Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| BROADRIDGE FINANCIAL SOLUTIONS, INC.BR · Entity 3252 | Corporate SVP and CFO | August 13, 2020 | August 17, 2020 |
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 August 13, 2020 · Filed August 17, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 16,598 |
Ending reported balance
After 2020-08-13 transaction · row 5
5 source rows · reconciled sequenceRow 1 · 2020-08-13 · Exercise / conversion · Acquired 19,699 · Balance 49,060 Row 2 · 2020-08-13 · Exercise / conversion · Acquired 10,245 · Balance 59,305 Row 3 · 2020-08-13 · Sale · Disposed 9,536 · Balance 49,769 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $138.20 - $139.973, 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. Row 4 · 2020-08-13 · Sale · Disposed 15,000 · Balance 34,769 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $138.20 - $139.973, 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. Row 5 · 2020-08-13 · Sale · Disposed 18,171 · Balance 16,598 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $138.20 - $139.973, 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. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $98.31 · Expires 2029-02-11 | Direct | 30,738 |
Reported balance
After 2020-08-13 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2020-08-13 · Exercise / conversion · Disposed 10,245 · Balance 30,738 |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $93.88 · Expires 2028-02-12 | Direct | 19,699 |
Reported balance
After 2020-08-13 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2020-08-13 · Exercise / conversion · Disposed 19,699 · Balance 19,699 |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $138.20 - $139.973, 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.
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 |
|---|---|---|---|---|---|---|
| August 13, 2020 Filed Aug 17, 2020 18:42 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionStock Option (Right to Buy) · Derivative | 19,699 | $0.00 Strike: $93.88 | $0.00 |
DisclosureSEC source: 0001225208-20-010679 · doc4.xml · derivative · entry 7 Young James M · CIK 0001610934 · Corporate SVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,699 Underlying: Common Stock · 19,699 shares Expires 2028-02-12 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 |
| August 13, 2020 Filed Aug 17, 2020 18:42 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionStock Option (Right to Buy) · Derivative | 10,245 | $0.00 Strike: $98.31 | $0.00 |
DisclosureSEC source: 0001225208-20-010679 · doc4.xml · derivative · entry 6 Young James M · CIK 0001610934 · Corporate SVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,738 Underlying: Common Stock · 10,245 shares Expires 2029-02-11 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. Read SEC document |
| August 13, 2020 Filed Aug 17, 2020 18:42 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | SaleCommon Stock | 18,171 | $138.91 | $2,524,133.61 |
DisclosureSEC source: 0001225208-20-010679 · doc4.xml · nonDerivative · entry 5 Young James M · CIK 0001610934 · Corporate SVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,598 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $138.20 - $139.973, 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 |
| August 13, 2020 Filed Aug 17, 2020 18:42 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | SaleCommon Stock | 15,000 | $138.91 | $2,083,650.00 |
DisclosureSEC source: 0001225208-20-010679 · doc4.xml · nonDerivative · entry 4 Young James M · CIK 0001610934 · Corporate SVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,769 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $138.20 - $139.973, 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 |
| August 13, 2020 Filed Aug 17, 2020 18:42 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | SaleCommon Stock | 9,536 | $138.91 | $1,324,645.76 |
DisclosureSEC source: 0001225208-20-010679 · doc4.xml · nonDerivative · entry 3 Young James M · CIK 0001610934 · Corporate SVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,769 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $138.20 - $139.973, 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 |
| August 13, 2020 Filed Aug 17, 2020 18:42 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionCommon Stock | 10,245 | $98.31 | $1,007,185.95 |
DisclosureSEC source: 0001225208-20-010679 · doc4.xml · nonDerivative · entry 2 Young James M · CIK 0001610934 · Corporate SVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,305 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 |
| August 13, 2020 Filed Aug 17, 2020 18:42 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionCommon Stock | 19,699 | $93.88 | $1,849,342.12 |
DisclosureSEC source: 0001225208-20-010679 · doc4.xml · nonDerivative · entry 1 Young James M · CIK 0001610934 · Corporate SVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,060 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 |
