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BROADRIDGE FINANCIAL SOLUTIONS, INC.

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3252
SEC CIK
0001383312
Parsed reports
1,212

Last 12 months

Inside the activity.

1 purchase rows · 8 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202501
Dec 202503
Jan 202600
Feb 202602
Mar 202610
Apr 202600
May 202600
Jun 202601
Jul 202600
Aug 202600
Sep 202600
Oct 202601

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Insider transactions

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
June 03, 2020 Filed Jun 4, 2020 16:27 UTC
Taylor Julie R.Corporate VP and CHRO
Exercise / conversionStock Option (Right to Buy) · Derivative 12,148 $0.00 Strike: $67.32 $0.00
Disclosure

SEC source: 0001225208-20-008618 · doc4.xml · derivative · entry 3

Taylor Julie R. · CIK 0001588233 · Corporate VP and CHRO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,050

Underlying: Common Stock · 12,148 shares

Expires 2027-02-10

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The reported transaction is a stock option exercise pursuant to a 10b5-1 plan adopted by the reporting person on February 25, 2020.

Read SEC document
June 03, 2020 Filed Jun 4, 2020 16:27 UTC
Taylor Julie R.Corporate VP and CHRO
SaleCommon Stock 10,733 $124.06 $1,331,563.89
Disclosure

SEC source: 0001225208-20-008618 · doc4.xml · nonDerivative · entry 2

Taylor Julie R. · CIK 0001588233 · Corporate VP and CHRO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,724.327

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $124.00 - $124.20, 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 (2) to this Form 4.

Read SEC document
June 03, 2020 Filed Jun 4, 2020 16:27 UTC
Taylor Julie R.Corporate VP and CHRO
Exercise / conversionCommon Stock 12,148 $67.32 $817,803.36
Disclosure

SEC source: 0001225208-20-008618 · doc4.xml · nonDerivative · entry 1

Taylor Julie R. · CIK 0001588233 · Corporate VP and CHRO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,457.327

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The reported transaction is a stock option exercise pursuant to a 10b5-1 plan adopted by the reporting person on February 25, 2020.

Read SEC document
June 01, 2020 Filed Jun 2, 2020 12:00 UTC
Mayadas VijayCorporate Vice President
Exercise / conversionStock Option (Right to Buy) · Derivative 13,706 $0.00 Strike: $26.00 $0.00
Disclosure

SEC source: 0001225208-20-008416 · doc4.xml · derivative · entry 3

Mayadas Vijay · CIK 0001658677 · Corporate Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,706

Underlying: Common Stock · 13,706 shares

Expires 2023-05-09

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
June 01, 2020 Filed Jun 2, 2020 12:00 UTC
Mayadas VijayCorporate Vice President
SaleCommon Stock 11,191 $121.28 $1,357,265.74
Disclosure

SEC source: 0001225208-20-008416 · doc4.xml · nonDerivative · entry 2

Mayadas Vijay · CIK 0001658677 · Corporate Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,773.756

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $121.09 - $121.655, 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 (1) to this Form 4.

Read SEC document
June 01, 2020 Filed Jun 2, 2020 12:00 UTC
Mayadas VijayCorporate Vice President
Exercise / conversionCommon Stock 13,706 $26.00 $356,356.00
Disclosure

SEC source: 0001225208-20-008416 · doc4.xml · nonDerivative · entry 1

Mayadas Vijay · CIK 0001658677 · Corporate Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,964.756

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
June 01, 2020 Filed Jun 2, 2020 16:08 UTC
DESCHUTTER DOUGLAS RICHARDCorporate Vice President
Exercise / conversionStock Option (Right to Buy) · Derivative 17,000 $0.00 Strike: $24.25 $0.00
Disclosure

SEC source: 0001225208-20-008419 · doc4.xml · derivative · entry 3

DESCHUTTER DOUGLAS RICHARD · CIK 0001391093 · Corporate Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,899

Underlying: Common Stock · 17,000 shares

Expires 2022-02-09

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
June 01, 2020 Filed Jun 2, 2020 16:08 UTC
DESCHUTTER DOUGLAS RICHARDCorporate Vice President
SaleCommon Stock 13,530 $122.24 $1,653,873.38
Disclosure

SEC source: 0001225208-20-008419 · doc4.xml · nonDerivative · entry 2

DESCHUTTER DOUGLAS RICHARD · CIK 0001391093 · Corporate Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,449.8948

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $122.14 - $122.7150, 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 (1) to this Form 4.

