PDF Version
PDF Version PDF Version
Exhibit No.DescriptionEXHIBIT INDEX3(i)(a) Registrant’s Certificate of Incorporation, as filed November 28, 1969, incorporated byreference to Exhibit (3)(i) to the Registrant’s Annual Report on Form 10-K for the fiscal yearended September 30, 1994 (File No. 001-09318) (the “1994 Annual Report”)3(i)(b) Registrant’s Certificate of Amendment of Certificate of Incorporation, as filed March 1, 1985,incorporated by reference to Exhibit 3(ii) to the 1994 Annual Report3(i)(c) Registrant’s Certificate of Amendment of Certificate of Incorporation, as filed April 1, 1987,incorporated by reference to Exhibit 3(iii) to the 1994 Annual Report3(i)(d) Registrant’s Certificate of Amendment of Certificate of Incorporation, as filed February 2,1994, incorporated by reference to Exhibit 3(iv) to the 1994 Annual Report3(i)(e) Registrant’s Certificate of Amendment of Certificate of Incorporation, as filed on February 4,2005, incorporated by reference to Exhibit (3)(i)(e) to the Registrant’s Quarterly Report onForm 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, 2008 and effectiveMarch 11, 2009), incorporated by reference to Exhibit 3.1 to the Registrant’s Form 8-K filedwith the SEC on December 17, 2008 (File No. 001-09318)4.1 Indenture between Franklin Resources, Inc. and The Bank of New York Trust Company, N.A.(as successor to The Chase Manhattan Bank and Chemical Bank), as trustee, dated as of May19, 1994, incorporated by reference to Exhibit 4 to the Registrant’s Registration Statement onForm S-3 filed with the SEC on April 14, 1994 (File No. 033-53147)4.2 Form of First Supplemental Indenture, dated October 9, 1996, between Franklin Resources,Inc. and The Bank of New York Trust Company, N.A. (as successor to The Chase ManhattanBank and Chemical Bank), as trustee, incorporated by reference to Exhibit 4.2 to theRegistrant’s Registration Statement on From S-3 filed with the SEC on October 4, 1996 (FileNo. 333-1201)10.1 Representative Form of Investment Management Agreement between Franklin Advisers, Inc.and certain funds (filed herewith)10.2 Representative Form of Subadvisory Agreement between Franklin Advisers, Inc. andTempleton Investment Counsel, LLC (filed herewith)10.3 Representative Form of Distribution Agreement between Franklin/Templeton Distributors,Inc. and certain funds (filed herewith)10.4 Representative 12b-1 Form of Amended and Restated Class A Distribution Plan betweenFranklin/Templeton Distributors, Inc. and certain Franklin, Templeton and Mutual Seriesretail funds, incorporated by reference to Exhibit 10.1 to the Registrant’s Quarterly Report onForm 10-Q for the period ended March 31, 2009 (File No. 001-09318) (“March 2009Quarterly Report”)10.5 Representative 12b-1 Form of Amended and Restated Class B Distribution Plan betweenFranklin/Templeton Distributors, Inc. and certain Franklin, Templeton and Mutual Seriesretail funds (filed herewith)10.6 Representative 12b-1 Form of Amended and Restated Class C Distribution Plan betweenFranklin/Templeton Distributors, Inc. and certain Franklin, Templeton and Mutual Seriesretail funds (filed herewith)120
Exhibit No.Description10.7 Representative 12b-1 Form of Amended and Restated Class R Distribution Plan betweenFranklin/Templeton Distributors, Inc. and certain Franklin, Templeton and Mutual Seriesretail funds (filed herewith)10.8 Representative 12b-1 Form of Amended and Restated Class 2, 3 and 4 Distribution Planbetween Franklin Templeton Variable Insurance Products Trust and Franklin/TempletonDistributors, Inc. (filed herewith)10.9 Representative Form of Amended and Restated Transfer Agent and Shareholder ServicesAgreement between Franklin Templeton Investor Services, LLC and certain funds (filedherewith)10.10 Representative Form of Fund Administration Agreement between Franklin TempletonServices, LLC and certain funds (filed herewith)10.11 Representative Form of Multiple Class Plan on behalf of certain funds (filed herewith)10.12 Representative Form of Investment Management Agreement for Separate Account Clients(filed herewith)10.13 Representative Form of Investment Management with Custody Agreement for High Net-Worth Clients (filed herewith)10.14 Representative Form of Custody-Only Agreement for High-Net Worth Clients (filedherewith)10.15 Representative Form of Participation Agreement between Franklin Templeton VariableInsurance Products Trust, Franklin/Templeton Distributors, Inc. and certain other parties(filed herewith)10.16 Representative Form of Participation Agreement Addendum between Franklin TempletonVariable Insurance Products Trust and certain other parties (filed herewith)10.17 Representative Form of Form of Fund of Funds Subscription Agreement between FranklinTempleton