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BR

BROADRIDGE FINANCIAL SOLUTIONS, INC.

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3252
SEC CIK
0001383312
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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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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
September 21, 2016 Filed Sep 23, 2016 13:07 UTC
DALY RICHARD JDirector · President and CEO
Exercise / conversionStock Option (Right to Buy) · Derivative 27,040 $0.00 Strike: $25.67 $0.00
Disclosure

SEC source: 0001225208-16-039595 · doc4.xml · derivative · entry 11

DALY RICHARD J · CIK 0001198860 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,460

Underlying: Common Stock · 27,040 shares

Expires 2020-02-08

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 August 19, 2016.

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September 21, 2016 Filed Sep 23, 2016 13:07 UTC
DALY RICHARD JDirector · President and CEO
SaleCommon Stock 50,693 $69.34 $3,515,199.63
Disclosure

SEC source: 0001225208-16-039595 · doc4.xml · nonDerivative · entry 3

DALY RICHARD J · CIK 0001198860 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 158,094.0229

F2 · kind: The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person on August 19, 2016.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $68.92 - $69.75, 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.

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September 21, 2016 Filed Sep 23, 2016 13:07 UTC
DALY RICHARD JDirector · President and CEO
SaleCommon Stock 22,916 $69.47 $1,592,024.94
Disclosure

SEC source: 0001225208-16-039595 · doc4.xml · nonDerivative · entry 2

DALY RICHARD J · CIK 0001198860 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 208,787.0229

F2 · kind: The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person on August 19, 2016.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $69.06 - $69.64, 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 (3) to this Form 4.

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September 21, 2016 Filed Sep 23, 2016 13:07 UTC
DALY RICHARD JDirector · President and CEO
Exercise / conversionCommon Stock 27,040 $25.67 $694,116.80
Disclosure

SEC source: 0001225208-16-039595 · doc4.xml · nonDerivative · entry 1

DALY RICHARD J · CIK 0001198860 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 231,703.0229

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 August 19, 2016.

Read SEC document
September 20, 2016 Filed Sep 21, 2016 14:08 UTC
DALY RICHARD JDirector · President and CEO
SaleCommon Stock 52,470 $68.91 $3,615,613.25
Disclosure

SEC source: 0001225208-16-039563 · doc4.xml · nonDerivative · entry 2

DALY RICHARD J · CIK 0001198860 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 204,663.0229

F1 · kind: The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person on August 19, 2016.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $68.74 - $69.21, 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.

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September 19, 2016 Filed Sep 21, 2016 14:08 UTC
DALY RICHARD JDirector · President and CEO
SaleCommon Stock 51,353 $68.69 $3,527,360.54
Disclosure

SEC source: 0001225208-16-039563 · doc4.xml · nonDerivative · entry 1

DALY RICHARD J · CIK 0001198860 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 257,133.0229

F1 · kind: The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person on August 19, 2016.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $68.24 - $69.48, 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.

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July 05, 2016 Filed Jun 28, 2017 14:40 UTC OtherCommon Stock 48.709 $0.00 $0.00
Disclosure

SEC source: 0001225208-17-011622 · doc4.xml · nonDerivative · entry 1

PERRY CHRISTOPHER JOHN · CIK 0001619128 · Corporate SVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,664.709

F1 · kind: Represents shares of Broadridge common stock acquired through dividend reinvestment on July 5, 2016.

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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.