| August 04, 2020 Filed Aug 6, 2020 14:47 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GrantCommon Stock | 9,062 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-20-010355 · doc4.xml · nonDerivative · entry 1 Young James M · CIK 0001610934 · Corporate SVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,361 F1 · date: The reported transaction reflects the amount of Restricted Stock Units granted under Broadridge's 2018 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, 2021. Read SEC document |
| May 12, 2020 Filed May 13, 2020 16:52 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionStock Option (Right to Buy) · Derivative | 31,047 | $0.00 Strike: $67.32 | $0.00 |
DisclosureSEC source: 0001225208-20-007549 · doc4.xml · derivative · entry 10 Young James M · CIK 0001610934 · Corporate SVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,349 Underlying: Common Stock · 31,047 shares Expires 2027-02-10 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| May 12, 2020 Filed May 13, 2020 16:52 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionStock Option (Right to Buy) · Derivative | 18,959 | $0.00 Strike: $50.95 | $0.00 |
DisclosureSEC source: 0001225208-20-007549 · doc4.xml · derivative · entry 9 Young James M · CIK 0001610934 · Corporate SVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 18,959 shares Expires 2025-02-09 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| May 12, 2020 Filed May 13, 2020 16:52 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionStock Option (Right to Buy) · Derivative | 46,012 | $0.00 Strike: $51.95 | $0.00 |
DisclosureSEC source: 0001225208-20-007549 · doc4.xml · derivative · entry 8 Young James M · CIK 0001610934 · Corporate SVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 46,012 shares Expires 2026-02-08 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| May 12, 2020 Filed May 13, 2020 16:52 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | SaleCommon Stock | 39,448 | $119.46 | $4,712,320.01 |
DisclosureSEC source: 0001225208-20-007549 · doc4.xml · nonDerivative · entry 7 Young James M · CIK 0001610934 · Corporate SVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,299 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $118.00 - $120.1350, inclusive. The reporting person undertakes to provide to Broadridge Financial Solutions, Inc., any shareholder of Broadridge Financial Solutions, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (1) to this Form 4. Read SEC document |
| May 12, 2020 Filed May 13, 2020 16:52 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | SaleCommon Stock | 27,650 | $119.46 | $3,302,972.23 |
DisclosureSEC source: 0001225208-20-007549 · doc4.xml · nonDerivative · entry 6 Young James M · CIK 0001610934 · Corporate SVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,747 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $118.00 - $120.1350, inclusive. The reporting person undertakes to provide to Broadridge Financial Solutions, Inc., any shareholder of Broadridge Financial Solutions, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (1) to this Form 4. Read SEC document |
| May 12, 2020 Filed May 13, 2020 16:52 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | SaleCommon Stock | 16,213 | $119.46 | $1,936,748.23 |
DisclosureSEC source: 0001225208-20-007549 · doc4.xml · nonDerivative · entry 5 Young James M · CIK 0001610934 · Corporate SVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 87,397 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $118.00 - $120.1350, inclusive. The reporting person undertakes to provide to Broadridge Financial Solutions, Inc., any shareholder of Broadridge Financial Solutions, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (1) to this Form 4. Read SEC document |
| May 12, 2020 Filed May 13, 2020 16:52 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | SaleCommon Stock | 15,025 | $119.46 | $1,794,833.91 |
DisclosureSEC source: 0001225208-20-007549 · doc4.xml · nonDerivative · entry 4 Young James M · CIK 0001610934 · Corporate SVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 103,610 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $118.00 - $120.1350, inclusive. The reporting person undertakes to provide to Broadridge Financial Solutions, Inc., any shareholder of Broadridge Financial Solutions, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (1) to this Form 4. Read SEC document |
| May 12, 2020 Filed May 13, 2020 16:52 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionCommon Stock | 18,959 | $50.95 | $965,961.05 |
DisclosureSEC source: 0001225208-20-007549 · doc4.xml · nonDerivative · entry 3 Young James M · CIK 0001610934 · Corporate SVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 118,635 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| May 12, 2020 Filed May 13, 2020 16:52 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionCommon Stock | 31,047 | $67.32 | $2,090,084.04 |
DisclosureSEC source: 0001225208-20-007549 · doc4.xml · nonDerivative · entry 2 Young James M · CIK 0001610934 · Corporate SVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 99,676 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| May 12, 2020 Filed May 13, 2020 16:52 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionCommon Stock | 46,012 | $51.95 | $2,390,323.40 |