Read SEC document
June 01, 2020 Filed Jun 2, 2020 16:08 UTC
DESCHUTTER DOUGLAS RICHARDCorporate Vice President
Exercise / conversionCommon Stock 17,000 $24.25 $412,250.00
Disclosure

SEC source: 0001225208-20-008419 · doc4.xml · nonDerivative · entry 1

DESCHUTTER DOUGLAS RICHARD · CIK 0001391093 · Corporate Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,979.8948

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
May 20, 2020 Filed May 20, 2020 14:52 UTC
Matlin LauraVP, Deputy GC and CGO
SaleCommon Stock 862 $122.16 $105,301.92
Disclosure

SEC source: 0001225208-20-008044 · doc4.xml · nonDerivative · entry 1

Matlin Laura · CIK 0001658944 · VP, Deputy GC and CGO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,215.696

Read SEC document
May 20, 2020 Filed May 20, 2020 19:32 UTC
KALENKA ROBERT FCorporate Vice President
Exercise / conversionStock Option (Right to Buy) · Derivative 10,736 $0.00 Strike: $51.95 $0.00
Disclosure

SEC source: 0001225208-20-008051 · doc4.xml · derivative · entry 4

KALENKA ROBERT F · CIK 0001391091 · Corporate Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,736 shares

Expires 2026-02-08

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
May 20, 2020 Filed May 20, 2020 19:32 UTC
KALENKA ROBERT FCorporate Vice President
SaleCommon Stock 9,170 $121.70 $1,115,996.34
Disclosure

SEC source: 0001225208-20-008051 · doc4.xml · nonDerivative · entry 3

KALENKA ROBERT F · CIK 0001391091 · Corporate Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,437.4097

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $121.11 - $122.64, 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 (1) to this Form 4.

Read SEC document
May 20, 2020 Filed May 20, 2020 19:32 UTC
KALENKA ROBERT FCorporate Vice President
SaleCommon Stock 4,000 $121.70 $486,803.20
Disclosure

SEC source: 0001225208-20-008051 · doc4.xml · nonDerivative · entry 2

KALENKA ROBERT F · CIK 0001391091 · Corporate Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,607.4097

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $121.11 - $122.64, 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 (1) to this Form 4.

Read SEC document
May 20, 2020 Filed May 20, 2020 19:32 UTC
KALENKA ROBERT FCorporate Vice President
Exercise / conversionCommon Stock 10,736 $51.95 $557,735.20
Disclosure

SEC source: 0001225208-20-008051 · doc4.xml · nonDerivative · entry 1

KALENKA ROBERT F · CIK 0001391091 · Corporate Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,607.4097

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
May 19, 2020 Filed May 19, 2020 14:50 UTC
Matlin LauraVP, Deputy GC and CGO
Exercise / conversionStock Option (Right to Buy) · Derivative 1,806 $0.00 Strike: $50.95 $0.00
Disclosure

SEC source: 0001225208-20-007994 · doc4.xml · derivative · entry 6

Matlin Laura · CIK 0001658944 · VP, Deputy GC and CGO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,806 shares

Expires 2025-02-09

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
May 19, 2020 Filed May 19, 2020 14:50 UTC
Matlin LauraVP, Deputy GC and CGO
Exercise / conversionStock Option (Right to Buy) · Derivative 7,230 $0.00 Strike: $51.95 $0.00
Disclosure

SEC source: 0001225208-20-007994 · doc4.xml · derivative · entry 5

Matlin Laura · CIK 0001658944 · VP, Deputy GC and CGO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,230 shares

Expires 2026-02-08

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
May 19, 2020 Filed May 19, 2020 14:50 UTC
Matlin LauraVP, Deputy GC and CGO
SaleCommon Stock 6,138 $119.91 $735,987.32
Disclosure

SEC source: 0001225208-20-007994 · doc4.xml · nonDerivative · entry 4

Matlin Laura · CIK 0001658944 · VP, Deputy GC and CGO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,077.696

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $119.57 - $120.1550, 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 (1) to this Form 4.

