SEC Form 4 · accession 0001225208-16-041972
BROADRIDGE FINANCIAL SOLUTIONS, INC. · BR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Thomas J Perna
Director
Period of report
Nov 17, 2016
Accepted (ET)
Nov 18, 2016 · 11:59 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 17, 2016 | A | 1,032 | $0.00 | A | 18,168 | D |
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)F2 | $64.39 | Nov 17, 2016 | A | 4,753 | A | Nov 17, 2016 | Nov 17, 2026 | Common Stock | 4,753 | 4,753 | D |
Explanation of responses
- F1The reported transaction reflects the grant of Deferred Stock Units under Broadridge's 2007 Omnibus Award Plan and represents a like number of shares of Broadridge common stock. The Deferred Stock Units vest in full upon grant and will settle in shares of Broadridge common stock upon the director's separation from service with Broadridge.
- F2Stock options vest immediately upon grant.