Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| BROADRIDGE FINANCIAL SOLUTIONS, INC.BR · Entity 3252 | Director | October 05, 2023 | October 10, 2023 |
| Pioneer ILS Bridge FundN/A · Entity 110000 | Trustee | September 10, 2018 | September 18, 2018 |
| Pioneer Municipal High Income Opportunities Fund, Inc.MIO · Entity 75919 | Trustee | August 05, 2021 | August 10, 2021 |
| Pioneer Securitized Income FundN/A · Entity 135243 | Trustee | November 22, 2019 | December 10, 2019 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
BROADRIDGE FINANCIAL SOLUTIONS, INC.
Report date October 05, 2023 · Filed October 10, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 30,061 |
Reported balance
After 2023-10-05 transaction · row 1
1 source rowRow 1 · 2023-10-05 · Grant · Acquired 83 · Balance 30,061 F1: 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. |
Filing footnotes · ownership attribution and instrument terms
F1: 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.
Pioneer ILS Bridge Fund
Report date September 10, 2018 · Filed September 18, 2018
This filing explicitly reported no securities owned.
Pioneer Municipal High Income Opportunities Fund, Inc.
Report date August 05, 2021 · Filed August 10, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common SharesSEC Table I · non-derivative | Direct | Not disclosed |
Reported balance
Holding disclosure · report date 2021-08-05 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance Not disclosed |
Pioneer Securitized Income Fund
Report date November 22, 2019 · Filed December 10, 2019
This filing explicitly reported no securities owned.
Transaction history
JSON APIPurchases/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 | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| October 05, 2023 Filed Oct 10, 2023 09:05 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GrantCommon Stock | 83 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-23-009425 · doc4.xml · nonDerivative · entry 1 PERNA THOMAS J · CIK 0001209487 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 30,061 F1 · price: 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 |
| July 06, 2023 Filed Jul 10, 2023 12:18 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GrantCommon Stock | 83 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-23-007413 · doc4.xml · nonDerivative · entry 1 PERNA THOMAS J · CIK 0001209487 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 29,978 F1 · price: 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. F1 · ownership.direct: 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 05, 2023 Filed Apr 5, 2023 15:03 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GrantCommon Stock | 96 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-23-004668 · doc4.xml · nonDerivative · entry 1 PERNA THOMAS J · CIK 0001209487 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 29,895 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 |
| January 05, 2023 Filed Jan 9, 2023 12:14 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GrantCommon Stock | 95 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-23-000485 · doc4.xml · nonDerivative · entry 1 PERNA THOMAS J · CIK 0001209487 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,799 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 |
| November 22, 2022 Filed Nov 23, 2022 11:27 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionStock Option (Right to Buy) · Derivative | 4,753 | $0.00 Strike: $64.89 | $0.00 |
DisclosureSEC source: 0001225208-22-011864 · doc4.xml · derivative · entry 13 PERNA THOMAS J · CIK 0001209487 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 4,753 shares Expires 2026-11-17 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 |
| November 22, 2022 Filed Nov 23, 2022 11:27 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionStock Option (Right to Buy) · Derivative | 4,107 | $0.00 Strike: $88.66 | $0.00 |
DisclosureSEC source: 0001225208-22-011864 · doc4.xml · derivative · entry 12 PERNA THOMAS J · CIK 0001209487 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 4,107 shares Expires 2027-11-16 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 |
| November 22, 2022 Filed Nov 23, 2022 11:27 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionStock Option (Right to Buy) · Derivative | 6,469 | $0.00 Strike: $45.09 | $0.00 |
DisclosureSEC source: 0001225208-22-011864 · doc4.xml · derivative · entry 11 PERNA THOMAS J · CIK 0001209487 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 6,469 shares Expires 2024-11-13 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 |
| November 22, 2022 Filed Nov 23, 2022 11:27 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionStock Option (Right to Buy) · Derivative | 5,771 | $0.00 Strike: $56.37 | $0.00 |
DisclosureSEC source: 0001225208-22-011864 · doc4.xml · derivative · entry 10 PERNA THOMAS J · CIK 0001209487 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,771 shares Expires 2025-11-12 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 |
| November 22, 2022 Filed Nov 23, 2022 11:27 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | SaleCommon Stock | 27,480 | $147.83 | $4,062,236.50 |
DisclosureSEC source: 0001225208-22-011864 · doc4.xml · nonDerivative · entry 9 PERNA THOMAS J · CIK 0001209487 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,704 F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $146.46 - $148.62, 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 |