Read SEC document
May 19, 2020 Filed May 19, 2020 14:50 UTC
Matlin LauraVP, Deputy GC and CGO
SaleCommon Stock 1,529 $119.91 $183,337.34
Disclosure

SEC source: 0001225208-20-007994 · doc4.xml · nonDerivative · entry 3

Matlin Laura · CIK 0001658944 · VP, Deputy GC and CGO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,215.696

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $119.57 - $120.1550, 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 (1) to this Form 4.

Read SEC document
May 19, 2020 Filed May 19, 2020 14:50 UTC
Matlin LauraVP, Deputy GC and CGO
Exercise / conversionCommon Stock 1,806 $50.95 $92,015.70
Disclosure

SEC source: 0001225208-20-007994 · doc4.xml · nonDerivative · entry 2

Matlin Laura · CIK 0001658944 · VP, Deputy GC and CGO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,744.696

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
May 19, 2020 Filed May 19, 2020 14:50 UTC
Matlin LauraVP, Deputy GC and CGO
Exercise / conversionCommon Stock 7,230 $51.95 $375,598.50
Disclosure

SEC source: 0001225208-20-007994 · doc4.xml · nonDerivative · entry 1

Matlin Laura · CIK 0001658944 · VP, Deputy GC and CGO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,938.696

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
May 19, 2020 Filed May 20, 2020 18:46 UTC
Taylor Julie R.Corporate VP and CHRO
SaleCommon Stock 3,443 $120.22 $413,908.51
Disclosure

SEC source: 0001225208-20-008042 · doc4.xml · nonDerivative · entry 1

Taylor Julie R. · CIK 0001588233 · Corporate VP and CHRO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,309.327

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $120.19 - $120.34, 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 (1) to this Form 4.

Read SEC document
May 12, 2020 Filed May 12, 2020 17:50 UTC
SCHIFELLITE ROBERTCorporate SVP
SaleCommon Stock 10,000 $119.14 $1,191,390.00
Disclosure

SEC source: 0001225208-20-007480 · doc4.xml · nonDerivative · entry 1

SCHIFELLITE ROBERT · CIK 0001391090 · Corporate SVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,444.6729

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $119.01 - $119.2150, 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 (1) to this Form 4.

Read SEC document
May 12, 2020 Filed May 13, 2020 16:52 UTC
Young James MCorporate SVP and CFO
Exercise / conversionStock Option (Right to Buy) · Derivative 31,047 $0.00 Strike: $67.32 $0.00
Disclosure

SEC source: 0001225208-20-007549 · doc4.xml · derivative · entry 10

Young James M · CIK 0001610934 · Corporate SVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,349

Underlying: Common Stock · 31,047 shares

Expires 2027-02-10

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
May 12, 2020 Filed May 13, 2020 16:52 UTC
Young James MCorporate SVP and CFO
Exercise / conversionStock Option (Right to Buy) · Derivative 18,959 $0.00 Strike: $50.95 $0.00
Disclosure

SEC source: 0001225208-20-007549 · doc4.xml · derivative · entry 9

Young James M · CIK 0001610934 · Corporate SVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 18,959 shares

Expires 2025-02-09

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
May 12, 2020 Filed May 13, 2020 16:52 UTC
Young James MCorporate SVP and CFO
Exercise / conversionStock Option (Right to Buy) · Derivative 46,012 $0.00 Strike: $51.95 $0.00
Disclosure

SEC source: 0001225208-20-007549 · doc4.xml · derivative · entry 8

Young James M · CIK 0001610934 · Corporate SVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 46,012 shares

Expires 2026-02-08

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
May 12, 2020 Filed May 13, 2020 16:52 UTC
Young James MCorporate SVP and CFO
SaleCommon Stock 39,448 $119.46 $4,712,320.01
Disclosure

SEC source: 0001225208-20-007549 · doc4.xml · nonDerivative · entry 7

Young James M · CIK 0001610934 · Corporate SVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,299

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $118.00 - $120.1350, 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 (1) to this Form 4.

Read SEC document
May 12, 2020 Filed May 13, 2020 16:52 UTC
Young James MCorporate SVP and CFO
SaleCommon Stock 27,650 $119.46 $3,302,972.23
Disclosure

SEC source: 0001225208-20-007549 · doc4.xml · nonDerivative · entry 6

Young James M · CIK 0001610934 · Corporate SVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,747

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $118.00 - $120.1350, 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 (1) to this Form 4.

