0001225208-16-039703.txt : 20160927 0001225208-16-039703.hdr.sgml : 20160927 20160927143401 ACCESSION NUMBER: 0001225208-16-039703 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160923 FILED AS OF DATE: 20160927 DATE AS OF CHANGE: 20160927 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: BROADRIDGE FINANCIAL SOLUTIONS, INC. CENTRAL INDEX KEY: 0001383312 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-BUSINESS SERVICES, NEC [7389] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 BUSINESS ADDRESS: STREET 1: 5 DAKOTA DRIVE CITY: LAKE SUCCESS STATE: NY ZIP: 11042 BUSINESS PHONE: 516-472-5400 MAIL ADDRESS: STREET 1: 5 DAKOTA DRIVE CITY: LAKE SUCCESS STATE: NY ZIP: 11042 FORMER COMPANY: FORMER CONFORMED NAME: BROADRIDGE FINANCIAL SOLUTIONS, LLC DATE OF NAME CHANGE: 20070126 FORMER COMPANY: FORMER CONFORMED NAME: BSG LLC DATE OF NAME CHANGE: 20061212 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: DALY RICHARD J CENTRAL INDEX KEY: 0001198860 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33220 FILM NUMBER: 161904175 MAIL ADDRESS: STREET 1: 1981 MARCUS AVENUE CITY: LAKE SUCCESS STATE: NY ZIP: 11042 4 1 doc4.xml X0306 4 2016-09-23 0001383312 BROADRIDGE FINANCIAL SOLUTIONS, INC. BR 0001198860 DALY RICHARD J 5 DAKOTA DRIVE LAKE SUCCESS NY 11042 1 1 President and CEO Common Stock 2016-09-23 4 M 0 63570.0000 25.6700 A 226507.0229 D Common Stock 2016-09-23 4 S 0 53914.0000 69.0238 D 172593.0229 D Common Stock 2016-09-26 4 M 0 216790.0000 24.2500 A 389383.0229 D Common Stock 2016-09-26 4 M 0 4260.0000 25.6700 A 393643.0229 D Common Stock 2016-09-26 4 S 0 186277.0000 69.4679 D 207366.0229 D Common Stock 2016-09-23 4 S 0 2372.0000 69.1244 D 5445.0000 I by The EED 2014 Trust Common Stock 2016-09-23 4 S 0 2372.0000 69.1244 D 5445.0000 I by The KLD 2014 Trust Common Stock 20000.0000 I by The EED 2012 Trust Common Stock 20000.0000 I by The KLD 2012 Trust Common Stock 73423.0000 I by The RD 2016 GRAT Stock Option (Right to Buy) 25.6700 2016-09-23 4 M 0 63570.0000 0.0000 D 2011-02-08 2020-02-08 Common Stock 63570.0000 4260.0000 D Stock Option (Right to Buy) 25.6700 2016-09-26 4 M 0 4260.0000 0.0000 D 2011-02-08 2020-02-08 Common Stock 4260.0000 0.0000 D Stock Option (Right to Buy) 24.2500 2016-09-26 4 M 0 216790.0000 0.0000 D 2013-02-09 2022-02-09 Common Stock 216790.0000 7079.0000 D The reported transaction is a stock option exercise pursuant to a 10b5-1 plan adopted by the reporting person on August 19, 2016. The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person on August 19, 2016. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $68.75 - $69.33, 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. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $68.15 - $70.08, 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. The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person on August 22, 2016. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $68.91 - $69.43, 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 (6) to this Form 4. Adam D. Amsterdam, Power of Attorney 2016-09-27