| November 22, 2022 Filed Nov 23, 2022 11:27 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | SaleCommon Stock | 4,227 | $147.09 | $621,737.59 |
DisclosureSEC source: 0001225208-22-011864 · doc4.xml · nonDerivative · entry 8 PERNA THOMAS J · CIK 0001209487 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,184 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $147.00 - $147.42, 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 |
| November 22, 2022 Filed Nov 23, 2022 11:27 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | SaleCommon Stock | 3,992 | $147.09 | $587,172.10 |
DisclosureSEC source: 0001225208-22-011864 · doc4.xml · nonDerivative · entry 7 PERNA THOMAS J · CIK 0001209487 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,411 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $147.00 - $147.42, 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 |
| November 22, 2022 Filed Nov 23, 2022 11:27 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | SaleCommon Stock | 3,426 | $147.09 | $503,920.75 |
DisclosureSEC source: 0001225208-22-011864 · doc4.xml · nonDerivative · entry 6 PERNA THOMAS J · CIK 0001209487 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,403 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $147.00 - $147.42, 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 |
| November 22, 2022 Filed Nov 23, 2022 11:27 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | SaleCommon Stock | 3,292 | $147.09 | $484,211.06 |
DisclosureSEC source: 0001225208-22-011864 · doc4.xml · nonDerivative · entry 5 PERNA THOMAS J · CIK 0001209487 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,829 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $147.00 - $147.42, 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 |
| November 22, 2022 Filed Nov 23, 2022 11:27 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionCommon Stock | 4,107 | $88.66 | $364,126.62 |
DisclosureSEC source: 0001225208-22-011864 · doc4.xml · nonDerivative · entry 4 PERNA THOMAS J · CIK 0001209487 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 72,121 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 |
| November 22, 2022 Filed Nov 23, 2022 11:27 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionCommon Stock | 4,753 | $64.89 | $308,422.17 |
DisclosureSEC source: 0001225208-22-011864 · doc4.xml · nonDerivative · entry 3 PERNA THOMAS J · CIK 0001209487 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,014 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 |
| November 22, 2022 Filed Nov 23, 2022 11:27 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionCommon Stock | 5,771 | $56.37 | $325,311.27 |
DisclosureSEC source: 0001225208-22-011864 · doc4.xml · nonDerivative · entry 2 PERNA THOMAS J · CIK 0001209487 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,261 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 |
| November 22, 2022 Filed Nov 23, 2022 11:27 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionCommon Stock | 6,469 | $45.09 | $291,687.21 |
DisclosureSEC source: 0001225208-22-011864 · doc4.xml · nonDerivative · entry 1 PERNA THOMAS J · CIK 0001209487 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,490 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 |
| November 09, 2022 Filed Nov 14, 2022 12:59 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GrantStock Option (Right to Buy) · Derivative | 2,730 | $0.00 Strike: $133.74 | $0.00 |
DisclosureSEC source: 0001225208-22-011623 · doc4.xml · derivative · entry 2 PERNA THOMAS J · CIK 0001209487 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,730 Underlying: Common Stock · 2,730 shares Expires 2032-11-09 F2 · derivative.exercise_date: Stock options vest immediately upon grant. Read SEC document |
| November 09, 2022 Filed Nov 14, 2022 12:59 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GrantCommon Stock | 627 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-22-011623 · doc4.xml · nonDerivative · entry 1 PERNA THOMAS J · CIK 0001209487 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,021 F1 · shares: The reported transaction reflects the grant of Deferred Stock Units under Broadridge's 2018 Omnibus Award Plan and 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 05, 2022 Filed Oct 7, 2022 12:40 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GrantCommon Stock | 78 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-22-010888 · doc4.xml · nonDerivative · entry 1 PERNA THOMAS J · CIK 0001209487 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,394 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 |
| July 06, 2022 Filed Jul 7, 2022 16:35 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GrantCommon Stock | 76 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-22-008716 · doc4.xml · nonDerivative · entry 1 PERNA THOMAS J · CIK 0001209487 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,316 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 05, 2022 Filed Apr 7, 2022 14:12 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GrantCommon Stock | 70 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-22-005681 · doc4.xml · nonDerivative · entry 1 PERNA THOMAS J · CIK 0001209487 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,240 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 |
| January 05, 2022 Filed Jan 7, 2022 12:26 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GrantCommon Stock | 63 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-22-000582 · doc4.xml · nonDerivative · entry 1 PERNA THOMAS J · CIK 0001209487 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,170 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 |