Read SEC document
May 12, 2020 Filed May 13, 2020 16:52 UTC
Young James MCorporate SVP and CFO
SaleCommon Stock 16,213 $119.46 $1,936,748.23
Disclosure

SEC source: 0001225208-20-007549 · doc4.xml · nonDerivative · entry 5

Young James M · CIK 0001610934 · Corporate SVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,397

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $118.00 - $120.1350, 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 (1) to this Form 4.

Read SEC document
May 12, 2020 Filed May 13, 2020 16:52 UTC
Young James MCorporate SVP and CFO
SaleCommon Stock 15,025 $119.46 $1,794,833.91
Disclosure

SEC source: 0001225208-20-007549 · doc4.xml · nonDerivative · entry 4

Young James M · CIK 0001610934 · Corporate SVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 103,610

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $118.00 - $120.1350, 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 (1) to this Form 4.

Read SEC document
May 12, 2020 Filed May 13, 2020 16:52 UTC
Young James MCorporate SVP and CFO
Exercise / conversionCommon Stock 18,959 $50.95 $965,961.05
Disclosure

SEC source: 0001225208-20-007549 · doc4.xml · nonDerivative · entry 3

Young James M · CIK 0001610934 · Corporate SVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 118,635

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
May 12, 2020 Filed May 13, 2020 16:52 UTC
Young James MCorporate SVP and CFO
Exercise / conversionCommon Stock 31,047 $67.32 $2,090,084.04
Disclosure

SEC source: 0001225208-20-007549 · doc4.xml · nonDerivative · entry 2

Young James M · CIK 0001610934 · Corporate SVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,676

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
May 12, 2020 Filed May 13, 2020 16:52 UTC
Young James MCorporate SVP and CFO
Exercise / conversionCommon Stock 46,012 $51.95 $2,390,323.40
Disclosure

SEC source: 0001225208-20-007549 · doc4.xml · nonDerivative · entry 1

Young James M · CIK 0001610934 · Corporate SVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,629

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
April 06, 2020 Filed Apr 7, 2020 19:05 UTC
Carey Thomas PCorporate VP
Exercise / conversionFY2017 RSUs · Derivative 1,051 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-20-006166 · doc4.xml · derivative · entry 3

Carey Thomas P · CIK 0001731499 · Corporate VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,051 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each Restricted Stock Unit represented one share of Broadridge common stock and on April 6, 2020 1,051 Restricted Stock Units vested and converted into an equal number of shares of common stock.

F1 · price: Each Restricted Stock Unit represented one share of Broadridge common stock and on April 6, 2020 1,051 Restricted Stock Units vested and converted into an equal number of shares of common stock.

F1 · derivative.exercise_date: Each Restricted Stock Unit represented one share of Broadridge common stock and on April 6, 2020 1,051 Restricted Stock Units vested and converted into an equal number of shares of common stock.

F1 · derivative.expiration_date: Each Restricted Stock Unit represented one share of Broadridge common stock and on April 6, 2020 1,051 Restricted Stock Units vested and converted into an equal number of shares of common stock.

Read SEC document
April 06, 2020 Filed Apr 7, 2020 19:05 UTC
Carey Thomas PCorporate VP
SaleCommon Stock 1,089 $97.11 $105,751.37
Disclosure

SEC source: 0001225208-20-006166 · doc4.xml · nonDerivative · entry 2

Carey Thomas P · CIK 0001731499 · Corporate VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,952

F2 · price: Represents the number of shares required to be sold by the reporting person to cover tax withholding obligations in connection with the vesting of the 1,051 Restricted Stock Units listed in Table II as well as the vesting of the 1,261 Restricted Stock Units reported on August 6, 2019. This sale is made pursuant to the Issuer's election under its equity incentive plan and applicable award agreements to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person.

Read SEC document
April 06, 2020 Filed Apr 7, 2020 19:05 UTC
Carey Thomas PCorporate VP
Exercise / conversionCommon Stock 1,051 $0.00 $0.00
Disclosure

SEC source: 0001225208-20-006166 · doc4.xml · nonDerivative · entry 1

Carey Thomas P · CIK 0001731499 · Corporate VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,041

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each Restricted Stock Unit represented one share of Broadridge common stock and on April 6, 2020 1,051 Restricted Stock Units vested and converted into an equal number of shares of common stock.

