BEN

SEC source: 0001127602-24-019750 · form4.xml · derivative · entry 1

King Karen Matsushima · CIK 0001870975 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,937.7588

Underlying: Common Stock, par value $.10 · 1,434.704 shares

Expires not disclosed

F1 · derivative.exercise_price: Not applicable.

F2 · derivative.exercise_date: Exercisable and expiration dates assume the director's separation from service from Franklin Resources, Inc. and its subsidiaries occurs in the February following the director's 75th birthday. See footnote below.

F2 · derivative.expiration_date: Exercisable and expiration dates assume the director's separation from service from Franklin Resources, Inc. and its subsidiaries occurs in the February following the director's 75th birthday. See footnote below.

F3 · derivative.expiration_date: Expiration Date is 01/20/2058.

F4 · ownership.direct: Represents a hypothetical investment account calculation of deferred Franklin Resources, Inc.'s director's fees, under the 2006 Directors Deferred Compensation Plan, based upon the performance of Franklin Resources, Inc.'s stock (including reinvested dividends) payable in cash in substantially equal quarterly installments over ten years beginning on the earlier of the January 20, April 20, July 20 or October 20 immediately following the director's separation from service from Franklin Resources, Inc. and its subsidiaries and continuing on each January 20, April 20, July 20 and October 20 thereafter, except that if any such date is a Saturday, Sunday or holiday, then the quarterly installment shall be paid on the next business day. Reporting Person may transfer the hypothetical investment account amount into an alternative investment account not based on the performance of Franklin Resources, Inc. stock effective as of the first day of any calendar quarter.

SEC source: 0001127602-24-019494 · form4.xml · derivative · entry 1

King Karen Matsushima · CIK 0001870975 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 34,503.0548

Underlying: Common Stock, par value $.10 · 221.9263 shares

Expires not disclosed

F1 · derivative.exercise_price: Not applicable.

F2 · derivative.exercise_date: Exercisable and expiration dates assume the director's separation from service from Franklin Resources, Inc. and its subsidiaries occurs in the February following the director's 75th birthday. See footnote below.

F2 · derivative.expiration_date: Exercisable and expiration dates assume the director's separation from service from Franklin Resources, Inc. and its subsidiaries occurs in the February following the director's 75th birthday. See footnote below.

F3 · derivative.expiration_date: Expiration Date is 01/20/2058.

F4 · ownership.direct: Represents a hypothetical investment account calculation of deferred Franklin Resources, Inc.'s director's fees, under the 2006 Directors Deferred Compensation Plan, based upon the performance of Franklin Resources, Inc.'s stock (including reinvested dividends) payable in cash in substantially equal quarterly installments over ten years beginning on the earlier of the January 20, April 20, July 20 or October 20 immediately following the director's separation from service from Franklin Resources, Inc. and its subsidiaries and continuing on each January 20, April 20, July 20 and October 20 thereafter, except that if any such date is a Saturday, Sunday or holiday, then the quarterly installment shall be paid on the next business day. Reporting Person may transfer the hypothetical investment account amount into an alternative investment account not based on the performance of Franklin Resources, Inc. stock effective as of the first day of any calendar quarter.

SEC source: 0001127602-24-019283 · form4.xml · nonDerivative · entry 1

JOHNSON CHARLES B · CIK 0000936567 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 89,108,192

F1 · shares: Reporting Person received the shares as annuity payments from the independent trustee of separate irrevocable grantor retained annuity trusts for estate planning purposes.

F2 · price: Not applicable.

SEC source: 0001127602-24-019137 · form4.xml · nonDerivative · entry 1

JOHNSON CHARLES B · CIK 0000936567 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 88,703,192

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $22.685 to $22.915, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff on the Securities Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

SEC source: 0001127602-24-018933 · form4.xml · nonDerivative · entry 1

JOHNSON CHARLES B · CIK 0000936567 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 88,503,192

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $22.105 to $22.425, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff on the Securities Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

SEC source: 0001127602-24-018554 · form4.xml · nonDerivative · entry 2

JOHNSON JENNIFER M · CIK 0001010270 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Indirect · By Children or As Trustee For Children

Disclosed balance after: 560,259

F1 · price: Not applicable.

