SEC Form 4 · accession 0001225208-18-002839
BROADRIDGE FINANCIAL SOLUTIONS, INC. · BR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard J Daly
Officer — CEO · Director
Period of report
Feb 12, 2018
Accepted (ET)
Feb 14, 2018 · 2:35 pm 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 | holding | — | — | — | 202,995 | 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 | — | — | — | 48,379 | 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)F2 | $93.88 | Feb 12, 2018 | A | 143,266 | A | Feb 12, 2019 | Feb 12, 2028 | Common Stock | 143,266 | 143,266 | D |
Explanation of responses
- F1Includes 25,044 shares previously held in the reporting person's 2016 grantor retained annuity trust ("GRAT") which were distributed to the reporting person as an annuity payment.
- F2Stock options vest equally over 4 years beginning February 12, 2019.