Richard J. Daly - 05 Oct 2021 Form 4 Insider Report for BROADRIDGE FINANCIAL SOLUTIONS, INC. (BR)

Role
Executive Chairman, Director
Signature
Maria Allen, Power of Attorney
Issuer symbol
BR
Transactions as of
05 Oct 2021
Net transactions value
-$15,784,307
Form type
4
Filing time
07 Oct 2021, 15:04:12 UTC
Previous filing
13 Aug 2021
Next filing
08 Oct 2021
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction BR Common Stock Options Exercise $2,625,480 +39,000 +23% $67.32 206,168 05 Oct 2021 Direct F1
transaction BR Common Stock Sale $5,431,942 -33,118 -16% $164.02 173,050 05 Oct 2021 Direct F2, F3
transaction BR Common Stock Sale $7,305,845 -44,543 -26% $164.02 128,507 05 Oct 2021 Direct F2, F3
transaction BR Common Stock Options Exercise $9,303,508 +99,100 +77% $93.88 227,607 06 Oct 2021 Direct F1
transaction BR Common Stock Options Exercise $252,248 +3,747 +1.6% $67.32 231,354 06 Oct 2021 Direct F1
transaction BR Common Stock Sale $532,257 -3,216 -1.4% $165.50 228,138 06 Oct 2021 Direct F2, F4
transaction BR Common Stock Sale $14,695,499 -88,793 -39% $165.50 139,345 06 Oct 2021 Direct F2, F4
holding BR Common Stock 2,700 05 Oct 2021 2020 Grandchild Trust
holding BR Common Stock 20,000 05 Oct 2021 by The EED 2012 Trust
holding BR Common Stock 9,484 05 Oct 2021 by The EED 2014 Trust
holding BR Common Stock 20,000 05 Oct 2021 by The KLD 2012 Trust
holding BR Common Stock 1,985 05 Oct 2021 by The KLD 2014 Trust

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction BR Stock Option (Right to Buy) Options Exercise $0 -39,000 -91% $0.000000 3,747 05 Oct 2021 Common Stock 39,000 $67.32 Direct F1
transaction BR Stock Option (Right to Buy) Options Exercise $0 -3,747 -100% $0.000000* 0 06 Oct 2021 Common Stock 3,747 $67.32 Direct F1
transaction BR Stock Option (Right to Buy) Options Exercise $0 -99,100 -69% $0.000000 44,166 06 Oct 2021 Common Stock 99,100 $93.88 Direct F1
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The reported transaction is a stock option exercise pursuant to a 10b5-1 plan adopted by the reporting person on September 3, 2021.
F2 The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person on September 3, 2021.
F3 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $161.51 - $164.79, 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 $163.01 - $167.05, 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.