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
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 1 |
| Dec 2025 | 0 | 3 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 2 |
| Mar 2026 | 1 | 0 |
| Apr 2026 | 0 | 0 |
| May 2026 | 0 | 0 |
| Jun 2026 | 0 | 1 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 0 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 1 |
Latest available
Insider transactions
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 date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| October 03, 2018 Filed Oct 4, 2018 18:40 UTC |
keller brettDirector
|
GrantCommon Stock | 14 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-014425 · doc4.xml · nonDerivative · entry 1 KELLER BRETT · CIK 0001214608 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,766 F1 · shares: The reported transaction reflects the award of additional Deferred Stock Units under Broadridge's 2007 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. F1 · price: The reported transaction reflects the award of additional Deferred Stock Units under Broadridge's 2007 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 |
| October 03, 2018 Filed Oct 4, 2018 14:40 UTC |
BRUN LESLIE ADirector
|
GrantCommon Stock | 78 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-014421 · doc4.xml · nonDerivative · entry 1 BRUN LESLIE A · CIK 0001217068 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,998 F1 · shares: The reported transaction reflects the award of additional Deferred Stock Units under Broadridge's 2007 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. F1 · price: The reported transaction reflects the award of additional Deferred Stock Units under Broadridge's 2007 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 |
| October 03, 2018 Filed Oct 4, 2018 18:40 UTC |
Markus Maura A.Director
|
GrantCommon Stock | 32 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-014427 · doc4.xml · nonDerivative · entry 1 Markus Maura A. · CIK 0001571545 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,631 F1 · shares: The reported transaction reflects the award of additional Deferred Stock Units under Broadridge's 2007 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. F1 · price: The reported transaction reflects the award of additional Deferred Stock Units under Broadridge's 2007 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 |
| October 03, 2018 Filed Oct 4, 2018 18:40 UTC |
Carter Pamela LDirector
|
GrantCommon Stock | 3 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-014422 · doc4.xml · nonDerivative · entry 1 Carter Pamela L · CIK 0001396958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 873 F1 · shares: The reported transaction reflects the award of additional Deferred Stock Units under Broadridge's 2007 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. F1 · price: The reported transaction reflects the award of additional Deferred Stock Units under Broadridge's 2007 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 |
| September 30, 2018 Filed Oct 2, 2018 14:15 UTC |
Markus Maura A.Director
|
GrantPhantom Stock · Derivative | 206.5176 | $131.95 | $27,250.00 |
DisclosureSEC source: 0001225208-18-013957 · doc4.xml · derivative · entry 1 Markus Maura A. · CIK 0001571545 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,069.4727 Underlying: Common Stock · 206.5176 shares Expires not disclosed F1 · derivative.exercise_price: Each share of phantom stock is the economic equivalent of one share of common stock. The shares of phantom stock become payable in cash upon the reporting person's separation from service as a director. F1 · derivative.exercise_date: Each share of phantom stock is the economic equivalent of one share of common stock. The shares of phantom stock become payable in cash upon the reporting person's separation from service as a director. F1 · derivative.expiration_date: Each share of phantom stock is the economic equivalent of one share of common stock. The shares of phantom stock become payable in cash upon the reporting person's separation from service as a director. Read SEC document |
| September 27, 2018 Filed Sep 28, 2018 11:13 UTC |
DALY RICHARD JDirector · CEO
|
Exercise / conversionStock Option (Right to Buy) · Derivative | 31,379 | $0.00 Strike: $50.95 | $0.00 |
DisclosureSEC source: 0001225208-18-013790 · doc4.xml · derivative · entry 13 DALY RICHARD J · CIK 0001198860 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,084 Underlying: Common Stock · 31,379 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. F1 · kind: The reported transaction is a stock option exercise pursuant to a 10b5-1 plan adopted by the reporting person on June 8, 2018. Read SEC document |