| November 18, 2021 Filed Nov 22, 2021 12:06 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GrantStock Option (Right to Buy) · Derivative | 2,360 | $0.00 Strike: $173.00 | $0.00 |
DisclosureSEC source: 0001225208-21-014020 · doc4.xml · derivative · entry 2 PERNA THOMAS J · CIK 0001209487 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,360 Underlying: Common Stock · 2,360 shares Expires 2031-11-18 F2 · derivative.exercise_date: Stock options vest immediately upon grant. Read SEC document |
| November 18, 2021 Filed Nov 22, 2021 12:06 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GrantCommon Stock | 485 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-21-014020 · doc4.xml · nonDerivative · entry 1 PERNA THOMAS J · CIK 0001209487 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,107 F1 · shares: The reported transaction reflects the grant of Deferred Stock Units under Broadridge's 2018 Omnibus Award Plan and 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 05, 2021 Filed Oct 6, 2021 14:56 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GrantCommon Stock | 66 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-21-012996 · doc4.xml · nonDerivative · entry 1 PERNA THOMAS J · CIK 0001209487 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,622 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 |
| July 02, 2021 Filed Jul 6, 2021 11:31 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GrantCommon Stock | 59 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-21-010158 · doc4.xml · nonDerivative · entry 1 PERNA THOMAS J · CIK 0001209487 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,556 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 02, 2021 Filed Apr 5, 2021 14:46 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GrantCommon Stock | 62 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-21-006398 · doc4.xml · nonDerivative · entry 1 PERNA THOMAS J · CIK 0001209487 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,497 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 |
| January 05, 2021 Filed Jan 7, 2021 09:59 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GrantCommon Stock | 64 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-21-000621 · doc4.xml · nonDerivative · entry 1 PERNA THOMAS J · CIK 0001209487 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,435 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 |
| November 19, 2020 Filed Nov 23, 2020 11:54 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GrantStock Option (Right to Buy) · Derivative | 2,931 | $0.00 Strike: $146.60 | $0.00 |
DisclosureSEC source: 0001225208-20-013792 · doc4.xml · derivative · entry 2 PERNA THOMAS J · CIK 0001209487 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,931 Underlying: Common Stock · 2,931 shares Expires 2030-11-19 F2 · derivative.exercise_date: Stock options vest immediately upon grant. Read SEC document |
| November 19, 2020 Filed Nov 23, 2020 11:54 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GrantCommon Stock | 565 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-20-013792 · doc4.xml · nonDerivative · entry 1 PERNA THOMAS J · CIK 0001209487 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,371 F1 · shares: The reported transaction reflects the grant of Deferred Stock Units under Broadridge's 2018 Omnibus Award Plan and 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 |
| November 05, 2020 Filed Nov 6, 2020 10:21 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionStock Option (Right to Buy) · Derivative | 12,074 | $0.00 Strike: $22.67 | $0.00 |
DisclosureSEC source: 0001225208-20-013144 · doc4.xml · derivative · entry 12 PERNA THOMAS J · CIK 0001209487 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 12,074 shares Expires 2022-11-15 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 |
| November 05, 2020 Filed Nov 6, 2020 10:21 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionStock Option (Right to Buy) · Derivative | 10,841 | $0.00 Strike: $36.35 | $0.00 |
DisclosureSEC source: 0001225208-20-013144 · doc4.xml · derivative · entry 11 PERNA THOMAS J · CIK 0001209487 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 10,841 shares Expires 2023-11-14 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 |
| November 05, 2020 Filed Nov 6, 2020 10:21 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionStock Option (Right to Buy) · Derivative | 7,869 | $0.00 Strike: $22.90 | $0.00 |
DisclosureSEC source: 0001225208-20-013144 · doc4.xml · derivative · entry 10 PERNA THOMAS J · CIK 0001209487 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 7,869 shares Expires 2021-05-12 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 |
| November 05, 2020 Filed Nov 6, 2020 10:21 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionStock Option (Right to Buy) · Derivative | 9,982 | $0.00 Strike: $21.29 | $0.00 |
DisclosureSEC source: 0001225208-20-013144 · doc4.xml · derivative · entry 9 PERNA THOMAS J · CIK 0001209487 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 9,982 shares Expires 2022-05-10 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 |
| November 05, 2020 Filed Nov 6, 2020 10:21 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | SaleCommon Stock | 5,970 | $145.63 | $869,439.16 |
