SEC Form 4 · accession 0001225208-15-013683
BROADRIDGE FINANCIAL SOLUTIONS, INC. · BR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard J Daly
Officer — President and CEO · Director
Period of report
Jun 10, 2015
Accepted (ET)
Jun 11, 2015 · 10:19 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001383312
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jun 10, 2015 | M | 77,930 | $21.87 | A | 390,161 | D | |
| Common StockF2 | Jun 10, 2015 | S | 66,899 | $52.9311 | D | 323,262 | D | |
| Common Stock | holding | — | — | — | 22,000 | I | by The EED 2012 Trust | |
| Common Stock | holding | — | — | — | 22,000 | I | by The KLD 2012 Trust | |
| Common Stock | holding | — | — | — | 124,907 | I | by The RD 2014 GRAT |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy) | $21.87 | Jun 10, 2015 | M | 77,930 | D | Feb 4, 2009 | Feb 3, 2018 | Common Stock | 77,930 | 36,670 | D |
Explanation of responses
- F1The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person on March 6, 2015.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $52.49 - $53.14, 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 (2) to this Form 4.