SEC Form 4 · accession 0001225208-16-041757
BROADRIDGE FINANCIAL SOLUTIONS, INC. · BR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Julie R. Taylor
Officer — Corporate VP and CHRO
Period of report
Nov 14, 2016
Accepted (ET)
Nov 15, 2016 · 9:47 am EST
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 | Nov 14, 2016 | M | 2,460 | $0.00 | A | 2,460 | D | |
| Common Stock | Nov 14, 2016 | F | 910 | $56.37 | D | 1,550 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitF1 | $0.00 | Nov 14, 2016 | M | 2,460 | D | — | — | Common Stock | 2,460 | 4,921 | D |
Explanation of responses
- F1Each Restricted Stock Unit represented one share of Broadridge common stock and on November 14, 2016 2,460 Restricted Stock Units vested and converted into an equal number of shares of common stock.