filing per offering; one offering = one SEC file number; an amendment updates its offering rather than adding one). "To insiders" = gross proceeds used for payments to executive officers, directors or promoters. "—" = not reported on that filing. Amounts marked (est.) were reported as estimates. "Paid to sell it" = sales compensation recipients named on that filing (Item 12), each linked to FINRA BrokerCheck when a CRD number is reported.

Property records 0 documents · 0 ownership records · last checked Oct 24, 2026, 7:53 AM ET · NYC and Cook County lookup still to run

0 recorded documents and 0 ownership records matched to FRANKLIN RESOURCES INC in the sources searched.

Not found in sources searched as of Oct 24, 2026, 7:53 AM ET: Hillsborough County FL Clerk of Court Official Records daily index (publicrec.hillsclerk.com D/P/M files), 2 daily files (Oct 14, 2026 to Oct 15, 2026) — loaded Oct 23, 2026, 8:59 PM ET; Harris County TX (HCAD ownership rolls 2007–2026) — 970,288 records, loaded Oct 24, 2026, 7:53 AM ET; Dallas County TX (DCAD ownership roll 2026) — 173,688 records, loaded Oct 23, 2026, 8:58 PM ET; Hillsborough County FL (FL DOR 2026 ownership roll + Clerk recorded-document index Oct 14, 2026 to Oct 15, 2026), Miami-Dade County FL (FL DOR 2026 ownership roll) — 294,950 records, loaded Oct 23, 2026, 8:58 PM ET. Still to be looked up for this issuer: NYC ACRIS via NYC Open Data (Real Property Parties 636b-3b5g, Master bnx9-e6tj, Legals 8h5j-fqxa, Document Control Codes 7isb-wh4c) · NYC PLUTO ownership via NYC Open Data (64uk-42ks) · Cook County IL Assessor via Cook County Open Data (Parcel Sales wvhk-k5uv; Parcel Addresses 3723-97qp). Records in other counties, and recorder indexes we do not yet cover, were not searched.

Property records coverage: New York City (ACRIS recorded documents and PLUTO ownership, looked up per issuer when its page is viewed; re-checked when the page is viewed again more than 30 days after the last check); Harris County TX (ownership only, no deed, mortgage or sale records; HCAD ownership rolls 2007–2026); Dallas County TX (ownership only, no deed, mortgage or sale records; DCAD ownership roll 2026); Hillsborough County FL (FL DOR 2026 ownership roll + Clerk recorded-document index Oct 14, 2026 to Oct 15, 2026), Miami-Dade County FL (FL DOR 2026 ownership roll); Cook County IL (assessor ownership and deed/sale records, looked up per issuer when its page is viewed). Recorder indexes (party names on deeds, mortgages and liens) in TX, AZ, NV, CA and WA counties and outside the Clerk index in FL, mortgages and liens outside NYC and Hillsborough County, lis pendens and foreclosure notices everywhere, Los Angeles County CA, Clark County NV, King County WA (loader ready; first load not finished), Cook County IL bulk pass (not finished; per-issuer lookups only so far), New York City bulk pass (not finished; per-issuer lookups only so far), Maricopa County AZ (loader ready; commercial-purpose statement not yet filed), Salt Lake County UT, and all other counties are not covered — not searched. Last refresh by source: Harris County Appraisal District real_acct.txt Oct 24, 2026, 7:53 AM ET; Hillsborough County FL Clerk daily index Oct 23, 2026, 8:59 PM ET; Dallas Central Appraisal District ACCOUNT_INFO.CSV Oct 23, 2026, 8:58 PM ET; Florida DOR NAL roll (Dade 23) Oct 23, 2026, 8:58 PM ET; Florida DOR NAL roll (Hillsborough 39) Oct 23, 2026, 8:54 PM ET. NYC and Cook County are also looked up per issuer when its page is viewed; the most recent such lookup on this site finished Oct 24, 2026, 3:30 AM ET. Parties are named as the recorder's index names them (role suffixes as recorded); no address, account number or trust date is shown for an individual, and individual owners of record (home ownership) are not matched or shown. Items still in human review are not shown.

