SEC Form 4 · accession 0001225208-16-023706
BROADRIDGE FINANCIAL SOLUTIONS, INC. · BR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Douglas Richard Deschutter
Officer — Corporate Vice President
Period of report
Jan 6, 2016
Accepted (ET)
Jan 6, 2016 · 3:14 pm EST
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 | Jan 6, 2016 | M | 13,021 | $18.18 | A | 57,279 | D | |
| Common StockF2 | Jan 6, 2016 | S | 9,075 | $52.4402 | D | 48,204 | D |
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) | $18.18 | Jan 6, 2016 | M | 13,021 | D | Apr 2, 2007 | Jan 26, 2016 | Common Stock | 13,021 | 0 | D |
Explanation of responses
- F1The reported transaction is a stock option exercise and an open market sale pursuant to a 10b5-1 plan adopted by the reporting person on June 3, 2015.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $52.21 - $52.595, 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.