SEC Form 4 · accession 0001225208-18-015415
BROADRIDGE FINANCIAL SOLUTIONS, INC. · BR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Leslie A Brun
Director
Period of report
Nov 8, 2018
Accepted (ET)
Nov 13, 2018 · 10:28 am 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 | Nov 8, 2018 | A | 863 | $0.00 | A | 31,861 | 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)F2 | $107.52 | Nov 8, 2018 | A | 3,840 | A | Nov 8, 2018 | Nov 8, 2028 | Common Stock | 3,840 | 3,840 | D |
Explanation of responses
- F1The reported transaction reflects the grant of Deferred Stock Units under Broadridge's 2007 Omnibus Award Plan and represents a like number of shares of Broadridge common stock. The Deferred Stock Units vest in full upon grant and will settle in shares of Broadridge common stock upon the director's separation from service with Broadridge.
- F2Stock options vest immediately upon grant.