Variable Insurance Products Trust and certain funds (filed herewith)10.18 Representative Form of Administrative Services Agreement between Franklin TempletonServices, LLC and certain insurance companies (filed herewith)10.19 Five Year Facility Credit Agreement dated as of June 10, 2005 among Franklin Resources,Inc., the Banks parties thereto, Bank of America, N.A. and The Bank of New York, as Co-Syndication Agents, Citibank, N.A. and BNP Paribas, as Co-Documentation Agents, andJPMorgan Chase Bank, N.A., as Administrative Agent, incorporated by reference to Exhibit10.1 to the Registrant’s Current Report on Form 8-K filed with the SEC on June 16, 2005(File No. 001-09318)10.20 Managed Operations Services Agreement between Franklin Templeton Companies, LLC, andInternational Business Machines Corporation dated February 6, 2001, incorporated byreference to Exhibit 10.56 to the Registrant’s Quarterly Report on Form 10-Q for the periodended March 31, 2001 (File No. 001-09318)10.21 Amendments dated July 2, 2001, June 10, 2002 and February 3, 2003 to the ManagedOperations Services Agreement dated February 6, 2001, between Franklin TempletonCompanies, LLC and International Business Machines Corporation, incorporated by referenceto Exhibit 10.69 to the Registrant’s Quarterly Report on Form 10-Q for the period endedMarch 31, 2003 (File No. 001-09318)121
- 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 124 and 125: Item 15.(a)(1)(a)(2)(a)(3)PART IVEx
- Page 126 and 127: Exhibit No.Description10.17 Represe
- Page 128 and 129: Exhibit No.Description12 Computatio
- 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
Exhibit No.DescriptionEXHIBIT INDEX3(i)(a) Registrant’s Certificate of Incorporation, as filed November 28, 1969, incorporated byreference to Exhibit (3)(i) to the Registrant’s Annual Report on Form 10-K for the fiscal yearended September 30, 1994 (File No. 001-09318) (the “1994 Annual Report”)3(i)(b) Registrant’s Certificate of Amendment of Certificate of Incorporation, as filed March 1, 1985,incorporated by reference to Exhibit 3(ii) to the 1994 Annual Report3(i)(c) Registrant’s Certificate of Amendment of Certificate of Incorporation, as filed April 1, 1987,incorporated by reference to Exhibit 3(iii) to the 1994 Annual Report3(i)(d) Registrant’s Certificate of Amendment of Certificate of Incorporation, as filed February 2,1994, incorporated by reference to Exhibit 3(iv) to the 1994 Annual Report3(i)(e) Registrant’s Certificate of Amendment of Certificate of Incorporation, as filed on February 4,2005, incorporated by reference to Exhibit (3)(i)(e) to the Registrant’s Quarterly Report onForm 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, 2008 and effectiveMarch 11, 2009), incorporated by reference to Exhibit 3.1 to the Registrant’s Form 8-K filedwith the SEC on December 17, 2008 (File No. 001-09318)4.1 Indenture between Franklin Resources, Inc. and The Bank of New York Trust Company, N.A.(as successor to The Chase Manhattan Bank and Chemical Bank), as trustee, dated as of May19, 1994, incorporated by reference to Exhibit 4 to the Registrant’s Registration Statement onForm S-3 filed with the SEC on April 14, 1994 (File No. 033-53147)4.2 Form of First Supplemental Indenture, dated October 9, 1996, between Franklin Resources,Inc. and The Bank of New York Trust Company, N.A. (as successor to The Chase ManhattanBank and Chemical Bank), as trustee, incorporated by reference to Exhibit 4.2 to theRegistrant’s Registration Statement on From S-3 filed with the SEC on October 4, 1996 (FileNo. 333-1201)10.1 Representative Form of Investment Management Agreement between Franklin Advisers, Inc.and certain funds (filed herewith)10.2 Representative Form of Subadvisory Agreement between Franklin Advisers, Inc. andTempleton Investment Counsel, LLC (filed herewith)10.3 Representative Form of Distribution Agreement between Franklin/Templeton Distributors,Inc. and certain funds (filed herewith)10.4 Representative 12b-1 Form of Amended and Restated Class A Distribution Plan betweenFranklin/Templeton Distributors, Inc. and certain Franklin, Templeton and Mutual Seriesretail funds, incorporated by reference to Exhibit 10.1 to the Registrant’s Quarterly Report onForm 10-Q for the period ended March 31, 2009 (File No. 001-09318) (“March 2009Quarterly Report”)10.5 Representative 12b-1 Form of Amended and Restated Class B Distribution Plan betweenFranklin/Templeton Distributors, Inc. and certain Franklin, Templeton and Mutual Seriesretail funds (filed herewith)10.6 Representative 12b-1 Form of Amended and Restated Class C Distribution Plan betweenFranklin/Templeton Distributors, Inc. and certain Franklin, Templeton and Mutual Seriesretail funds (filed herewith)120
Change language