PDF Version

More documents

Recommendations

Info

Item 15.(a)(1)(a)(2)(a)(3)PART IVExhibits, Financial Statement Schedules.The financial statements filed as part of this report are listed in Item 8 of this Form 10-K.No financial statement schedules are required to be filed as part of this report because allsuch schedules have been omitted. Such omission has been made on the basis thatinformation is provided in the financial statements, or in the related notes thereto, in Item 8of this Form 10-K or is not required to be filed as the information is not applicable.Exhibits.Exhibit No.Description3(i)(a) Registrant’s Certificate of Incorporation, as filed November 28, 1969,incorporated by reference to Exhibit (3)(i) to the Registrant’s Annual Report onForm 10-K for the fiscal year ended September 30, 1994 (File No. 001-09318)(the “1994 Annual Report”)3(i)(b)3(i)(c)3(i)(d)3(i)(e)Registrant’s Certificate of Amendment of Certificate of Incorporation, as filedMarch 1, 1985, incorporated by reference to Exhibit 3(ii) to the 1994 AnnualReportRegistrant’s Certificate of Amendment of Certificate of Incorporation, as filedApril 1, 1987, incorporated by reference to Exhibit 3(iii) to the 1994 AnnualReportRegistrant’s Certificate of Amendment of Certificate of Incorporation, as filedFebruary 2, 1994, incorporated by reference to Exhibit 3(iv) to the 1994 AnnualReportRegistrant’s Certificate of Amendment of Certificate of Incorporation, as filedon February 4, 2005, incorporated by reference to Exhibit (3)(i)(e) to theRegistrant’s Quarterly Report on Form 10-Q for the period ended December 31,2004 (File No. 001-09318)3(ii) Registrant’s Amended and Restated By-laws (as adopted December 12, 2008and effective March 11, 2009), incorporated by reference to Exhibit 3.1 to theRegistrant’s Form 8-K filed with the SEC on December 17, 2008 (FileNo. 001-09318)4.1 Indenture between Franklin Resources, Inc. and The Bank of New York TrustCompany, N.A. (as successor to The Chase Manhattan Bank and ChemicalBank), as trustee, dated as of May 19, 1994, incorporated by reference to Exhibit4 to the Registrant’s Registration Statement on Form S-3 filed with the SEC onApril 14, 1994 (File No. 033-53147)4.2 Form of First Supplemental Indenture, dated October 9, 1996, between FranklinResources, Inc. and The Bank of New York Trust Company, N.A. (as successorto The Chase Manhattan Bank and Chemical Bank), as trustee, incorporated byreference to Exhibit 4.2 to the Registrant’s Registration Statement on From S-3filed with the SEC on October 4, 1996 (File No. 333-1201)10.1 Representative Form of Investment Management Agreement between FranklinAdvisers, Inc. and certain funds (filed herewith)114
Exhibit No.Description10.2 Representative Form of Subadvisory Agreement between Franklin Advisers,Inc. and Templeton Investment Counsel, LLC (filed herewith)10.3 Representative Form of Distribution Agreement between Franklin/TempletonDistributors, Inc. and certain funds (filed herewith)10.4 Representative 12b-1 Form of Amended and Restated Class A Distribution Planbetween Franklin/Templeton Distributors, Inc. and certain Franklin, Templetonand Mutual Series retail funds, incorporated by reference to Exhibit 10.1 to theRegistrant’s Quarterly Report on Form 10-Q for the period ended March 31,2009 (File No. 001-09318) (“March 2009 Quarterly Report”)10.5 Representative 12b-1 Form of Amended and Restated Class B Distribution Planbetween Franklin/Templeton Distributors, Inc. and certain Franklin, Templetonand Mutual Series retail funds (filed herewith)10.6 Representative 12b-1 Form of Amended and Restated Class C Distribution Planbetween Franklin/Templeton Distributors, Inc. and certain Franklin, Templetonand Mutual Series retail funds (filed herewith)10.7 Representative 12b-1 Form of Amended and Restated Class R Distribution Planbetween Franklin/Templeton Distributors, Inc. and certain Franklin, Templetonand Mutual Series retail funds (filed herewith)10.8 Representative 12b-1 Form of Amended and Restated Class 2, 3 and 4Distribution Plan between Franklin Templeton Variable Insurance ProductsTrust and Franklin/Templeton Distributors, Inc. (filed herewith)10.9 Representative Form of Amended and Restated Transfer Agent and ShareholderServices Agreement between Franklin Templeton Investor Services, LLC andcertain funds (filed herewith)10.10 Representative Form of Fund Administration Agreement between FranklinTempleton Services, LLC and certain funds (filed herewith)10.11 Representative Form of Multiple Class Plan on