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Filing Details

Accession Number:: 0001225208-18-013772
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2018-09-27 14:41:29
Reporting Period:: 2018-09-11

Accepted Time:: 2018-09-27 14:41:29
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	Ceo	Yes	Yes	No	No

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Disposition	2018-09-25	27,192	$134.11	262,466	No	4	S	Direct
Common Stock	Acquisiton	2018-09-11	14,039	$0.00	19,484	No	4	G	Indirect	by The EED 2014 Trust
Common Stock	Disposition	2018-09-25	10,000	$134.11	9,484	No	4	S	Indirect	by The EED 2014 Trust
Common Stock	Acquisiton	2018-09-11	14,040	$0.00	19,485	No	4	G	Indirect	by The KLD 2014 Trust
Common Stock	Disposition	2018-09-25	10,000	$134.11	9,485	No	4	S	Indirect	by The KLD 2014 Trust
Common Stock	Disposition	2018-09-11	28,079	$0.00	0	No	4	G	Indirect	by The RD 2016 GRAT

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	S	Direct
No	4	G	Indirect	by The EED 2014 Trust
No	4	S	Indirect	by The EED 2014 Trust
No	4	G	Indirect	by The KLD 2014 Trust
No	4	S	Indirect	by The KLD 2014 Trust
No	4	G	Indirect	by The RD 2016 GRAT

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

Footnotes

The reported transaction is an open market sale pursuant to 10b5-1 plans adopted by the reporting person, The EED 2014 Trust and The KLD 2014 Trust adopted on June 8, 2018.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $133.4800 - $134.6100, 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 to this Form 4.
Reflects the distribution of 20,300 shares from indirect ownership under the reporting person's 2016 grantor retained annuity trust ("The RD 2016 GRAT") to direct ownership by the reporting person as an annuity payment in accordance with the terms of the grant instrument. On September 11, 2018, The RD 2016 GRAT distributed 14,039 shares to The 2014 EED Trust and 14,040 to The 2014 KLD 2014 Trust. The RD 2016 GRAT no longer owns any shares of the Registrant's common stock.
Represents the gift of securities distributed from The RD 2016 GRAT to the EED 2014 Trust, Richard Daly and Deborah Daly, Trustees, a family trust held for the benefit of the reporting person's child.
Represents the gift of securities distributed from The RD 2016 GRAT to the KLD 2014 Trust, Richard Daly and Deborah Daly, Trustees, a family trust held for the benefit of the reporting person's child.
Reflects the distribution of 28,079 shares from The RD 2016 GRAT to The EED 2014 Trust and The KLD 2014 Trust. The RD 2016 GRAT no longer owns any shares of the Registrant's common stock.