F2 · balance_after: Omits 3,456 shares previously reported as trustee for nephews.

F3 · ownership.nature: Shares held by Reporting Person's children or by Reporting Person as trustee for her children. Reporting Person disclaims beneficial ownership of such shares.

SEC source: 0001127602-24-018554 · form4.xml · nonDerivative · entry 1

JOHNSON JENNIFER M · CIK 0001010270 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,460,026.8354

F1 · price: Not applicable.

SEC source: 0001127602-24-011796 · form4.xml · derivative · entry 1

Kim John Y · CIK 0001547987 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 41,521.2194

Underlying: Common Stock, par value $.10 · 1,122.375 shares

Expires 2036-04-20

F1 · derivative.exercise_price: Not applicable.

F2 · derivative.exercise_date: Exercisable and expiration dates assume the director's separation from service from Franklin Resources, Inc. and its subsidiaries occurs in the February following the director's 75th birthday. See footnote below.

F2 · derivative.expiration_date: Exercisable and expiration dates assume the director's separation from service from Franklin Resources, Inc. and its subsidiaries occurs in the February following the director's 75th birthday. See footnote below.

F3 · ownership.direct: Represents a hypothetical investment account calculation of deferred Franklin Resources Inc.'s director's fees, under the 2006 Director Deferred Compensation Plan, based upon the performance of Franklin Resources Inc.'s stock (including reinvested dividends) payable in one payment following the director's separation from service from Franklin Resources, Inc. and its subsidiaries. Reporting Person may transfer the hypothetical investment account amount into an alternative investment account(s) not based on the performance of Franklin Resources, Inc. stock effective as of the first day of any calendar quarter.

SEC source: 0001127602-24-011795 · form4.xml · derivative · entry 1

King Karen Matsushima · CIK 0001870975 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 33,881.7975

Underlying: Common Stock, par value $.10 · 1,149.5293 shares

Expires not disclosed

F1 · derivative.exercise_price: Not applicable.

F2 · derivative.exercise_date: Exercisable and expiration dates assume the director's separation from service from Franklin Resources, Inc. and its subsidiaries occurs in the February following the director's 75th birthday. See footnote below.

F2 · derivative.expiration_date: Exercisable and expiration dates assume the director's separation from service from Franklin Resources, Inc. and its subsidiaries occurs in the February following the director's 75th birthday. See footnote below.

F3 · derivative.expiration_date: Expiration Date is 01/20/2058.

F4 · ownership.direct: Represents a hypothetical investment account calculation of deferred Franklin Resources, Inc.'s director's fees, under the 2006 Directors Deferred Compensation Plan, based upon the performance of Franklin Resources, Inc.'s stock (including reinvested dividends) payable in cash in substantially equal quarterly installments over ten years beginning on the earlier of the January 20, April 20, July 20 or October 20 immediately following the director's separation from service from Franklin Resources, Inc. and its subsidiaries and continuing on each January 20, April 20, July 20 and October 20 thereafter, except that if any such date is a Saturday, Sunday or holiday, then the quarterly installment shall be paid on the next business day. Reporting Person may transfer the hypothetical investment account amount into an alternative investment account not based on the performance of Franklin Resources, Inc. stock effective as of the first day of any calendar quarter.

SEC source: 0001127602-24-003726 · form4.xml · nonDerivative · entry 1

Byerwalter Mariann H · CIK 0001233561 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Trust

Disclosed balance after: 17,817

F1 · shares: Shares represent a grant of common stock under Franklin Resources, Inc.'s 2002 Universal Stock Incentive Plan, as amended and restated.

F2 · ownership.nature: Revocable family trust for which Reporting Person is sole trustee with voting and investment power.