DisclosureSEC source: 0001225208-20-013144 · doc4.xml · nonDerivative · entry 8 PERNA THOMAS J · CIK 0001209487 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,806 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $144.98 - $146.04, 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 |
| November 05, 2020 Filed Nov 6, 2020 10:21 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | SaleCommon Stock | 5,965 | $145.63 | $868,710.99 |
DisclosureSEC source: 0001225208-20-013144 · doc4.xml · nonDerivative · entry 7 PERNA THOMAS J · CIK 0001209487 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,776 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $144.98 - $146.04, 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 |
| November 05, 2020 Filed Nov 6, 2020 10:21 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | SaleCommon Stock | 4,875 | $145.63 | $709,969.16 |
DisclosureSEC source: 0001225208-20-013144 · doc4.xml · nonDerivative · entry 6 PERNA THOMAS J · CIK 0001209487 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,741 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $144.98 - $146.04, 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 |
| November 05, 2020 Filed Nov 6, 2020 10:21 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | SaleCommon Stock | 3,896 | $145.63 | $567,392.79 |
DisclosureSEC source: 0001225208-20-013144 · doc4.xml · nonDerivative · entry 5 PERNA THOMAS J · CIK 0001209487 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,616 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $144.98 - $146.04, 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 |
| November 05, 2020 Filed Nov 6, 2020 10:21 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionCommon Stock | 7,869 | $22.90 | $180,200.10 |
DisclosureSEC source: 0001225208-20-013144 · doc4.xml · nonDerivative · entry 4 PERNA THOMAS J · CIK 0001209487 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,512 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 |
| November 05, 2020 Filed Nov 6, 2020 10:21 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionCommon Stock | 9,982 | $21.29 | $212,516.78 |
DisclosureSEC source: 0001225208-20-013144 · doc4.xml · nonDerivative · entry 3 PERNA THOMAS J · CIK 0001209487 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,643 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 |
| November 05, 2020 Filed Nov 6, 2020 10:21 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionCommon Stock | 10,841 | $36.35 | $394,070.35 |
DisclosureSEC source: 0001225208-20-013144 · doc4.xml · nonDerivative · entry 2 PERNA THOMAS J · CIK 0001209487 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,661 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 |
| November 05, 2020 Filed Nov 6, 2020 10:21 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionCommon Stock | 12,074 | $22.67 | $273,717.58 |
DisclosureSEC source: 0001225208-20-013144 · doc4.xml · nonDerivative · entry 1 PERNA THOMAS J · CIK 0001209487 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,820 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 |
| October 05, 2020 Filed Oct 7, 2020 09:58 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GrantCommon Stock | 68 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-20-012297 · doc4.xml · nonDerivative · entry 1 PERNA THOMAS J · CIK 0001209487 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,746 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 |
| July 02, 2020 Filed Jul 6, 2020 13:51 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GrantCommon Stock | 68 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-20-009563 · doc4.xml · nonDerivative · entry 1 PERNA THOMAS J · CIK 0001209487 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,678 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 | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GrantCommon Stock | 94 | $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| January 03, 2020 Filed Jan 6, 2020 14:34 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GrantCommon Stock | 69 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-20-000457 · doc4.xml · nonDerivative · entry 1 PERNA THOMAS J · CIK 0001209487 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,516 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 |
| November 21, 2019 Filed Nov 22, 2019 10:21 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionStock Option (Right to Buy) · Derivative | 15,100 | $0.00 Strike: $21.94 | $0.00 |
DisclosureSEC source: 0001225208-19-014762 · doc4.xml · derivative · entry 3 PERNA THOMAS J · CIK 0001209487 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 15,100 shares Expires 2020-05-12 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 |
| November 21, 2019 Filed Nov 22, 2019 10:21 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | SaleCommon Stock | 7,680 | $121.57 | $933,656.83 |
DisclosureSEC source: 0001225208-19-014762 · doc4.xml · nonDerivative · entry 2 PERNA THOMAS J · CIK 0001209487 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,447 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $121.20 - $121.895, 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 |
| November 21, 2019 Filed Nov 22, 2019 10:21 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionCommon Stock | 15,100 | $21.94 | $331,294.00 |
DisclosureSEC source: 0001225208-19-014762 · doc4.xml · nonDerivative · entry 1 PERNA THOMAS J · CIK 0001209487 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,127 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.