SEC Form 4 · accession 0001225208-16-039759
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 29, 2016
Accepted (ET)
Sep 30, 2016 · 10:18 am 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 29, 2016 | M | 7,284 | $22.27 | A | 254,104 | D | |
| Common StockF3 | Sep 29, 2016 | S | 6,095 | $68.133 | D | 248,009 | D | |
| Common Stock | holding | — | — | — | 20,000 | I | by The EED 2012 Trust | |
| Common Stock | holding | — | — | — | 5,445 | I | by The EED 2014 Trust | |
| Common Stock | holding | — | — | — | 20,000 | I | by The KLD 2012 Trust | |
| Common Stock | holding | — | — | — | 5,445 | I | by The KLD 2014 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) | $22.27 | Sep 29, 2016 | M | 7,284 | D | Feb 11, 2014 | Feb 11, 2023 | Common Stock | 7,284 | 80,374 | 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 $67.99 - $68.51, 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.