SEC source: 0001127602-24-003722 · form4.xml · nonDerivative · entry 1

Noto Anthony · CIK 0001613438 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,188

F1 · shares: Shares represent a grant of common stock under Franklin Resources, Inc.'s 2002 Universal Stock Incentive Plan, as amended and restated.

SEC source: 0001127602-24-003720 · form4.xml · nonDerivative · entry 1

Thiel John W · CIK 0001843873 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,828

F1 · shares: Shares represent a grant of common stock under Franklin Resources, Inc.'s 2002 Universal Stock Incentive Plan, as amended and restated.

SEC source: 0001127602-24-003717 · form4.xml · nonDerivative · entry 1

YANG GEOFFREY Y · CIK 0001201592 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 57,100

F1 · shares: Shares represent a grant of common stock under Franklin Resources, Inc.'s 2002 Universal Stock Incentive Plan, as amended and restated.

SEC source: 0001127602-24-003716 · form4.xml · derivative · entry 1

Friedman Alexander S · CIK 0001843874 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,407.8371

Underlying: Common Stock, par value $.10 · 7,322.5685 shares

Expires 2046-04-20

F1 · derivative.exercise_price: Not applicable.

F2 · derivative.exercise_date: Exercisable and expiration dates assume the director's separation from service from Franklin Resources, Inc. and its subsidiaries occurs in the February following the director's 75th birthday. See footnote below.

F2 · derivative.expiration_date: Exercisable and expiration dates assume the director's separation from service from Franklin Resources, Inc. and its subsidiaries occurs in the February following the director's 75th birthday. See footnote below.

F3 · ownership.direct: Represents a hypothetical investment account calculation of deferred Franklin Resources Inc.'s director's fees, under the 2006 Director Deferred Compensation Plan, based upon the performance of Franklin Resources Inc.'s stock (including reinvested dividends) payable in one payment following the director's separation from service from Franklin Resources, Inc. and its subsidiaries. Reporting Person may transfer the hypothetical investment account amount into an alternative investment account(s) not based on the performance of Franklin Resources, Inc. stock effective as of the first day of any calendar quarter.

SEC source: 0001127602-24-003713 · form4.xml · derivative · entry 1

Kim John Y · CIK 0001547987 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,398.8444

Underlying: Common Stock, par value $.10 · 7,322.5685 shares

Expires 2036-04-20

F1 · derivative.exercise_price: Not applicable.

F2 · derivative.exercise_date: Exercisable and expiration dates assume the director's separation from service from Franklin Resources, Inc. and its subsidiaries occurs in the February following the director's 75th birthday. See footnote below.

F2 · derivative.expiration_date: Exercisable and expiration dates assume the director's separation from service from Franklin Resources, Inc. and its subsidiaries occurs in the February following the director's 75th birthday. See footnote below.

F3 · ownership.direct: Represents a hypothetical investment account calculation of deferred Franklin Resources Inc.'s director's fees, under the 2006 Director Deferred Compensation Plan, based upon the performance of Franklin Resources Inc.'s stock (including reinvested dividends) payable in one payment following the director's separation from service from Franklin Resources, Inc. and its subsidiaries. Reporting Person may transfer the hypothetical investment account amount into an alternative investment account(s) not based on the performance of Franklin Resources, Inc. stock effective as of the first day of any calendar quarter.

SEC source: 0001127602-24-003711 · form4.xml · derivative · entry 1

King Karen Matsushima · CIK 0001870975 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 32,732.2682

Underlying: Common Stock, par value $.10 · 7,322.5685 shares

Expires not disclosed

F1 · derivative.exercise_price: Not applicable.

F2 · derivative.exercise_date: Exercisable and expiration dates assume the director's separation from service from Franklin Resources, Inc. and its subsidiaries occurs in the February following the director's 75th birthday. See footnote below.

F2 · derivative.expiration_date: Exercisable and expiration dates assume the director's separation from service from Franklin Resources, Inc. and its subsidiaries occurs in the February following the director's 75th birthday. See footnote below.