| September 27, 2018 Filed Sep 28, 2018 11:13 UTC |
DALY RICHARD JDirector · CEO
|
Exercise / conversionStock Option (Right to Buy) · Derivative | 93,120 | $0.00 Strike: $51.95 | $0.00 |
DisclosureSEC source: 0001225208-18-013790 · doc4.xml · derivative · entry 12 DALY RICHARD J · CIK 0001198860 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,120 Underlying: Common Stock · 93,120 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. F1 · kind: The reported transaction is a stock option exercise pursuant to a 10b5-1 plan adopted by the reporting person on June 8, 2018. Read SEC document |
| September 27, 2018 Filed Sep 28, 2018 11:13 UTC |
DALY RICHARD JDirector · CEO
|
SaleCommon Stock | 78,600 | $131.31 | $10,321,201.80 |
DisclosureSEC source: 0001225208-18-013790 · doc4.xml · nonDerivative · entry 6 DALY RICHARD J · CIK 0001198860 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 301,647.0229 F2 · kind: The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person on June 8, 2018. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $130.89 - $132.98, 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. Read SEC document |
| September 27, 2018 Filed Sep 28, 2018 11:13 UTC |
DALY RICHARD JDirector · CEO
|
SaleCommon Stock | 26,400 | $131.31 | $3,466,663.20 |
DisclosureSEC source: 0001225208-18-013790 · doc4.xml · nonDerivative · entry 5 DALY RICHARD J · CIK 0001198860 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 380,247.0229 F2 · kind: The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person on June 8, 2018. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $130.89 - $132.98, 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. Read SEC document |
| September 27, 2018 Filed Sep 28, 2018 11:13 UTC |
DALY RICHARD JDirector · CEO
|
Exercise / conversionCommon Stock | 31,379 | $50.95 | $1,598,760.05 |
DisclosureSEC source: 0001225208-18-013790 · doc4.xml · nonDerivative · entry 4 DALY RICHARD J · CIK 0001198860 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 406,647.0229 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 June 8, 2018. Read SEC document |
| September 27, 2018 Filed Sep 28, 2018 11:13 UTC |
DALY RICHARD JDirector · CEO
|
Exercise / conversionCommon Stock | 93,120 | $51.95 | $4,837,584.00 |
DisclosureSEC source: 0001225208-18-013790 · doc4.xml · nonDerivative · entry 3 DALY RICHARD J · CIK 0001198860 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 375,268.0229 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 June 8, 2018. Read SEC document |
| September 26, 2018 Filed Sep 28, 2018 11:13 UTC |
DALY RICHARD JDirector · CEO
|
Exercise / conversionStock Option (Right to Buy) · Derivative | 124,870 | $0.00 Strike: $50.95 | $0.00 |
DisclosureSEC source: 0001225208-18-013790 · doc4.xml · derivative · entry 11 DALY RICHARD J · CIK 0001198860 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 83,463 Underlying: Common Stock · 124,870 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. F1 · kind: The reported transaction is a stock option exercise pursuant to a 10b5-1 plan adopted by the reporting person on June 8, 2018. Read SEC document |
| September 26, 2018 Filed Sep 28, 2018 11:13 UTC |
DALY RICHARD JDirector · CEO
|
SaleCommon Stock | 105,188 | $132.97 | $13,986,511.76 |
DisclosureSEC source: 0001225208-18-013790 · doc4.xml · nonDerivative · entry 2 DALY RICHARD J · CIK 0001198860 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 282,148.0229 F2 · kind: The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person on June 8, 2018. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $132.14 - $134.73, 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. Read SEC document |
| September 26, 2018 Filed Sep 28, 2018 11:13 UTC |
DALY RICHARD JDirector · CEO
|
Exercise / conversionCommon Stock | 124,870 | $50.95 | $6,362,126.50 |
DisclosureSEC source: 0001225208-18-013790 · doc4.xml · nonDerivative · entry 1 DALY RICHARD J · CIK 0001198860 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 387,336.0229 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 June 8, 2018. Read SEC document |
| September 25, 2018 Filed Sep 27, 2018 14:41 UTC |
DALY RICHARD JDirector · CEO
|
SaleCommon Stock | 10,000 | $134.11 | $1,341,115.00 |