Offerings (SEC Form D)

Each filing as reported by the issuer, newest first. Open a row for the full plain-English detail. D = original notice, D/A = amendment.

Offerings at a glance — 2 offerings, 2 filings (one row per SEC file number)
File no.Original Form DLatest filingAmendmentsOffered (latest)Sold (latest)Industry (latest)
021-311434May 1, 2018 EDGAR ↗May 1, 2018 D EDGAR ↗0$27,836,000$27,836,000Investing
021-162340Jul 6, 2011 EDGAR ↗Jul 6, 2011 D EDGAR ↗0$11,224,335$11,224,335Investing

Offerings are grouped by SEC file number; rows without a file number (not yet retrieved from EDGAR) are shown as their own offering until the link is fetched.

May 1, 2018 D Investing — $27,836,000 sold of $27,836,000 · 1 investors EDGAR ↗
FilingForm D filed May 1, 2018
SEC file no. 021-311434 · accession 0000038777-18-000168
Raise progress$27,836,000 sold of $27,836,000 offered (100%) · $0 remaining · first sale May 1, 2018
Filing timingDate of first sale: May 1, 2018 · Form D filed: May 1, 2018 (0 days after first sale)
Rule: a Form D is generally due within 15 days after the first sale. Both dates are shown as reported; no conclusion is drawn.
Time since first sale3,098 days (8.5 years)
Annual amendmentsIssuer reported the offering is not expected to last more than one year. No amendment for this offering in our index (filings 2008 → Oct 22, 2026; checked Oct 23, 2026, 5:45 PM ET).
Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn.
Investors1 total · issuer reported no non-accredited investors
Exemption claimedRule 506(b) — no general advertising; up to 35 non-accredited investors allowed
Minimum investment accepted$0 as filed (no minimum reported)
Securities offeredEquity · business combination transaction
Entity detailsOrganized in DELAWARE · formed more than five years before filing · revenue range: Over $100,000,000 (state and year as reported on the issuer's latest filing)
As reported by the issuer on Form D (Items 1–2 and 5).
IndustryInvesting
Who is paid to sell itNo sales compensation recipients listed on this filing.
Money to insidersSales commissions: $0 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0
Signed byMaria Gray, Secretary (May 1, 2018)
Market contextMinimum investment: $0 as filed (no minimum reported). Typical range for similar offerings: $10,000–$78,388.
Offering size: $27,836,000. Typical range: $763,000–$10,000,000.
Investors: 1. Typical range: 4–23.
"Similar" = Investing, Rule 506(b). Based on 2,521 Form D filings 2021–2026 in the same industry and exemption (Investing, Rule 506(b); original Form D notices, one per offering) (Form D data, SEC). Ranges are the middle half (25th–75th percentile) of the filings that reported each value: minimum investment 1,727, offering size 2,094, investors 2,162. Computed by PartnerFacts as of Oct 23, 2026, 5:45 PM ET. No ranking or score. Source: PartnerFacts data & coverage.
SourceThis filing on SEC EDGAR ↗ · retrieved from the SEC Form D bulk data set · PartnerFacts data last updated Oct 23, 2026, 5:45 PM ET
Jul 6, 2011 D Investing — $11,224,335 sold of $11,224,335 · 3 investors EDGAR ↗
FilingForm D filed Jul 6, 2011
SEC file no. 021-162340 · accession 0000038777-11-000167
Raise progress$11,224,335 sold of $11,224,335 offered (100%) · $0 remaining · first sale Jul 5, 2011
Filing timingDate of first sale: Jul 5, 2011 · Form D filed: Jul 6, 2011 (1 day after first sale)
Rule: a Form D is generally due within 15 days after the first sale. Both dates are shown as reported; no conclusion is drawn.
Time since first sale5,590 days (15.3 years)
Annual amendmentsIssuer reported the offering is not expected to last more than one year. No amendment for this offering in our index (filings 2008 → Oct 22, 2026; checked Oct 23, 2026, 5:45 PM ET).
Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn.
Investors3 total · issuer reported no non-accredited investors
Exemption claimedRule 506 (filed before Sept 2013, when 506 was split into 506(b) and 506(c))
Minimum investment accepted$0 as filed (no minimum reported)
Securities offeredEquity · business combination transaction
Entity detailsOrganized in DELAWARE · formed more than five years before filing · revenue range: Over $100,000,000 (state and year as reported on the issuer's latest filing)
As reported by the issuer on Form D (Items 1–2 and 5).
IndustryInvesting
Who is paid to sell itNo sales compensation recipients listed on this filing.
Money to insidersSales commissions: $0 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0
Signed byMaria Gray, Secretary (Jul 6, 2011)
Market contextNot computed — the exemption as filed is Rule 506 before the Sept 2013 split into 506(b) and 506(c) (see Exemption claimed); ranges are computed only for offerings claiming Rule 506(b) or 506(c), compared with the last 5 years of filings.
SourceThis filing on SEC EDGAR ↗ · retrieved from the SEC Form D bulk data set · PartnerFacts data last updated Oct 23, 2026, 5:45 PM ET