DisclosureSEC source: 0001225208-20-007549 · doc4.xml · nonDerivative · entry 1 Young James M · CIK 0001610934 · Corporate SVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,629 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| April 01, 2020 Filed Apr 2, 2020 17:23 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Tax withholdingCommon Stock | 6,367 | $91.32 | $581,434.44 |
DisclosureSEC source: 0001225208-20-005870 · doc4.xml · nonDerivative · entry 1 Young James M · CIK 0001610934 · Corporate SVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,617 Read SEC document |
| February 04, 2020 Filed Feb 5, 2020 15:55 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GrantStock Option (Right to Buy) · Derivative | 41,580 | $0.00 Strike: $117.34 | $0.00 |
DisclosureSEC source: 0001225208-20-001670 · doc4.xml · derivative · entry 1 Young James M · CIK 0001610934 · Corporate SVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,580 Underlying: Common Stock · 41,580 shares Expires 2030-02-04 F1 · derivative.exercise_date: Stock options vest equally over 4 years beginning February 4, 2021. Read SEC document |
| August 15, 2019 Filed Aug 16, 2019 14:59 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionStock Option (Right to Buy) · Derivative | 28,437 | $0.00 Strike: $50.95 | $0.00 |
DisclosureSEC source: 0001225208-19-011470 · doc4.xml · derivative · entry 4 Young James M · CIK 0001610934 · Corporate VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,959 Underlying: Common Stock · 28,437 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 May 30, 2019. Read SEC document |
| August 15, 2019 Filed Aug 16, 2019 14:59 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | SaleCommon Stock | 24,166 | $126.45 | $3,055,897.03 |
DisclosureSEC source: 0001225208-19-011470 · doc4.xml · nonDerivative · entry 3 Young James M · CIK 0001610934 · Corporate VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,984 F2 · kind: The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person on May 30, 2019. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $125.74 - $126.96, 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 |
| August 15, 2019 Filed Aug 16, 2019 14:59 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | SaleCommon Stock | 14,000 | $126.45 | $1,770,343.40 |
DisclosureSEC source: 0001225208-19-011470 · doc4.xml · nonDerivative · entry 2 Young James M · CIK 0001610934 · Corporate VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,150 F2 · kind: The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person on May 30, 2019. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $125.74 - $126.92, 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 15, 2019 Filed Aug 16, 2019 14:59 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionCommon Stock | 28,437 | $50.95 | $1,448,865.15 |
DisclosureSEC source: 0001225208-19-011470 · doc4.xml · nonDerivative · entry 1 Young James M · CIK 0001610934 · Corporate VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 67,150 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 May 30, 2019. Read SEC document |
| August 06, 2019 Filed Aug 7, 2019 15:13 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GrantCommon Stock | 13,010 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-010952 · doc4.xml · nonDerivative · entry 1 Young James M · CIK 0001610934 · Corporate VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,713 F1 · date: The reported transaction reflects the amount of Restricted Stock Units granted under Broadridge's 2018 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, 2020. Read SEC document |
| April 01, 2019 Filed Apr 3, 2019 14:36 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Tax withholdingCommon Stock | 5,356 | $104.99 | $562,326.44 |
DisclosureSEC source: 0001225208-19-006270 · doc4.xml · nonDerivative · entry 1 Young James M · CIK 0001610934 · Corporate VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,703 Read SEC document |
| February 11, 2019 Filed Feb 12, 2019 19:45 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GrantStock Option (Right to Buy) · Derivative | 40,983 | $0.00 Strike: $98.31 | $0.00 |
DisclosureSEC source: 0001225208-19-002261 · doc4.xml · derivative · entry 1 Young James M · CIK 0001610934 · Corporate VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,983 Underlying: Common Stock · 40,983 shares Expires 2029-02-11 F1 · derivative.exercise_date: Stock options vest equally over 4 years beginning February 11, 2020. Read SEC document |
| August 10, 2018 Filed Aug 13, 2018 18:42 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | 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 | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | 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 | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | 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 | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | 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 | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | 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 | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | 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 | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | 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 16:26 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | 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 |