DisclosureSEC source: 0001225208-18-013772 · doc4.xml · nonDerivative · entry 5 DALY RICHARD J · CIK 0001198860 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Indirect · by The KLD 2014 Trust Disclosed balance after: 9,485 F1 · kind: The reported transaction is an open market sale pursuant to 10b5-1 plans adopted by the reporting person, The EED 2014 Trust and The KLD 2014 Trust adopted on June 8, 2018. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $133.4800 - $134.6100, 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 to this Form 4. Read SEC document |
| September 25, 2018 Filed Sep 27, 2018 14:41 UTC |
DALY RICHARD JDirector · CEO
|
SaleCommon Stock | 10,000 | $134.11 | $1,341,115.00 |
DisclosureSEC source: 0001225208-18-013772 · doc4.xml · nonDerivative · entry 3 DALY RICHARD J · CIK 0001198860 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Indirect · by The EED 2014 Trust Disclosed balance after: 9,484 F1 · kind: The reported transaction is an open market sale pursuant to 10b5-1 plans adopted by the reporting person, The EED 2014 Trust and The KLD 2014 Trust adopted on June 8, 2018. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $133.4800 - $134.6100, 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 to this Form 4. Read SEC document |
| September 25, 2018 Filed Sep 27, 2018 14:41 UTC |
DALY RICHARD JDirector · CEO
|
SaleCommon Stock | 27,192 | $134.11 | $3,646,759.91 |
DisclosureSEC source: 0001225208-18-013772 · doc4.xml · nonDerivative · entry 1 DALY RICHARD J · CIK 0001198860 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 262,466.0229 F1 · kind: The reported transaction is an open market sale pursuant to 10b5-1 plans adopted by the reporting person, The EED 2014 Trust and The KLD 2014 Trust adopted on June 8, 2018. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $133.4800 - $134.6100, 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 to this Form 4. F3 · balance_after: Reflects the distribution of 20,300 shares from indirect ownership under the reporting person's 2016 grantor retained annuity trust ("The RD 2016 GRAT") to direct ownership by the reporting person as an annuity payment in accordance with the terms of the grant instrument. On September 11, 2018, The RD 2016 GRAT distributed 14,039 shares to The 2014 EED Trust and 14,040 to The 2014 KLD 2014 Trust. The RD 2016 GRAT no longer owns any shares of the Registrant's common stock. Read SEC document |
| September 11, 2018 Filed Sep 27, 2018 14:41 UTC |
DALY RICHARD JDirector · CEO
|
GiftCommon Stock | 28,079 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-013772 · doc4.xml · nonDerivative · entry 6 DALY RICHARD J · CIK 0001198860 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Indirect · by The RD 2016 GRAT Disclosed balance after: 0 F6 · ownership.nature: Reflects the distribution of 28,079 shares from The RD 2016 GRAT to The EED 2014 Trust and The KLD 2014 Trust. The RD 2016 GRAT no longer owns any shares of the Registrant's common stock. Read SEC document |
| September 11, 2018 Filed Sep 27, 2018 14:41 UTC |
DALY RICHARD JDirector · CEO
|
GiftCommon Stock | 14,040 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-013772 · doc4.xml · nonDerivative · entry 4 DALY RICHARD J · CIK 0001198860 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Indirect · by The KLD 2014 Trust Disclosed balance after: 19,485 F5 · ownership.nature: Represents the gift of securities distributed from The RD 2016 GRAT to the KLD 2014 Trust, Richard Daly and Deborah Daly, Trustees, a family trust held for the benefit of the reporting person's child. Read SEC document |
| September 11, 2018 Filed Sep 27, 2018 14:41 UTC |
DALY RICHARD JDirector · CEO
|
GiftCommon Stock | 14,039 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-013772 · doc4.xml · nonDerivative · entry 2 DALY RICHARD J · CIK 0001198860 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Indirect · by The EED 2014 Trust Disclosed balance after: 19,484 F4 · ownership.nature: Represents the gift of securities distributed from The RD 2016 GRAT to the EED 2014 Trust, Richard Daly and Deborah Daly, Trustees, a family trust held for the benefit of the reporting person's child. Read SEC document |
| August 10, 2018 Filed Aug 13, 2018 18:42 UTC |
Young James MCorporate VP and CFO
|
Exercise / conversionStock Option (Right to Buy) · Derivative | 26,260 | $0.00 Strike: $40.67 | $0.00 |
DisclosureSEC source: 0001225208-18-012500 · doc4.xml · derivative · entry 7 Young James M · CIK 0001610934 · Corporate VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 26,260 shares Expires 2024-08-11 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 June 8, 2018. Read SEC document |
| August 10, 2018 Filed Aug 13, 2018 18:42 UTC |
Young James MCorporate VP and CFO
|