All Form D filings for this CIK on SEC EDGAR ↗. History: 0 new offerings in the last 12 months (new offering = a Form D that is not an amendment) · most recent filing May 1, 2018. Industry as reported, by offering: All 2 offerings reported: Investing (2011–2018).

Key people 24

Officers, directors and promoters the issuer itself named on its Form D. Tap a name for every other deal they are on.

NameRelationshipAddress stateOn filings (first → last)Also listed on
AS Alok SethiExecutive OfficerCAMay 1, 2018
on 1 of 2 filings
listed on the latest filing
—
CJ Charles E Johnson
person page: Charles E. Johnson
DirectorCAMay 1, 2018
on 1 of 2 filings
listed on the latest filing
4 other issuers
CR Chutta RatnathicamDirectorCAJul 6, 2011 → May 1, 2018
on 2 of 2 filings
listed on the latest filing
—
CT Craig S TyleExecutive OfficerCAJul 6, 2011 → May 1, 2018
on 2 of 2 filings
listed on the latest filing
1 other issuer
GY Geoffrey Y Yang
person page: Geoffrey Y. Yang
DirectorCAJul 6, 2011 → May 1, 2018
on 2 of 2 filings
listed on the latest filing
4 other issuers
GJ Gregory E Johnson, Jr.
also filed as Gregory E Johnson
Executive Officer, DirectorCAJul 6, 2011 → May 1, 2018
on 2 of 2 filings
listed on the latest filing
4 other issuers
JP Jed A Plafker
person page: Jed A. Plafker
Executive OfficerCAMay 1, 2018
on 1 of 2 filings
listed on the latest filing
3 other issuers
JJ Jennifer M Johnson
person page: Jennifer M. Johnson
Executive OfficerCAJul 6, 2011 → May 1, 2018
on 2 of 2 filings
listed on the latest filing
3 other issuers
KL Kenneth A LewisExecutive OfficerCAJul 6, 2011 → May 1, 2018
on 2 of 2 filings
listed on the latest filing
1 other issuer
LS Laura SteinDirectorCAJul 6, 2011 → May 1, 2018
on 2 of 2 filings
listed on the latest filing
—
MB Mariann ByerwalterDirectorCAMay 1, 2018
on 1 of 2 filings
listed on the latest filing
1 other issuer
MP Mark C PigottDirectorCAJul 6, 2011 → May 1, 2018
on 2 of 2 filings
listed on the latest filing
—
PB Peter K BarkerDirectorCAMay 1, 2018
on 1 of 2 filings
listed on the latest filing
—
RJ Rupert H Johnson
also filed as Rupert H Johnson, Jr. · person page: Rupert H Johnson, JR.
Executive Officer, DirectorCAJul 6, 2011 → May 1, 2018
on 2 of 2 filings
listed on the latest filing
1 other issuer
SW Seth WaughDirectorCAMay 1, 2018
on 1 of 2 filings
listed on the latest filing
2 other issuers
AT Anne TatlockDirectorCAJul 6, 2011
on 1 of 2 filings
not listed on the latest filing (May 1, 2018)
—
CJ Charles B JohnsonExecutive Officer, DirectorCAJul 6, 2011
on 1 of 2 filings
not listed on the latest filing (May 1, 2018)
—
CC Charles CrockerDirectorCAJul 6, 2011
on 1 of 2 filings
not listed on the latest filing (May 1, 2018)
6 other issuers
JL John M Lusk
person page: John M. Lusk
Executive OfficerCAJul 6, 2011
on 1 of 2 filings
not listed on the latest filing (May 1, 2018)
13 other issuers
JH Joseph R HardimanDirectorCAJul 6, 2011
on 1 of 2 filings
not listed on the latest filing (May 1, 2018)
—
PS Peter M SacerdoteDirectorCAJul 6, 2011
on 1 of 2 filings
not listed on the latest filing (May 1, 2018)
—
SA Samuel H Armacost
person page: Samuel H. Armacost
DirectorCAJul 6, 2011
on 1 of 2 filings
not listed on the latest filing (May 1, 2018)
1 other issuer
VA Vijay C Advani
person page: Vijay C. Advani
Executive OfficerCAJul 6, 2011
on 1 of 2 filings
not listed on the latest filing (May 1, 2018)
2 other issuers
WY William Y YunExecutive OfficerCAJul 6, 2011
on 1 of 2 filings
not listed on the latest filing (May 1, 2018)
—