F3 · derivative.expiration_date: Expiration Date is 01/20/2058.

F4 · ownership.direct: Represents a hypothetical investment account calculation of deferred Franklin Resources, Inc.'s director's fees, under the 2006 Directors Deferred Compensation Plan, based upon the performance of Franklin Resources, Inc.'s stock (including reinvested dividends) payable in cash in substantially equal quarterly installments over ten years beginning on the earlier of the January 20, April 20, July 20 or October 20 immediately following the director's separation from service from Franklin Resources, Inc. and its subsidiaries and continuing on each January 20, April 20, July 20 and October 20 thereafter, except that if any such date is a Saturday, Sunday or holiday, then the quarterly installment shall be paid on the next business day. Reporting Person may transfer the hypothetical investment account amount into an alternative investment account not based on the performance of Franklin Resources, Inc. stock effective as of the first day of any calendar quarter.

SEC source: 0001127602-24-003708 · form4.xml · derivative · entry 1

Waugh Seth H. · CIK 0001635962 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,407.8371

Underlying: Common Stock, par value $.10 · 7,322.5685 shares

Expires 2034-04-20

F1 · derivative.exercise_price: Not applicable.

F2 · derivative.exercise_date: Exercisable and expiration dates assume the director's separation from service from Franklin Resources, Inc. and its subsidiaries occurs in the February following the director's 75th birthday. See footnote below.

F2 · derivative.expiration_date: Exercisable and expiration dates assume the director's separation from service from Franklin Resources, Inc. and its subsidiaries occurs in the February following the director's 75th birthday. See footnote below.

F3 · ownership.direct: Represents a hypothetical investment account calculation of deferred Franklin Resources Inc.'s director's fees, under the 2006 Director Deferred Compensation Plan, based upon the performance of Franklin Resources Inc.'s stock (including reinvested dividends) payable in one payment following the director's separation from service from Franklin Resources, Inc. and its subsidiaries. Reporting Person may transfer the hypothetical investment account amount into an alternative investment account(s) not based on the performance of Franklin Resources, Inc. stock effective as of the first day of any calendar quarter.

SEC source: 0001127602-24-001326 · form4.xml · nonDerivative · entry 1

JOHNSON GREGORY E · CIK 0001010262 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,184,437

F1 · price: Not applicable.

SEC source: 0001127602-24-000472 · form4.xml · derivative · entry 1

King Karen Matsushima · CIK 0001870975 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,135.3353

Underlying: Common Stock, par value $.10 · 1,083.9876 shares

Expires not disclosed

F1 · derivative.exercise_price: Not applicable.

F2 · derivative.exercise_date: Exercisable and expiration dates assume the director's separation from service from Franklin Resources, Inc. and its subsidiaries occurs in the February following the director's 75th birthday. See footnote below.

F2 · derivative.expiration_date: Exercisable and expiration dates assume the director's separation from service from Franklin Resources, Inc. and its subsidiaries occurs in the February following the director's 75th birthday. See footnote below.

F3 · derivative.expiration_date: Expiration Date is 01/20/2058.

F4 · ownership.direct: Represents a hypothetical investment account calculation of deferred Franklin Resources, Inc.'s director's fees, under the 2006 Directors Deferred Compensation Plan, based upon the performance of Franklin Resources, Inc.'s stock (including reinvested dividends) payable in cash in substantially equal quarterly installments over ten years beginning on the earlier of the January 20, April 20, July 20 or October 20 immediately following the director's separation from service from Franklin Resources, Inc. and its subsidiaries and continuing on each January 20, April 20, July 20 and October 20 thereafter, except that if any such date is a Saturday, Sunday or holiday, then the quarterly installment shall be paid on the next business day. Reporting Person may transfer the hypothetical investment account amount into an alternative investment account not based on the performance of Franklin Resources, Inc. stock effective as of the first day of any calendar quarter.