Exercise / conversionStock Option (Right to Buy) · Derivative | 10,937 | $0.00 Strike: $50.95 | $0.00 |
DisclosureSEC source: 0001225208-18-012500 · doc4.xml · derivative · entry 6 Young James M · CIK 0001610934 · Corporate VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,396 Underlying: Common Stock · 10,937 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. F1 · kind: The reported transaction is a stock option exercise pursuant to a 10b5-1 plan adopted by the reporting person on June 8, 2018. Read SEC document |
| August 10, 2018 Filed Aug 13, 2018 18:42 UTC |
Young James MCorporate VP and CFO
|
SaleCommon Stock | 21,659 | $129.79 | $2,811,086.96 |
DisclosureSEC source: 0001225208-18-012500 · doc4.xml · nonDerivative · entry 5 Young James M · CIK 0001610934 · Corporate VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,059 F2 · kind: The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person on June 8, 2018. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $129.16 - $130.78, 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. Read SEC document |
| August 10, 2018 Filed Aug 13, 2018 18:42 UTC |
Young James MCorporate VP and CFO
|
SaleCommon Stock | 13,826 | $129.79 | $1,794,454.42 |
DisclosureSEC source: 0001225208-18-012500 · doc4.xml · nonDerivative · entry 4 Young James M · CIK 0001610934 · Corporate VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,718 F2 · kind: The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person on June 8, 2018. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $129.16 - $130.78, 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. Read SEC document |
| August 10, 2018 Filed Aug 13, 2018 18:42 UTC |
Young James MCorporate VP and CFO
|
SaleCommon Stock | 9,241 | $129.79 | $1,199,374.60 |
DisclosureSEC source: 0001225208-18-012500 · doc4.xml · nonDerivative · entry 3 Young James M · CIK 0001610934 · Corporate VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,544 F2 · kind: The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person on June 8, 2018. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $129.16 - $130.78, 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. Read SEC document |
| August 10, 2018 Filed Aug 13, 2018 18:42 UTC |
Young James MCorporate VP and CFO
|
Exercise / conversionCommon Stock | 10,937 | $50.95 | $557,240.15 |
DisclosureSEC source: 0001225208-18-012500 · doc4.xml · nonDerivative · entry 2 Young James M · CIK 0001610934 · Corporate VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,785 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 June 8, 2018. Read SEC document |
| August 10, 2018 Filed Aug 13, 2018 18:42 UTC |
Young James MCorporate VP and CFO
|
Exercise / conversionCommon Stock | 26,260 | $40.67 | $1,067,994.20 |
DisclosureSEC source: 0001225208-18-012500 · doc4.xml · nonDerivative · entry 1 Young James M · CIK 0001610934 · Corporate VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,848 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 June 8, 2018. Read SEC document |
| August 02, 2018 Filed Aug 6, 2018 12:25 UTC |
Matlin LauraVP, Deputy GC and CGO
|
GrantCommon Stock | 1,664 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-012316 · doc4.xml · nonDerivative · entry 1 Matlin Laura · CIK 0001658944 · VP, Deputy GC and CGO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,664.696 F1 · date: The reported transaction reflects the amount of Restricted Stock Units granted under Broadridge's 2007 Omnibus Award Plan as determined at the end of a two-year performance period and represent a like number of shares of Broadridge common stock. The Restricted Stock Units will vest and convert into shares of Broadridge common stock on April 1, 2019. Read SEC document |
| August 02, 2018 Filed Aug 6, 2018 12:25 UTC |
Mayadas VijayCorporate Vice President
|
GrantCommon Stock | 1,664 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-012317 · doc4.xml · nonDerivative · entry 1 Mayadas Vijay · CIK 0001658677 · Corporate Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,147.756 F1 · date: The reported transaction reflects the amount of Restricted Stock Units granted under Broadridge's 2007 Omnibus Award Plan as determined at the end of a two-year performance period and represent a like number of shares of Broadridge common stock. The Restricted Stock Units will vest and convert into shares of Broadridge common stock on April 1, 2019. Read SEC document |
| August 02, 2018 Filed Aug 6, 2018 12:25 UTC |
Liberatore MichaelVP, ICS - Mutual Funds
|