Read SEC document
April 03, 2020 Filed Apr 6, 2020 17:01 UTC GrantCommon Stock 94 $0.00 $0.00
Disclosure

SEC source: 0001225208-20-006118 · doc4.xml · nonDerivative · entry 1

Duelks Robert N · CIK 0001477044 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,632

F1 · shares: The reported transaction reflects the award of additional Deferred Stock Units under Broadridge's 2018 Omnibus Award Plan in connection with the payment of Broadridge's regular quarterly dividend on the common stock underlying the Deferred Stock Units previously issued. This amount 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.

Read SEC document
April 03, 2020 Filed Apr 6, 2020 13:02 UTC GrantCommon Stock 94 $0.00 $0.00
Disclosure

SEC source: 0001225208-20-006121 · doc4.xml · nonDerivative · entry 1

PERNA THOMAS J · CIK 0001209487 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,610

F1 · shares: The reported transaction reflects the award of additional Deferred Stock Units under Broadridge's 2018 Omnibus Award Plan in connection with the payment of Broadridge's regular quarterly dividend on the common stock underlying the Deferred Stock Units previously issued. This amount 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.

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April 03, 2020 Filed Apr 6, 2020 13:01 UTC GrantCommon Stock 135 $0.00 $0.00
Disclosure

SEC source: 0001225208-20-006116 · doc4.xml · nonDerivative · entry 1

BRUN LESLIE A · CIK 0001217068 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,995

F1 · shares: The reported transaction reflects the award of additional Deferred Stock Units under Broadridge's 2018 Omnibus Award Plan in connection with the payment of Broadridge's regular quarterly dividend on the common stock underlying the Deferred Stock Units previously issued. This amount 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.

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April 03, 2020 Filed Apr 6, 2020 13:02 UTC
WEBER ALAN JDirector
GrantCommon Stock 6 $0.00 $0.00
Disclosure

SEC source: 0001225208-20-006122 · doc4.xml · nonDerivative · entry 2

WEBER ALAN J · CIK 0001198093 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,352

F2 · shares: The reported transaction reflects the award of additional Deferred Stock Units under Broadridge's 2018 Omnibus Award Plan in connection with the payment of Broadridge's regular quarterly dividend on the common stock underlying the Deferred Stock Units previously issued in lieu of cash compensation under the Director Deferred Compensation Program (the "DCUs"). This amount represents a like number of shares of Broadridge common stock. The DCUs vest in full upon grant and will settle in shares of Broadridge common stock commencing with the director's separation from service with Broadridge.

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April 03, 2020 Filed Apr 6, 2020 13:02 UTC
WEBER ALAN JDirector
GrantCommon Stock 94 $0.00 $0.00
Disclosure

SEC source: 0001225208-20-006122 · doc4.xml · nonDerivative · entry 1

WEBER ALAN J · CIK 0001198093 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,346

F1 · shares: The reported transaction reflects the award of additional Deferred Stock Units under Broadridge's 2018 Omnibus Award Plan in connection with the payment of Broadridge's regular quarterly dividend on the common stock underlying the Deferred Stock Units previously issued. This amount 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.

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April 03, 2020 Filed Apr 6, 2020 17:01 UTC
keller brettDirector
GrantCommon Stock 30 $0.00 $0.00
Disclosure

SEC source: 0001225208-20-006119 · doc4.xml · nonDerivative · entry 1

KELLER BRETT · CIK 0001214608 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,477

F1 · shares: The reported transaction reflects the award of additional Deferred Stock Units under Broadridge's 2018 Omnibus Award Plan in connection with the payment of Broadridge's regular quarterly dividend on the common stock underlying the Deferred Stock Units previously issued. This amount 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.

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April 03, 2020 Filed Apr 6, 2020 17:02 UTC GrantCommon Stock 5 $0.00 $0.00
Disclosure

SEC source: 0001225208-20-006120 · doc4.xml · nonDerivative · entry 2

Markus Maura A. · CIK 0001571545 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,181

F2 · shares: The reported transaction reflects the award of additional Deferred Stock Units under Broadridge's 2018 Omnibus Award Plan in connection with the payment of Broadridge's regular quarterly dividend on the common stock underlying the Deferred Stock Units previously issued in lieu of cash compensation under the Director Deferred Compensation Program (the "DCUs"). This amount represents a like number of shares of Broadridge common stock. The DCUs vest in full upon grant and will settle in shares of Broadridge common stock commencing with the director's separation from service with Broadridge.

