Form 4 for FT FRANKLIN UNIVERSAL TRUST

Accepted 2023-09-19 00:00:00 ET · period of report 2023-09-15 · accession 0000905148-23-000942 · SEC index · Original document

Summary rows

Aggregated the way they appear in lists: one row per insider, transaction code and security table.

X	Filed	Traded	Ticker	Insider	Title	Type	Price	Qty	Owned	ΔOwn	Value
MI	2023-09-19	2023-09-15	FT	MetLife Investment Management, LLC	10%	J - Other	—	-65.00M	0	-100%	—

Purchase Sale Sale after option exercise All abbreviations

Every reported transaction

#	Table	Security	Date	Code	A/D	Shares	Price	Own	Exercise / expiry	Underlying	Footnotes
1	Common	3.91% Senior Fixed Rate Notes Due September 15, 2023	2023-09-15	J	D	5,000,000	—	I See Footnotes	—	—	(F1) These 3.91% Senior Fixed Rate Notes Due September 15, 2023 ("Senior Fixed Rate Notes") matured on September 15, 2023, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder. (F3) The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose. (F2) These Senior Fixed Rate Notes are held directly by clients for whom the Reporting Person serves as investment manager.
2	Common	3.91% Senior Fixed Rate Notes Due September 15, 2023	2023-09-15	J	D	10,000,000	—	I See Footnotes	—	—	(F1) These 3.91% Senior Fixed Rate Notes Due September 15, 2023 ("Senior Fixed Rate Notes") matured on September 15, 2023, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder. (F3) The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose. (F2) These Senior Fixed Rate Notes are held directly by clients for whom the Reporting Person serves as investment manager.
3	Common	3.91% Senior Fixed Rate Notes Due September 15, 2023	2023-09-15	J	D	5,000,000	—	I See Footnotes	—	—	(F1) These 3.91% Senior Fixed Rate Notes Due September 15, 2023 ("Senior Fixed Rate Notes") matured on September 15, 2023, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder. (F3) The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose. (F2) These Senior Fixed Rate Notes are held directly by clients for whom the Reporting Person serves as investment manager.
4	Common	3.91% Senior Fixed Rate Notes Due September 15, 2023	2023-09-15	J	D	5,000,000	—	I See Footnotes	—	—	(F1) These 3.91% Senior Fixed Rate Notes Due September 15, 2023 ("Senior Fixed Rate Notes") matured on September 15, 2023, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder. (F3) The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose. (F2) These Senior Fixed Rate Notes are held directly by clients for whom the Reporting Person serves as investment manager.
5	Common	3.91% Senior Fixed Rate Notes Due September 15, 2023	2023-09-15	J	D	10,000,000	—	I See Footnotes	—	—	(F1) These 3.91% Senior Fixed Rate Notes Due September 15, 2023 ("Senior Fixed Rate Notes") matured on September 15, 2023, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder. (F3) The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose. (F2) These Senior Fixed Rate Notes are held directly by clients for whom the Reporting Person serves as investment manager.
6	Common	3.91% Senior Fixed Rate Notes Due September 15, 2023	2023-09-15	J	D	25,000,000	—	I See Footnotes	—	—	(F1) These 3.91% Senior Fixed Rate Notes Due September 15, 2023 ("Senior Fixed Rate Notes") matured on September 15, 2023, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder. (F3) The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose. (F2) These Senior Fixed Rate Notes are held directly by clients for whom the Reporting Person serves as investment manager.
7	Common	3.91% Senior Fixed Rate Notes Due September 15, 2023	2023-09-15	J	D	5,000,000	—	I See Footnotes	—	—	(F1) These 3.91% Senior Fixed Rate Notes Due September 15, 2023 ("Senior Fixed Rate Notes") matured on September 15, 2023, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to Rule 16a-9 thereunder. (F3) The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose. (F2) These Senior Fixed Rate Notes are held directly by clients for whom the Reporting Person serves as investment manager.