SEC source: 0001127602-24-000396 · form4.xml · derivative · entry 1

Kim John Y · CIK 0001547987 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 32,719.1305

Underlying: Common Stock, par value $.10 · 1,058.3816 shares

Expires 2036-04-20

F1 · derivative.exercise_price: Not applicable.

F2 · derivative.exercise_date: Exercisable and expiration dates assume the director's separation from service from Franklin Resources, Inc. and its subsidiaries occurs in the February following the director's 75th birthday. See footnote below.

F2 · derivative.expiration_date: Exercisable and expiration dates assume the director's separation from service from Franklin Resources, Inc. and its subsidiaries occurs in the February following the director's 75th birthday. See footnote below.

F3 · ownership.direct: Represents a hypothetical investment account calculation of deferred Franklin Resources Inc.'s director's fees, under the 2006 Director Deferred Compensation Plan, based upon the performance of Franklin Resources Inc.'s stock (including reinvested dividends) payable in one payment following the director's separation from service from Franklin Resources, Inc. and its subsidiaries. Reporting Person may transfer the hypothetical investment account amount into an alternative investment account(s) not based on the performance of Franklin Resources, Inc. stock effective as of the first day of any calendar quarter.

SEC source: 0001127602-23-030382 · form4.xml · nonDerivative · entry 1

JOHNSON CHARLES B · CIK 0000936567 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 88,403,192

F1 · price: Not applicable.

SEC source: 0001127602-23-030260 · form4.xml · nonDerivative · entry 1

JOHNSON GREGORY E · CIK 0001010262 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,186,939

F1 · price: Not applicable.

SEC source: 0001127602-23-029642 · form4.xml · nonDerivative · entry 1

Sethi Alok · CIK 0001718985 · EVP, Head of Global Operations

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 70,481.0643

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $29.22 to $29.3164, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff on the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

SEC source: 0001127602-23-029648 · form4.xml · nonDerivative · entry 5

JOHNSON JENNIFER M · CIK 0001010270 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Indirect · By Children or As Trustee For Children/Nephews

Disclosed balance after: 464,215

F1 · price: Not applicable.

F2 · ownership.nature: Shares held by Reporting Person's children or by Reporting Person as trustee for her children/nephews. Reporting Person disclaims beneficial ownership of such shares.

SEC source: 0001127602-23-029648 · form4.xml · nonDerivative · entry 4

JOHNSON JENNIFER M · CIK 0001010270 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,559,505.4834

F1 · price: Not applicable.

SEC source: 0001127602-23-029647 · form4.xml · nonDerivative · entry 3

JOHNSON GREGORY E · CIK 0001010262 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Indirect · By Children or As Trustee For Children

Disclosed balance after: 249,765

F1 · price: Not applicable.

F3 · ownership.nature: Shares held by Reporting Person's children or by Reporting Person as trustee for his children. Reporting Person disclaims beneficial ownership of such shares.

SEC source: 0001127602-23-029647 · form4.xml · nonDerivative · entry 2

JOHNSON GREGORY E · CIK 0001010262 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Indirect · By Spouse

Disclosed balance after: 25,119

F1 · price: Not applicable.

F2 · ownership.nature: Shares held by Reporting Person's spouse. Reporting Person disclaims beneficial ownership of such shares.

SEC source: 0001127602-23-029647 · form4.xml · nonDerivative · entry 1

JOHNSON GREGORY E · CIK 0001010262 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,416,020

F1 · price: Not applicable.

SEC source: 0001127602-23-029611 · form4.xml · nonDerivative · entry 1

JOHNSON CHARLES B · CIK 0000936567 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 89,083,192

F1 · price: Not applicable.

SEC source: 0001127602-23-029295 · form4.xml · nonDerivative · entry 1

Spector Adam Benjamin · CIK 0001679191 · EVP, Head Global Distribution

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 620,073

F1 · balance_after: Of the amount of securities beneficially owned, 433,118 shares represent unvested restricted stock units.

