SEC Form 4 · accession 0001225208-16-039595

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

Sep 21, 2016

Accepted (ET)

Sep 23, 2016 · 1:07 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	Sep 21, 2016	M	27,040	$25.67	A	231,703	D
Common Stock^F3	Sep 21, 2016	S	22,916	$69.4722	D	208,787	D
Common Stock^F4	Sep 21, 2016	S	50,693	$69.3429	D	158,094	D
Common Stock	Sep 22, 2016	M	31,630	$25.67	A	189,724	D
Common Stock^F5	Sep 22, 2016	S	26,787	$69.8609	D	162,937	D
Common Stock^F7	Sep 22, 2016	S	12,628	$69.861	D	7,817	I	by The EED 2014 Trust
Common Stock^F7	Sep 22, 2016	S	12,628	$69.861	D	7,817	I	by The KLD 2014 Trust
Common Stock	holding	—	—		—	20,000	I	by The EED 2012 Trust
Common Stock	holding	—	—		—	20,000	I	by The KLD 2012 Trust
Common Stock	holding	—	—		—	73,423	I	by The RD 2016 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)	$25.67	Sep 21, 2016	M	27,040	D	Feb 8, 2011	Feb 8, 2020	Common Stock	27,040	99,460	D
Stock Option (Right to Buy)	$25.67	Sep 22, 2016	M	31,630	D	Feb 8, 2011	Feb 8, 2020	Common Stock	31,630	67,830	D

Explanation of responses

F1The reported transaction is a stock option exercise pursuant to a 10b5-1 plan adopted by the reporting person on August 19, 2016.
F2The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person on August 19, 2016.
F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $69.06 - $69.64, 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 (3) to this Form 4.
F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $68.92 - $69.75, 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 (4) to this Form 4.
F5The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $69.64 - $70.03, 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 (5) to this Form 4.
F6The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person on August 22, 2016.
F7The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $69.62 - $70.04, 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 (7) to this Form 4.