SEC Form 4 · accession 0001225208-16-038288
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
Aug 19, 2016
Accepted (ET)
Aug 23, 2016 · 5:36 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 StockF1 | Aug 19, 2016 | G | 20,445 | $0.00 | A | 20,445 | I | by The EED 2014 Trust |
| Common StockF2 | Aug 19, 2016 | G | 20,445 | $0.00 | A | 20,445 | I | by The KLD 2014 Trust |
| Common StockF3 | Aug 19, 2016 | G | 40,890 | $0.00 | D | 0 | I | by The RD 2014 GRAT |
| Common StockF3 | holding | — | — | — | 308,486 | D | ||
| Common Stock | holding | — | — | — | 20,000 | I | by The EED 2012 Trust | |
| Common Stock | holding | — | — | — | 20,000 | I | by The KLD 2012 Trust | |
| Common StockF4 | holding | — | — | — | 73,423 | I | by The RD 2016 GRAT |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents the gift of securities distributed from the reporting person's 2014 grantor retained annuity trust ("The RD 2014 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.
- F2Represents the gift of securities distributed from The RD 2014 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.
- F3Reflects the distribution of 37,100 shares from indirect ownership under The RD 2014 GRAT to direct ownership by the reporting person as an annuity payment in accordance with the terms of the grant instrument. On August 19, 2016, The RD 2014 GRAT distributed 20,445 shares to The EED 2014 Trust and 20,445 shares to The KLD 2014 Trust. The RD 2014 GRAT no longer owns any shares of the Registrant's common stock.
- F4The reporting person funded this 2016 grantor retained annuity trust ("The RD 2016 GRAT") on August 16, 2016, is the sole recipient of the annuity payments to be made by The RD 2016 GRAT, and serves as the trustee of The RD 2016 GRAT.