SEC Form 4 · accession 0001225208-18-013790
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
Sep 26, 2018
Accepted (ET)
Sep 28, 2018 · 11:13 am 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 Stock | Sep 26, 2018 | M | 124,870 | $50.95 | A | 387,336 | D | |
| Common StockF3 | Sep 26, 2018 | S | 105,188 | $132.9668 | D | 282,148 | D | |
| Common Stock | Sep 27, 2018 | M | 93,120 | $51.95 | A | 375,268 | D | |
| Common Stock | Sep 27, 2018 | M | 31,379 | $50.95 | A | 406,647 | D | |
| Common StockF4 | Sep 27, 2018 | S | 26,400 | $131.313 | D | 380,247 | D | |
| Common StockF4 | Sep 27, 2018 | S | 78,600 | $131.313 | D | 301,647 | D | |
| Common Stock | holding | — | — | — | 20,000 | I | by The EED 2012 Trust | |
| Common Stock | holding | — | — | — | 9,484 | I | by The EED 2014 Trust | |
| Common Stock | holding | — | — | — | 20,000 | I | by The KLD 2012 Trust | |
| Common Stock | holding | — | — | — | 9,485 | I | by The KLD 2014 Trust |
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) | $50.95 | Sep 26, 2018 | M | 124,870 | D | Feb 9, 2016 | Feb 9, 2025 | Common Stock | 124,870 | 83,463 | D |
| Stock Option (Right to Buy) | $51.95 | Sep 27, 2018 | M | 93,120 | D | Feb 8, 2017 | Feb 8, 2026 | Common Stock | 93,120 | 93,120 | D |
| Stock Option (Right to Buy) | $50.95 | Sep 27, 2018 | M | 31,379 | D | Feb 9, 2016 | Feb 9, 2025 | Common Stock | 31,379 | 52,084 | D |
Explanation of responses
- F1The reported transaction is a stock option exercise pursuant to a 10b5-1 plan adopted by the reporting person on June 8, 2018.
- F2The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person on June 8, 2018.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $132.14 - $134.73, 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 (3) to this Form 4.
- F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $130.89 - $132.98, 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 (4) to this Form 4.