SEC Form 4 · accession 0001225208-16-039703
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 23, 2016
Accepted (ET)
Sep 27, 2016 · 2:34 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 23, 2016 | M | 63,570 | $25.67 | A | 226,507 | D | |
| Common StockF3 | Sep 23, 2016 | S | 53,914 | $69.0238 | D | 172,593 | D | |
| Common Stock | Sep 26, 2016 | M | 216,790 | $24.25 | A | 389,383 | D | |
| Common Stock | Sep 26, 2016 | M | 4,260 | $25.67 | A | 393,643 | D | |
| Common StockF4 | Sep 26, 2016 | S | 186,277 | $69.4679 | D | 207,366 | D | |
| Common StockF6 | Sep 23, 2016 | S | 2,372 | $69.1244 | D | 5,445 | I | by The EED 2014 Trust |
| Common StockF6 | Sep 23, 2016 | S | 2,372 | $69.1244 | D | 5,445 | 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 23, 2016 | M | 63,570 | D | Feb 8, 2011 | Feb 8, 2020 | Common Stock | 63,570 | 4,260 | D |
| Stock Option (Right to Buy) | $25.67 | Sep 26, 2016 | M | 4,260 | D | Feb 8, 2011 | Feb 8, 2020 | Common Stock | 4,260 | 0 | D |
| Stock Option (Right to Buy) | $24.25 | Sep 26, 2016 | M | 216,790 | D | Feb 9, 2013 | Feb 9, 2022 | Common Stock | 216,790 | 7,079 | 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 $68.75 - $69.33, 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 $68.15 - $70.08, 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 reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person on August 22, 2016.
- F6The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $68.91 - $69.43, 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 (6) to this Form 4.