| April 02, 2018 Filed Apr 3, 2018 19:39 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Tax withholdingCommon Stock | 5,656 | $109.69 | $620,406.64 |
DisclosureSEC source: 0001225208-18-007126 · doc4.xml · nonDerivative · entry 1 Young James M · CIK 0001610934 · Corporate VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,652 Read SEC document |
| February 12, 2018 Filed Feb 14, 2018 19:36 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GrantStock Option (Right to Buy) · Derivative | 39,398 | $0.00 Strike: $93.88 | $0.00 |
DisclosureSEC source: 0001225208-18-002851 · doc4.xml · derivative · entry 1 Young James M · CIK 0001610934 · Corporate VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,398 Underlying: Common Stock · 39,398 shares Expires 2028-02-12 F1 · derivative.exercise_date: Stock options vest equally over 4 years beginning February 12, 2019. Read SEC document |
| August 02, 2017 Filed Aug 2, 2017 19:51 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GrantCommon Stock | 11,559 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-013147 · doc4.xml · nonDerivative · entry 1 Young James M · CIK 0001610934 · Corporate VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,308 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, 2018. Read SEC document |
| April 03, 2017 Filed Apr 5, 2017 17:47 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionRestricted Stock Unit · Derivative | 4,878 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-007628 · doc4.xml · derivative · entry 4 Young James M · CIK 0001610934 · Corporate VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 4,878 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each Restricted Stock Unit represented one share of Broadridge common stock and on April 3, 2017 4,878 Restricted Stock Units vested and converted into an equal number of shares of common stock. F1 · price: Each Restricted Stock Unit represented one share of Broadridge common stock and on April 3, 2017 4,878 Restricted Stock Units vested and converted into an equal number of shares of common stock. F1 · derivative.exercise_date: Each Restricted Stock Unit represented one share of Broadridge common stock and on April 3, 2017 4,878 Restricted Stock Units vested and converted into an equal number of shares of common stock. F1 · derivative.expiration_date: Each Restricted Stock Unit represented one share of Broadridge common stock and on April 3, 2017 4,878 Restricted Stock Units vested and converted into an equal number of shares of common stock. Read SEC document |
| April 03, 2017 Filed Apr 5, 2017 17:47 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Tax withholdingCommon Stock | 5,876 | $67.95 | $399,274.20 |
DisclosureSEC source: 0001225208-17-007628 · doc4.xml · nonDerivative · entry 3 Young James M · CIK 0001610934 · Corporate VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,749 F2 · price: Represents the amount of shares withheld to cover tax liabilities upon the vesting of 13,999 performance based Restricted Stock Units that vested and converted into an equal number of shares of common stock on April 3, 2017. Read SEC document |
| April 03, 2017 Filed Apr 5, 2017 17:47 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Tax withholdingCommon Stock | 1,800 | $67.95 | $122,310.00 |
DisclosureSEC source: 0001225208-17-007628 · doc4.xml · nonDerivative · entry 2 Young James M · CIK 0001610934 · Corporate VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,625 Read SEC document |
| April 03, 2017 Filed Apr 5, 2017 17:47 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionCommon Stock | 4,878 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-007628 · doc4.xml · nonDerivative · entry 1 Young James M · CIK 0001610934 · Corporate VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,425 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each Restricted Stock Unit represented one share of Broadridge common stock and on April 3, 2017 4,878 Restricted Stock Units vested and converted into an equal number of shares of common stock. Read SEC document |
| February 10, 2017 Filed Feb 13, 2017 16:26 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GrantStock Option (Right to Buy) · Derivative | 41,396 | $0.00 Strike: $67.32 | $0.00 |
DisclosureSEC source: 0001225208-17-002915 · doc4.xml · derivative · entry 1 Young James M · CIK 0001610934 · Corporate VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,396 Underlying: Common Stock · 41,396 shares Expires 2027-02-10 F1 · derivative.exercise_date: Stock options vest equally over 4 years beginning February 10, 2018. 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.