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CATEGORY(and approximate amount of assets undermanagement, as of September 30, 2009)In BillionsINVESTMENT CLASSIFICATIONB. Balanced Funds ($0.1) Invest in a specific mix of equitysecurities and bonds with the three-partobjective of conserving principal,providing income, and achieving longtermgrowth of both principal and income.C. Flexible Portfolio Funds ($1.4) Invest in various asset classes including,but not limited to, equities, fixed-incomesecurities, and money market instruments.D. Income-Mixed Funds ($55.3) Invest in a variety of income-producingsecurities, including equities and fixedincomeinstruments.III. TAXABLE BOND FUNDS ($46.2)A. High Yield Funds ($3.1) Invest two-thirds or more of theirportfolios in lower-rated U.S. corporatebonds (Baa or lower by Moody’s andBBB or lower by Standard & Poor’srating services).B. World Bond Funds ($22.9) Invest in debt securities offered by non-U.S. companies and governments.1. Global Bond Funds:GeneralInvest in debt securities worldwide withno stated average maturity or an averagematurity of five years or more.Invest in debt securities worldwide withan average maturity of one to five years.2. Global Bond Funds:Short-Term3. Other World Bond Funds Invest in non-U.S. government andcorporate debt instruments.C. Government Bond Funds ($12.1) Invest in U.S. government bonds ofvarying maturities.1. Government Bond Funds:Intermediate Term2. Government Bond Funds:Short-TermInvest two-thirds or more of theirportfolios in U.S. government securitieswith an average maturity of five to tenyears.Invest two-thirds or more of theirportfolios in U.S. government securitieswith an average maturity of one to fiveyears.3. Mortgage-Backed Funds Invest two-thirds or more of theirportfolios in pooled mortgage-backedsecurities.D. Strategic Income Funds ($6.7) Invest in a combination of U.S. fixedincomesecurities.E. Corporate Bond Funds ($1.4) Seek current income by investing in highqualitydebt securities issued by U.S.corporations.1. Corporate Bond Funds:Short-TermInvest two-thirds or more of theirportfolios in U.S. corporate bonds with anaverage maturity of one to five years.NO. OFMUTUALFUNDSNO. OFINSURANCEPRODUCTFUNDS1 02 03 11 13 21 01 00 11 03 04 11 016
CATEGORY(and approximate amount of assets undermanagement, as of September 30, 2009)In BillionsINVESTMENT CLASSIFICATIONIV. TAX-FREE BOND FUNDS ($65.2)A. State Municipal Bond Funds ($43.7) Invest mainly in municipal bondsissued by a particular state.1. State Municipal Bond Funds:GeneralInvest mainly in single-state municipalbonds with an average maturity ofgreater than five years or no specificstated maturity. The income from thesefunds is largely exempt from federal aswell as state income tax for residents ofthe state.B. National Municipal Bond Funds ($21.5) Invest mainly in bonds of variousmunicipal issuers in the United States.1. National Municipal Bond Funds:General2. National Municipal Bond Funds:Short-TermInvest mainly in municipal bonds withan average maturity of more than fiveyears or no specific stated maturity.Invest mainly in municipal bonds withan average maturity of one to fiveyears.V. CASH MANAGEMENT FUNDS ($5.0)A. Taxable Cash Management Funds ($4.2) Invest in short-term, high-grade moneymarket securities with averagematurities of 90 days of less.1. Taxable Cash Management Funds:Non-GovernmentB. Tax-Exempt Cash Management Funds($0.8)1. National Tax-Exempt CashManagement Funds2. State Tax-Exempt Cash ManagementFundsInvest mainly in a variety of moneymarket instruments, includingcertificates of deposit from largerbanks, commercial paper, and bankers’acceptances.Invest in short-term municipalsecurities with average maturities of 90days or less.Invest in short-term securities ofvarious U.S. municipal issuers.Invest mainly in a variety of short-termsecurities of municipal issuers in asingle state to achieve tax-free incomefor residents of the state.NO. OFMUTUALFUNDSNO. OFINSURANCEPRODUCTFUNDS28 04 01 05 01 01 017
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 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 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 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
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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
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