SEC source: 0001127602-23-028886 · form4.xml · nonDerivative · entry 2

Sethi Alok · CIK 0001718985 · EVP, Head of Global Operations

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 92,481.0643

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $25.33 to $25.43, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff on the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F3 · balance_after: Of the amount of securities beneficially owned, 67,946 shares represent unvested restricted stock units.

SEC source: 0001127602-23-028839 · form4.xml · nonDerivative · entry 1

JOHNSON JENNIFER M · CIK 0001010270 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,562,475.4834

F1 · shares: Reflects payment of tax liability by withholding securities incident to the vesting of a security issued in accordance with Rule 16b-3.

F2 · balance_after: Of the amount of securities beneficially owned, 613,696 shares represent unvested restricted stock units.

SEC source: 0001127602-23-028886 · form4.xml · nonDerivative · entry 1

Sethi Alok · CIK 0001718985 · EVP, Head of Global Operations

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 117,481.0643

F1 · shares: Reflects payment of tax liability by withholding securities incident to the vesting of a security issued in accordance with Rule 16b-3.

SEC source: 0001127602-23-028882 · form4a.xml · nonDerivative · entry 1

JOHNSON JENNIFER M · CIK 0001010270 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,562,475.4834

F1 · shares: Reflects payment of tax liability by withholding securities incident to the vesting of a security issued in accordance with Rule 16b-3.

F2 · balance_after: Of the amount of securities beneficially owned, 613,696 shares represent unvested restricted stock units.

SEC source: 0001127602-23-028836 · form4.xml · nonDerivative · entry 1

JOHNSON GREGORY E · CIK 0001010262 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,414,868

F1 · shares: Reflects payment of tax liability by withholding securities incident to the vesting of a security issued in accordance with Rule 16b-3.

F2 · balance_after: Of the amount of securities beneficially owned, 67,203 shares represent unvested restricted stock units.

SEC source: 0001127602-23-028835 · form4.xml · nonDerivative · entry 1

Shaneyfelt Gwen L · CIK 0001772077 · Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 99,731.9074

F1 · shares: Reflects payment of tax liability by withholding securities incident to the vesting of a security issued in accordance with Rule 16b-3.

F2 · balance_after: Of the amount of securities beneficially owned, 46,543 shares represent unvested restricted stock and stock unit awards.

SEC source: 0001127602-23-028833 · form4.xml · nonDerivative · entry 1

Nicholls Matthew · CIK 0001773856 · EVP, CFO & COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 384,668

F1 · shares: Reflects payment of tax liability by withholding securities incident to the vesting of a security issued in accordance with Rule 16b-3.

F2 · balance_after: Of the amount of securities beneficially owned, 219,910 shares represent unvested restricted stock units.

SEC source: 0001127602-23-028831 · form4.xml · nonDerivative · entry 1

Merchant Thomas C · CIK 0001573664 · EVP, General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 52,278

F1 · shares: Reflects payment of tax liability by withholding securities incident to the vesting of a security issued in accordance with Rule 16b-3.

F2 · balance_after: Of the amount of securities beneficially owned, 36,201 shares represent unvested restricted stock units.

SEC source: 0001127602-23-028830 · form4.xml · nonDerivative · entry 1

Spector Adam Benjamin · CIK 0001679191 · EVP, Head Global Distribution

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 325,839

F1 · shares: Reflects payment of tax liability by withholding securities incident to the vesting of a security issued in accordance with Rule 16b-3.

F2 · balance_after: Of the amount of securities beneficially owned, 138,884 shares represent unvested restricted stock units.

SEC source: 0001127602-23-029648 · form4.xml · nonDerivative · entry 3

JOHNSON JENNIFER M · CIK 0001010270 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,597,983.4834

F1 · price: Not applicable.

SEC source: 0001127602-23-029648 · form4.xml · nonDerivative · entry 2

JOHNSON JENNIFER M · CIK 0001010270 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Indirect · By Children or As Trustee For Children/Nephews

Disclosed balance after: 454,999

F1 · price: Not applicable.

