SEC Form 4 · accession 0001225208-17-013135
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
Aug 2, 2017
Accepted (ET)
Aug 2, 2017 · 3:51 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 StockF1 | Aug 2, 2017 | A | 46,788 | $0.00 | A | 271,990 | 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
No Table II lines on this filing.
Explanation of responses
- F1The reported transaction reflects the amount of Restricted Stock Units granted under Broadridge's 2007 Omnibus Award Plan as determined at the end of a two-year performance period and represent a like number of shares of Broadridge common stock. The Restricted Stock Units will vest and convert into shares of Broadridge common stock on April 1, 2018.