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