F2 · ownership.nature: Shares held by Reporting Person's children or by Reporting Person as trustee for her children/nephews. Reporting Person disclaims beneficial ownership of such shares.

SEC source: 0001127602-23-029648 · form4.xml · nonDerivative · entry 1

JOHNSON JENNIFER M · CIK 0001010270 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,598,670.4834

F1 · price: Not applicable.

SEC source: 0001127602-23-026874 · form4.xml · nonDerivative · entry 2

Merchant Thomas C · CIK 0001573664 · EVP, General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 54,376

F1 · shares: On November 3, 2022, the Reporting Person was granted certain restricted stock units subject to vesting over a three-year period based upon satisfaction of certain performance criteria. On November 2, 2023, the Issuer's Compensation Committee certified that certain performance criteria with respect to the Issuer's fiscal year ended September 30, 2023 were achieved, and therefore the amount of shares reported in Column 4 are scheduled to vest on December 1, 2023.

F2 · price: Not applicable.

F3 · balance_after: Of the amount of securities beneficially owned, 36,201 shares represent unvested restricted stock unit awards (which excludes the unvested restricted stock units scheduled to vest on December 1, 2023 as reported in Footnote 1).

SEC source: 0001127602-23-026874 · form4.xml · nonDerivative · entry 1

Merchant Thomas C · CIK 0001573664 · EVP, General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 49,915

SEC source: 0001127602-23-026877 · form4.xml · nonDerivative · entry 2

JOHNSON GREGORY E · CIK 0001010262 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,433,262

F1 · shares: On November 5, 2020, November 8, 2021 and November 3, 2022, the Reporting Person was granted certain restricted stock units subject to vesting over a three-year period based upon satisfaction of certain performance criteria. On November 2, 2023, the Issuer's Compensation Committee certified that certain performance criteria with respect to the Issuer's fiscal year ended September 30, 2023 were achieved, and therefore the amount of shares reported in Column 4 are scheduled to vest on December 1, 2023.

F2 · price: Not applicable.

F3 · balance_after: Of the amount of securities beneficially owned, 67,203 shares represent unvested restricted stock unit awards (which excludes the unvested restricted stock units scheduled to vest on December 1, 2023 as reported in Footnote 1).

SEC source: 0001127602-23-026877 · form4.xml · nonDerivative · entry 1

JOHNSON GREGORY E · CIK 0001010262 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,396,166

SEC source: 0001127602-23-026876 · form4.xml · nonDerivative · entry 1

Murphy Terrence · CIK 0001338258 · EVP, Head of Public Markets

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 106,224

F1 · balance_after: Of the amount of securities beneficially owned, 98,737 shares represent unvested restricted stock unit awards.

SEC source: 0001127602-23-026875 · form4.xml · nonDerivative · entry 2

Nicholls Matthew · CIK 0001773856 · EVP, CFO & COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 412,035

F1 · shares: On November 5, 2020, November 8, 2021 and November 3, 2022 the Reporting Person was granted certain restricted stock units subject to vesting over a three-year period based upon satisfaction of certain performance criteria. On November 2, 2023, the Issuer's Compensation Committee certified that certain performance criteria with respect to the Issuer's fiscal year ended September 30, 2023 were achieved, and therefore the amount of shares reported in Column 4 are scheduled to vest on December 1, 2023.

F2 · price: Not applicable.

F3 · balance_after: Of the amount of securities beneficially owned, 219,910 shares represent unvested restricted stock unit awards (which excludes the unvested restricted stock units scheduled to vest on December 1, 2023 as reported in Footnote 1).

SEC source: 0001127602-23-026875 · form4.xml · nonDerivative · entry 1

Nicholls Matthew · CIK 0001773856 · EVP, CFO & COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 362,551

SEC source: 0001127602-23-026873 · form4.xml · nonDerivative · entry 1

Sethi Alok · CIK 0001718985 · EVP, Head of Global Operations

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 120,649.0643

F1 · balance_after: Of the amount of securities beneficially owned, 76,225 shares represent unvested restricted stock unit awards.