GrantCommon Stock | 2,852 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-012314 · doc4.xml · nonDerivative · entry 1 Liberatore Michael · CIK 0001659018 · VP, ICS - Mutual Funds 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,947.91 F1 · date: The reported transaction reflects the amount of Restricted Stock Units granted under Broadridge's 2007 Omnibus Award Plan as determined at the end of a two-year performance period and represent a like number of shares of Broadridge common stock. The Restricted Stock Units will vest and convert into shares of Broadridge common stock on April 1, 2019. Read SEC document |
| August 02, 2018 Filed Aug 6, 2018 16:25 UTC |
Gokey Timothy CPresident and COO
|
GrantCommon Stock | 15,692 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-012312 · doc4.xml · nonDerivative · entry 1 Gokey Timothy C · CIK 0001296187 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,159.0271 F1 · date: The reported transaction reflects the amount of Restricted Stock Units granted under Broadridge's 2007 Omnibus Award Plan as determined at the end of a two-year performance period and represent a like number of shares of Broadridge common stock. The Restricted Stock Units will vest and convert into shares of Broadridge common stock on April 1, 2019. Read SEC document |
| August 02, 2018 Filed Aug 6, 2018 12:25 UTC |
DALY RICHARD JDirector · CEO
|
GrantCommon Stock | 45,177 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-012310 · doc4.xml · nonDerivative · entry 1 DALY RICHARD J · CIK 0001198860 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 269,358.0229 F1 · date: The reported transaction reflects the amount of Restricted Stock Units granted under Broadridge's 2007 Omnibus Award Plan as determined at the end of a two-year performance period and represent a like number of shares of Broadridge common stock. The Restricted Stock Units will vest and convert into shares of Broadridge common stock on April 1, 2019. Read SEC document |
| August 02, 2018 Filed Aug 6, 2018 16:26 UTC |
Young James MCorporate VP and CFO
|
GrantCommon Stock | 10,936 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-012321 · doc4.xml · nonDerivative · entry 1 Young James M · CIK 0001610934 · Corporate VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,588 F1 · date: The reported transaction reflects the amount of Restricted Stock Units granted under Broadridge's 2007 Omnibus Award Plan as determined at the end of a two-year performance period and represent a like number of shares of Broadridge common stock. The Restricted Stock Units will vest and convert into shares of Broadridge common stock on April 1, 2019. Read SEC document |
| August 02, 2018 Filed Aug 6, 2018 16:25 UTC |
Taylor Julie R.Corporate VP and CHRO
|
GrantCommon Stock | 4,279 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-012320 · doc4.xml · nonDerivative · entry 1 Taylor Julie R. · CIK 0001588233 · Corporate VP and CHRO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,175.327 F1 · date: The reported transaction reflects the amount of Restricted Stock Units granted under Broadridge's 2007 Omnibus Award Plan as determined at the end of a two-year performance period and represent a like number of shares of Broadridge common stock. The Restricted Stock Units will vest and convert into shares of Broadridge common stock on April 1, 2019. Read SEC document |
| August 02, 2018 Filed Aug 6, 2018 16:25 UTC |
SCHIFELLITE ROBERTCorporate SVP
|
GrantCommon Stock | 8,559 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-012319 · doc4.xml · nonDerivative · entry 1 SCHIFELLITE ROBERT · CIK 0001391090 · Corporate SVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,405.6729 F1 · date: The reported transaction reflects the amount of Restricted Stock Units granted under Broadridge's 2007 Omnibus Award Plan as determined at the end of a two-year performance period and represent a like number of shares of Broadridge common stock. The Restricted Stock Units will vest and convert into shares of Broadridge common stock on April 1, 2019. Read SEC document |
| August 02, 2018 Filed Aug 6, 2018 16:25 UTC |
PERRY CHRISTOPHER JOHNCorporate SVP
|
GrantCommon Stock | 6,657 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-012318 · doc4.xml · nonDerivative · entry 1 PERRY CHRISTOPHER JOHN · CIK 0001619128 · Corporate SVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,753.528 F1 · date: The reported transaction reflects the amount of Restricted Stock Units granted under Broadridge's 2007 Omnibus Award Plan as determined at the end of a two-year performance period and represent a like number of shares of Broadridge common stock. The Restricted Stock Units will vest and convert into shares of Broadridge common stock on April 1, 2019. Read SEC document |
