SEC Form 4 · accession 0001225208-16-037931
BROADRIDGE FINANCIAL SOLUTIONS, INC. · BR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Timothy C Gokey
Officer — Senior Vice President and COO
Period of report
Aug 12, 2016
Accepted (ET)
Aug 16, 2016 · 3:42 pm 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 | Aug 12, 2016 | M | 37,500 | $21.94 | A | 93,744 | D | |
| Common StockF1 | Aug 12, 2016 | S | 31,318 | $68.592 | D | 62,426 | D | |
| Common Stock | Aug 15, 2016 | M | 18,150 | $21.94 | A | 80,576 | D | |
| Common StockF2 | Aug 15, 2016 | S | 15,166 | $68.0008 | D | 65,410 | 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) | $21.94 | Aug 12, 2016 | M | 37,500 | D | May 12, 2011 | May 12, 2020 | Common Stock | 37,500 | 212,500 | D |
| Stock Option (Right to Buy) | $21.94 | Aug 15, 2016 | M | 18,150 | D | May 12, 2011 | May 12, 2020 | Common Stock | 18,150 | 194,350 | D |
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $68.50 - $69.06, 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 (1) to this Form 4.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $68.00 - $68.02, 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.