AI assistant
BROADRIDGE FINANCIAL SOLUTIONS, INC. — Director's Dealing 2016
Sep 29, 2016
30171_dirs_2016-09-29_41d2da9d-7ef6-440d-ba92-524753895c74.zip
Director's Dealing
Open in viewerOpens in your device viewer
SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: BROADRIDGE FINANCIAL SOLUTIONS, INC. (BR)
CIK: 0001383312
Period of Report: 2016-09-27
Reporting Person: DALY RICHARD J (Director, President and CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2016-09-27 | Common Stock | M | 161120.0000 | $22.2700 | Acquired | 368486.0229 | Direct |
| 2016-09-27 | Common Stock | M | 7079.0000 | $24.2500 | Acquired | 375565.0229 | Direct |
| 2016-09-27 | Common Stock | S | 140660.0000 | $69.1467 | Disposed | 234905.0229 | Direct |
| 2016-09-28 | Common Stock | M | 72715.0000 | $22.2700 | Acquired | 307620.0229 | Direct |
| 2016-09-28 | Common Stock | S | 60800.0000 | $69.0400 | Disposed | 246820.0229 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2016-09-27 | Stock Option (Right to Buy) | $24.2500 | M | 7079.0000 | Disposed | 2022-02-09 | Common Stock (7079.0000) | Direct |
| 2016-09-27 | Stock Option (Right to Buy) | $22.2700 | M | 161120.0000 | Disposed | 2023-02-11 | Common Stock (161120.0000) | Direct |
| 2016-09-28 | Stock Option (Right to Buy) | $22.2700 | M | 72715.0000 | Disposed | 2023-02-11 | Common Stock (72715.0000) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 20000.0000 | Indirect |
| Common Stock | 5445.0000 | Indirect |
| Common Stock | 20000.0000 | Indirect |
| Common Stock | 5445.0000 | Indirect |
| Common Stock | 73423.0000 | Indirect |
Footnotes
F1: The reported transaction is a stock option exercise pursuant to a 10b5-1 plan adopted by the reporting person on August 19, 2016.
F2: The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person on August 19, 2016.
F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $68.99 - $69.68, 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.
F4: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $68.70 - $69.30, 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.