SEC Form 4 · accession 0001225208-18-007603
BROADRIDGE FINANCIAL SOLUTIONS, INC. · BR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas P Carey
Officer — Corporate VP
Period of report
Apr 6, 2018
Accepted (ET)
Apr 10, 2018 · 3:20 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 | Apr 6, 2018 | M | 1,376 | $0.00 | A | 3,102 | D | |
| Common Stock | Apr 6, 2018 | F | 647 | $106.55 | D | 2,455 | D | |
| Common StockF2 | Apr 6, 2018 | F | 776 | $106.55 | D | 1,679 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| FY2015 RSUsF1 | $0.00 | Apr 6, 2018 | M | 1,376 | D | — | — | Common Stock | 1,376 | 0 | D |
Explanation of responses
- F1Each Restricted Stock Unit represented one share of Broadridge common stock and on April 6, 2018 1,376 Restricted Stock Units vested and converted into an equal number of shares of common stock.
- F2Represents the amount of shares withheld to cover tax liabilities upon the vesting of 1,651 performance based Restricted Stock Units that vested and converted into an equal number of shares of common stock on April 6, 2018.