SEC Form 4 · accession 0001225208-18-004011
BROADRIDGE FINANCIAL SOLUTIONS, INC. · BR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Timothy C Gokey
Officer — President and COO
Period of report
Feb 22, 2018
Accepted (ET)
Feb 23, 2018 · 4:13 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 | Feb 22, 2018 | G | 1,250 | $0.00 | D | 59,556 | D | |
| Common Stock | Feb 23, 2018 | M | 43,000 | $22.39 | A | 102,556 | D | |
| Common StockF2 | Feb 23, 2018 | S | 10,000 | $100.3352 | D | 92,556 | D | |
| Common StockF3 | Feb 23, 2018 | S | 34,658 | $100.417 | D | 57,898 | 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) | $22.39 | Feb 23, 2018 | M | 43,000 | D | Feb 10, 2012 | Feb 10, 2021 | Common Stock | 43,000 | 44,358 | D |
Explanation of responses
- F1This transaction represents a gift/charitable donation. This is not a market transaction, thus no price has been reported. No value was received for the gifted shares.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $100.18 - $100.40, 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 (1) to this Form 4.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $100.28 - $100.47, 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 (1) to this Form 4.