behalf of certain funds (filedherewith)10.12 Representative Form of Investment Management Agreement for SeparateAccount Clients (filed herewith)10.13 Representative Form of Investment Management with Custody Agreement forHigh Net-Worth Clients (filed herewith)10.14 Representative Form of Custody-Only Agreement for High-Net Worth Clients(filed herewith)10.15 Representative Form of Participation Agreement between Franklin TempletonVariable Insurance Products Trust, Franklin/Templeton Distributors, Inc. andcertain other parties (filed herewith)10.16 Representative Form of Participation Agreement Addendum between FranklinTempleton Variable Insurance Products Trust and certain other parties (filedherewith)115
Page 1 and 2:
G A I N F R O M O U R P E R S P E C
Page 3 and 4:
Letter to StockholdersGregory E. Jo
Page 5 and 6:
LETTER TO STOCKHOLDERSHaving announ
Page 7 and 8:
Directors and OfficersDirectorsChar
Page 9 and 10:
Performance GraphThe following perf
Page 11 and 12:
(MARK ONE)UNITED STATESSECURITIES A
Page 14 and 15:
operational and other services requ
Page 16 and 17:
A. Assets Under Management (“AUM
Page 18 and 19:
60 days. If agreements representing
Page 20 and 21:
Similar arrangements exist with the
Page 22 and 23:
We generally operate our institutio
Page 24 and 25:
Franklin Templeton Variable Insuran
Page 26 and 27:
CATEGORY(and approximate amount of
Page 28 and 29:
The following table sets forth the
Page 30 and 31:
Korea; the Commission de Surveillan
Page 32 and 33:
COMPETITIONThe financial services i
Page 34 and 35:
or other efforts successfully stabi
Page 36 and 37:
and, consequently, we are incurring
Page 38 and 39:
such as information, systems and te
Page 40 and 41:
like our business, is based in part
Page 42 and 43:
orrowing costs and limit our access
Page 44 and 45:
director of various subsidiaries of
Page 46 and 47:
PART IIItem 5. Market for Registran
Page 48 and 49:
OverviewWe are a global investment
Page 50 and 51:
Net income decreased in fiscal year
Page 52 and 53:
Investment Management Fee RateThe f
Page 54 and 55:
accounts closed in a calendar year
Page 56 and 57:
Information Systems, Technology and
Page 58 and 59:
Our investments in sponsored invest
Page 60 and 61:
At September 30, 2009, we had $355.
Page 62 and 63:
Off-Balance Sheet ArrangementsAs of
Page 64 and 65:
The fair value of retained subordin
Page 66 and 67:
Indefinite-lived intangible assets
Page 68 and 69:
the position will be sustained upon
Page 70 and 71:
Selected Quarterly Financial Data (
Page 72 and 73:
The following is a summary of the e
Page 74 and 75: Item 8.Financial Statements and Sup
Page 76 and 77: REPORT OF INDEPENDENT REGISTERED PU
Page 78 and 79: CONSOLIDATED BALANCE SHEETS(dollars
Page 80 and 81: CONSOLIDATED STATEMENTS OF STOCKHOL
Page 82 and 83: CONSOLIDATED STATEMENTS OF CASH FLO
Page 84 and 85: Fair Value Measurements. The Compan
Page 86 and 87: Company held interest-rate swap agr
Page 88 and 89: not performed. If the carrying valu
Page 90 and 91: Accumulated Other Comprehensive Inc
Page 92 and 93: acquisition cost was allocated to t
Page 94 and 95: FHLB borrowings and amounts availab
Page 96 and 97: The Company recognized other-than-t
Page 98 and 99: The changes in Level 3 assets measu
Page 100 and 101: Changes in the allowance for loan l
Page 102 and 103: Company sold retained subordinated
Page 104 and 105: Certain of the goodwill and intangi
Page 106 and 107: At September 30, 2009, maturities o
Page 108 and 109: The components of the net deferred
Page 110 and 111: At September 30, 2009, the banking/
Page 112 and 113: Total assets under management of in
Page 114 and 115: Stock OptionsThe following table su
Page 116 and 117: The following tables summarize info
Page 118 and 119: Operating revenues of the banking/f
Page 120 and 121: minimum Tier 1 and Total risk-based
Page 122 and 123: PART IIIItem 10. Directors, Executi
Page 126 and 127: Exhibit No.Description10.17 Represe
Page 128 and 129: Exhibit No.Description12 Computatio
Page 130 and 131: Exhibit No.DescriptionEXHIBIT INDEX
Page 132 and 133: Exhibit No.Description10.22 Amendme
Page 134 and 135: (dollars in thousands)COMPUTATION O
Page 136 and 137: NameState or Nation ofIncorporation
Page 138 and 139: CONSENT OF INDEPENDENT REGISTERED P
Page 140 and 141: EXHIBIT 31.2CERTIFICATIONI, Kenneth
Page 142 and 143: CERTIFICATION PURSUANT TO 18 U.S.C.
Page 144: One Franklin ParkwaySan Mateo, CA 9
show all

PDF Version

You also want an ePaper? Increase the reach of your titles

Delete template?

Save as template?