Filing Details

Accession Number:
0001225208-16-039703
Form Type:
4
Zero Holdings:
No
Publication Time:
2016-09-27 14:34:01
Reporting Period:
2016-09-23
Filing Date:
2016-09-27
Accepted Time:
2016-09-27 14:34:01
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1383312 Broadridge Financial Solutions Inc. BR () 4
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1198860 J Richard Daly 5 Dakota Drive
Lake Success NY 11042
President And Ceo Yes Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2016-09-23 63,570 $25.67 226,507 No 4 M Direct
Common Stock Disposition 2016-09-23 53,914 $69.02 172,593 No 4 S Direct
Common Stock Acquisiton 2016-09-26 216,790 $24.25 389,383 No 4 M Direct
Common Stock Acquisiton 2016-09-26 4,260 $25.67 393,643 No 4 M Direct
Common Stock Disposition 2016-09-26 186,277 $69.47 207,366 No 4 S Direct
Common Stock Disposition 2016-09-23 2,372 $69.12 5,445 No 4 S Indirect by The EED 2014 Trust
Common Stock Disposition 2016-09-23 2,372 $69.12 5,445 No 4 S Indirect by The KLD 2014 Trust
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
No 4 M Direct
No 4 M Direct
No 4 S Direct
No 4 S Indirect by The EED 2014 Trust
No 4 S Indirect by The KLD 2014 Trust
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Stock Option (Right to Buy) Disposition 2016-09-23 63,570 $0.00 63,570 $25.67
Common Stock Stock Option (Right to Buy) Disposition 2016-09-26 4,260 $0.00 4,260 $25.67
Common Stock Stock Option (Right to Buy) Disposition 2016-09-26 216,790 $0.00 216,790 $24.25
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
4,260 2011-02-08 2020-02-08 No 4 M Direct
0 2011-02-08 2020-02-08 No 4 M Direct
7,079 2013-02-09 2022-02-09 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 20,000 Indirect by The EED 2012 Trust
Common Stock 20,000 Indirect by The KLD 2012 Trust
Common Stock 73,423 Indirect by The RD 2016 GRAT
Footnotes
  1. The reported transaction is a stock option exercise pursuant to a 10b5-1 plan adopted by the reporting person on August 19, 2016.
  2. The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person on August 19, 2016.
  3. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $68.75 - $69.33, inclusive. The reporting person undertakes to provide to Broadridge Financial Solutions, Inc., any shareholder of Broadridge Financial Solutions, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (3) to this Form 4.
  4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $68.15 - $70.08, inclusive. The reporting person undertakes to provide to Broadridge Financial Solutions, Inc., any shareholder of Broadridge Financial Solutions, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (4) to this Form 4.
  5. The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person on August 22, 2016.
  6. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $68.91 - $69.43, inclusive. The reporting person undertakes to provide to Broadridge Financial Solutions, Inc., any shareholder of Broadridge Financial Solutions, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (6) to this Form 4.