| August 02, 2018 Filed Aug 6, 2018 16:25 UTC |
MARCHESANI CHARLES JCorporate Vice President
|
GrantCommon Stock | 4,041 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-012315 · doc4.xml · nonDerivative · entry 1 MARCHESANI CHARLES J · CIK 0001389951 · Corporate Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,128.1112 F1 · date: The reported transaction reflects the amount of Restricted Stock Units granted under Broadridge's 2007 Omnibus Award Plan as determined at the end of a two-year performance period and represent a like number of shares of Broadridge common stock. The Restricted Stock Units will vest and convert into shares of Broadridge common stock on April 1, 2019. Read SEC document |
| August 02, 2018 Filed Aug 6, 2018 16:25 UTC |
KALENKA ROBERT FCorporate Vice President
|
GrantCommon Stock | 2,614 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-012313 · doc4.xml · nonDerivative · entry 1 KALENKA ROBERT F · CIK 0001391091 · Corporate Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,779.4097 F1 · date: The reported transaction reflects the amount of Restricted Stock Units granted under Broadridge's 2007 Omnibus Award Plan as determined at the end of a two-year performance period and represent a like number of shares of Broadridge common stock. The Restricted Stock Units will vest and convert into shares of Broadridge common stock on April 1, 2019. Read SEC document |
| August 02, 2018 Filed Aug 6, 2018 16:25 UTC |
DESCHUTTER DOUGLAS RICHARDCorporate Vice President
|
GrantCommon Stock | 2,377 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-012311 · doc4.xml · nonDerivative · entry 1 DESCHUTTER DOUGLAS RICHARD · CIK 0001391093 · Corporate Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 82,977.8948 F1 · date: The reported transaction reflects the amount of Restricted Stock Units granted under Broadridge's 2007 Omnibus Award Plan as determined at the end of a two-year performance period and represent a like number of shares of Broadridge common stock. The Restricted Stock Units will vest and convert into shares of Broadridge common stock on April 1, 2019. Read SEC document |
| August 02, 2018 Filed Aug 6, 2018 16:25 UTC |
Carey Thomas PCorporate VP
|
GrantCommon Stock | 1,426 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-012309 · doc4.xml · nonDerivative · entry 1 Carey Thomas P · CIK 0001731499 · Corporate VP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,105 F1 · date: The reported transaction reflects the amount of Restricted Stock Units granted under Broadridge's 2007 Omnibus Award Plan as determined at the end of a two-year performance period and represent a like number of shares of Broadridge common stock. The Restricted Stock Units will vest and convert into shares of Broadridge common stock on April 6, 2019. Read SEC document |
| August 02, 2018 Filed Aug 6, 2018 16:25 UTC |
AMSTERDAM ADAM DCorporate Vice President
|
GrantCommon Stock | 5,705 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-012308 · doc4.xml · nonDerivative · entry 1 AMSTERDAM ADAM D · CIK 0001391094 · Corporate Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,587.3989 F1 · date: The reported transaction reflects the amount of Restricted Stock Units granted under Broadridge's 2007 Omnibus Award Plan as determined at the end of a two-year performance period and represent a like number of shares of Broadridge common stock. The Restricted Stock Units will vest and convert into shares of Broadridge common stock on April 1, 2019. Read SEC document |
| July 03, 2018 Filed Jul 5, 2018 14:03 UTC |
Duelks Robert NDirector
|
GrantCommon Stock | 45 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-011426 · doc4.xml · nonDerivative · entry 1 Duelks Robert N · CIK 0001477044 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,427 F1 · shares: The reported transaction reflects the award of additional Deferred Stock Units under Broadridge's 2007 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. F1 · price: The reported transaction reflects the award of additional Deferred Stock Units under Broadridge's 2007 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 |
| July 03, 2018 Filed Jul 5, 2018 10:03 UTC |
Haviland Richard JDirector
|
GrantCommon Stock | 45 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-011427 · doc4.xml · nonDerivative · entry 1 Haviland Richard J · CIK 0001302903 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,847 F1 · shares: The reported transaction reflects the award of additional Deferred Stock Units under Broadridge's 2007 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. F1 · price: The reported transaction reflects the award of additional Deferred Stock Units under Broadridge's 2007 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 |