Executive officers, directors and promoters as self-reported by the issuer, one row per person. Spellings of the same name (same first and last name, or the same full name that EDGAR split differently into middle and last name) with no conflicting middle initial are shown on one row (none on this issuer); dates and counts come from the filings that list each name. Licensed persons: FINRA BrokerCheck ↗ · SEC IAPD ↗. Middle names: the SEC Form D data set (RELATEDPERSONS.tsv) repeats the previous person's middle name into later rows of the same filing; where that happened PartnerFacts shows the name without the repeated middle name and keeps the data-set spelling on record (Alok A Sethi; Chutta C Ratnathicam; Laura M Stein; Laura C Stein; Mariann K Byerwalter; Seth C Waugh; Anne M Tatlock; Charles H Crocker) — the filing on EDGAR is the source.

Connections

Other issuers listing the same people (showing 40 of 46):

Shared address: this business address appears on no other issuer's filings in our index. As of Oct 23, 2026, 5:45 PM ET.

Other offering types (Regulation A and Regulation Crowdfunding)

Searched SEC Regulation A Data Sets (Forms 1-A, 1-K, 1-Z; 2015 Q2 → 2026 Q3); SEC Crowdfunding Offerings Data Sets (Form C family; 2016 Q2 → 2026 Q3); EDGAR form index for 2026 Q3 → 2026 Q4 (51,358 records as of Oct 23, 2026, 8:41 PM ET) — nothing matched this name.

Adviser registration (Form ADV)

Searched SEC Form ADV bulk data (registered + exempt reporting advisers) (24,962 records as of Oct 2, 2026, 8:00 AM ET) — nothing matched FRANKLIN RESOURCES INC.

Meta advertising

No Meta Pixel ids or Facebook / Instagram page links on file for FRANKLIN RESOURCES INC as of Oct 24, 2026 — the sponsor website is read for them once it is on file (runs automatically). Meta Ad Library: not searched by PartnerFacts (no API access); a one-tap Ad Library search is under Look further.

Public profiles

Public profiles official links and public statements, each with its source and date

No website or social profile named in FRANKLIN RESOURCES INC's SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #254,512 of 374,652 in line (1,372 issuers searched so far).

Sources searched for a website: Form C data set (issuer websites as filed), Form ADV data set (Item 1.I of matched advisers) — as of Oct 23, 2026, 11:20 PM ET: none on file for this issuer. The sponsor website, the Internet Archive and GDELT news index are read only once a site is on file; a sponsor's website comes from the issuer's own filings (Form C issuer website; EDGAR company profile), an approved profile claim, Form ADV Item 1.I of its matched adviser, or a web search for the issuer name confirmed on the site's own homepage. We never collect personal or family accounts.

Entity standing: not checked (no official programmatic source for CA yet).

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