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April 03, 2020 Filed Apr 6, 2020 17:02 UTC GrantCommon Stock 58 $0.00 $0.00
Disclosure

SEC source: 0001225208-20-006120 · doc4.xml · nonDerivative · entry 1

Markus Maura A. · CIK 0001571545 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,176

F1 · shares: The reported transaction reflects the award of additional Deferred Stock Units under Broadridge's 2018 Omnibus Award Plan in connection with the payment of Broadridge's regular quarterly dividend on the common stock underlying the Deferred Stock Units previously issued. This amount 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.

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April 03, 2020 Filed Apr 6, 2020 17:02 UTC
Zavery AmitDirector
GrantCommon Stock 2 $0.00 $0.00
Disclosure

SEC source: 0001225208-20-006123 · doc4.xml · nonDerivative · entry 2

Zavery Amit · CIK 0001781064 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,348

F2 · shares: The reported transaction reflects the award of additional Deferred Stock Units under Broadridge's 2018 Omnibus Award Plan in connection with the payment of Broadridge's regular quarterly dividend on the common stock underlying the Deferred Stock Units previously issued in lieu of cash compensation under the Director Deferred Compensation Program (the "DCUs"). This amount represents a like number of shares of Broadridge common stock. The DCUs vest in full upon grant and will settle in shares of Broadridge common stock commencing with the director's separation from service with Broadridge.

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April 03, 2020 Filed Apr 6, 2020 17:02 UTC
Zavery AmitDirector
GrantCommon Stock 3 $0.00 $0.00
Disclosure

SEC source: 0001225208-20-006123 · doc4.xml · nonDerivative · entry 1

Zavery Amit · CIK 0001781064 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,346

F1 · shares: The reported transaction reflects the award of additional Deferred Stock Units under Broadridge's 2018 Omnibus Award Plan in connection with the payment of Broadridge's regular quarterly dividend on the common stock underlying the Deferred Stock Units previously issued. This amount 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.

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April 03, 2020 Filed Apr 6, 2020 17:01 UTC GrantCommon Stock 12 $0.00 $0.00
Disclosure

SEC source: 0001225208-20-006117 · doc4.xml · nonDerivative · entry 1

Carter Pamela L · CIK 0001396958 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,196

F1 · shares: The reported transaction reflects the award of additional Deferred Stock Units under Broadridge's 2018 Omnibus Award Plan in connection with the payment of Broadridge's regular quarterly dividend on the common stock underlying the Deferred Stock Units previously issued. This amount 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.

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April 03, 2020 Filed Aug 27, 2020 18:23 UTC OtherCommon Stock 44.98 $93.28 $4,195.73
Disclosure

SEC source: 0001225208-20-011026 · doc4.xml · nonDerivative · entry 1

Markus Maura A. · CIK 0001571545 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,220.98

F1 · kind: Represents shares of Broadridge common stock acquired through dividend reinvestment during the fiscal year.

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April 01, 2020 Filed Apr 2, 2020 13:23 UTC
Matlin LauraVP, Deputy GC and CGO
Tax withholdingCommon Stock 657 $91.32 $59,997.24
Disclosure

SEC source: 0001225208-20-005864 · doc4.xml · nonDerivative · entry 1

Matlin Laura · CIK 0001658944 · VP, Deputy GC and CGO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,708.696

Read SEC document
April 01, 2020 Filed Apr 2, 2020 13:23 UTC
Mayadas VijayCorporate Vice President
Tax withholdingCommon Stock 693 $91.32 $63,284.76
Disclosure

SEC source: 0001225208-20-005865 · doc4.xml · nonDerivative · entry 1

Mayadas Vijay · CIK 0001658677 · Corporate Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,258.756

Read SEC document
April 01, 2020 Filed Apr 2, 2020 13:23 UTC
Liberatore MichaelVP, ICS - Mutual Funds
Tax withholdingCommon Stock 1,269 $91.32 $115,885.08
Disclosure

SEC source: 0001225208-20-005863 · doc4.xml · nonDerivative · entry 1

Liberatore Michael · CIK 0001659018 · VP, ICS - Mutual Funds

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,847.91

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.