| July 03, 2018 Filed Jul 5, 2018 10:03 UTC |
PERNA THOMAS JDirector
|
GrantCommon Stock | 45 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-011431 · doc4.xml · nonDerivative · entry 1 PERNA THOMAS J · CIK 0001209487 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,427 F1 · shares: The reported transaction reflects the award of additional Deferred Stock Units under Broadridge's 2007 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. F1 · price: The reported transaction reflects the award of additional Deferred Stock Units under Broadridge's 2007 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 |
| July 03, 2018 Filed Jul 5, 2018 10:03 UTC |
Levine Stuart RDirector
|
GrantCommon Stock | 45 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-011429 · doc4.xml · nonDerivative · entry 1 Levine Stuart R · CIK 0001186624 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,647 F1 · shares: The reported transaction reflects the award of additional Deferred Stock Units under Broadridge's 2007 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. F1 · price: The reported transaction reflects the award of additional Deferred Stock Units under Broadridge's 2007 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 |
| July 03, 2018 Filed Jul 5, 2018 10:04 UTC |
WEBER ALAN JDirector
|
GrantCommon Stock | 45 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-011432 · doc4.xml · nonDerivative · entry 1 WEBER ALAN J · CIK 0001198093 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,627 F1 · shares: The reported transaction reflects the award of additional Deferred Stock Units under Broadridge's 2007 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. F1 · price: The reported transaction reflects the award of additional Deferred Stock Units under Broadridge's 2007 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 |
| July 03, 2018 Filed Jul 5, 2018 14:03 UTC |
keller brettDirector
|
GrantCommon Stock | 11 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-011428 · doc4.xml · nonDerivative · entry 1 KELLER BRETT · CIK 0001214608 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,752 F1 · shares: The reported transaction reflects the award of additional Deferred Stock Units under Broadridge's 2007 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. F1 · price: The reported transaction reflects the award of additional Deferred Stock Units under Broadridge's 2007 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 |
| July 03, 2018 Filed Jul 5, 2018 10:03 UTC |
BRUN LESLIE ADirector
|
GrantCommon Stock | 62 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-011424 · doc4.xml · nonDerivative · entry 1 BRUN LESLIE A · CIK 0001217068 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,920 F1 · shares: The reported transaction reflects the award of additional Deferred Stock Units under Broadridge's 2007 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. F1 · price: The reported transaction reflects the award of additional Deferred Stock Units under Broadridge's 2007 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 |
| July 03, 2018 Filed Jul 5, 2018 14:03 UTC |
Markus Maura A.Director
|
GrantCommon Stock | 26 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-011430 · doc4.xml · nonDerivative · entry 1 Markus Maura A. · CIK 0001571545 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,599 F1 · shares: The reported transaction reflects the award of additional Deferred Stock Units under Broadridge's 2007 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. F1 · price: The reported transaction reflects the award of additional Deferred Stock Units under Broadridge's 2007 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 |
| July 03, 2018 Filed Jul 5, 2018 14:03 UTC |
Carter Pamela LDirector
|
GrantCommon Stock | 2 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-011425 · doc4.xml · nonDerivative · entry 1 Carter Pamela L · CIK 0001396958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 870 F1 · shares: The reported transaction reflects the award of additional Deferred Stock Units under Broadridge's 2007 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. F1 · price: The reported transaction reflects the award of additional Deferred Stock Units under Broadridge's 2007 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.