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Carey Thomas P

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23264
SEC CIK
0001731499

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CompanyLast reported asReport datePublished
BROADRIDGE FINANCIAL SOLUTIONS, INC.BR · Entity 3252Corporate VPOctober 01, 2026October 05, 2026

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 01, 2026 · Filed October 05, 2026

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect8,800 Reported balance After 2026-10-01 transaction · row 1
1 source row

Row 1 · 2026-10-01 · Sale · Disposed 2,501 · Balance 8,800

F1: Represents the amount of shares sold to cover tax liabilities upon the vesting of 5,275 performance based Restricted Stock Units that vested and converted into an equal number of shares of common stock on October 1, 2026.

Filing footnotes · ownership attribution and instrument terms

F1: Represents the amount of shares sold to cover tax liabilities upon the vesting of 5,275 performance based Restricted Stock Units that vested and converted into an equal number of shares of common stock on October 1, 2026.

Transaction history

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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 dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
February 12, 2021 Filed Feb 17, 2021 20:30 UTC BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 GrantStock Option (Right to Buy) · Derivative 14,548 $0.00 Strike: $148.07 $0.00
Disclosure

SEC source: 0001225208-21-002645 · doc4.xml · derivative · entry 1

Carey Thomas P · CIK 0001731499 · Corporate VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,548

Underlying: Common Stock · 14,548 shares

Expires 2031-02-12

F1 · derivative.exercise_date: Stock options vest equally over 4 years beginning February 12, 2022.

Read SEC document
August 13, 2020 Filed Aug 13, 2020 21:16 UTC BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 Exercise / conversionStock Option (Right to Buy) · Derivative 9,879 $36.97 Strike: $36.97 $365,226.63
Disclosure

SEC source: 0001225208-20-010582 · doc4.xml · derivative · entry 5

Carey Thomas P · CIK 0001731499 · Corporate VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 9,879 shares

Expires 2024-02-10

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
August 13, 2020 Filed Aug 13, 2020 21:16 UTC BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 Exercise / conversionStock Option (Right to Buy) · Derivative 1,246 $36.97 Strike: $36.97 $46,064.62
Disclosure

SEC source: 0001225208-20-010582 · doc4.xml · derivative · entry 4

Carey Thomas P · CIK 0001731499 · Corporate VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,246 shares

Expires 2024-02-10

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
August 13, 2020 Filed Aug 13, 2020 21:16 UTC BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 SaleCommon Stock 8,974 $138.57 $1,243,505.64
Disclosure

SEC source: 0001225208-20-010582 · doc4.xml · nonDerivative · entry 3

Carey Thomas P · CIK 0001731499 · Corporate VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,961

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $138.5600 - $138.6500, 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 13, 2020 21:16 UTC BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 Exercise / conversionCommon Stock 1,246 $36.97 $46,064.62
Disclosure

SEC source: 0001225208-20-010582 · doc4.xml · nonDerivative · entry 2

Carey Thomas P · CIK 0001731499 · Corporate VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,935

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 13, 2020 21:16 UTC BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 Exercise / conversionCommon Stock 9,879 $36.97 $365,226.63
Disclosure

SEC source: 0001225208-20-010582 · doc4.xml · nonDerivative · entry 1

Carey Thomas P · CIK 0001731499 · Corporate VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,689

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 14:46 UTC BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 GrantCommon Stock 1,858 $0.00 $0.00
Disclosure

SEC source: 0001225208-20-010343 · doc4.xml · nonDerivative · entry 1

Carey Thomas P · CIK 0001731499 · Corporate VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,810

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 6, 2021.

Read SEC document
April 06, 2020 Filed Apr 7, 2020 19:05 UTC BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 Exercise / conversionFY2017 RSUs · Derivative 1,051 $0.00 Strike: $0.00 $0.00
Disclosure

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

Carey Thomas P · CIK 0001731499 · Corporate VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,051 shares

Expires not disclosed

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

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

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

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

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

Read SEC document
April 06, 2020 Filed Apr 7, 2020 19:05 UTC BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 SaleCommon Stock 1,089 $97.11 $105,751.37
Disclosure

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

Carey Thomas P · CIK 0001731499 · Corporate VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,952

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

Read SEC document
April 06, 2020 Filed Apr 7, 2020 19:05 UTC BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 Exercise / conversionCommon Stock 1,051 $0.00 $0.00
Disclosure

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

Carey Thomas P · CIK 0001731499 · Corporate VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,041

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

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

Read SEC document
February 04, 2020 Filed Feb 5, 2020 15:54 UTC BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 GrantStock Option (Right to Buy) · Derivative 15,167 $0.00 Strike: $117.34 $0.00
Disclosure

SEC source: 0001225208-20-001658 · doc4.xml · derivative · entry 1

Carey Thomas P · CIK 0001731499 · Corporate VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,167

Underlying: Common Stock · 15,167 shares

Expires 2030-02-04

F1 · derivative.exercise_date: Stock options vest equally over 4 years beginning February 4, 2021.

Read SEC document
September 04, 2019 Filed Sep 4, 2019 15:03 UTC BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 SaleCommon Stock 2,258 $128.69 $290,572.31
Disclosure

SEC source: 0001225208-19-012077 · doc4.xml · nonDerivative · entry 1

Carey Thomas P · CIK 0001731499 · Corporate VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,990

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $128.66 - $128.98, 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 (1) to this Form 4.

Read SEC document
August 06, 2019 Filed Aug 7, 2019 15:13 UTC BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 GrantCommon Stock 1,261 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-010940 · doc4.xml · nonDerivative · entry 1

Carey Thomas P · CIK 0001731499 · Corporate VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,248

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 6, 2020.

Read SEC document
April 08, 2019 Filed Apr 9, 2019 14:10 UTC BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 SaleCommon Stock 1,215 $108.82 $132,213.99
Disclosure

SEC source: 0001225208-19-006589 · doc4.xml · nonDerivative · entry 2

Carey Thomas P · CIK 0001731499 · Corporate VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,987

F2 · price: Represents the number of shares required to be sold by the reporting person to cover tax withholding obligations in connection with the vesting of the 1,097 Restricted Stock Units listed in Table II as well as the vesting of the 1,426 Restricted Stock Units reported on August 2, 2018. This sale is made pursuant to the Issuer's election under its equity incentive plan and applicable award agreements to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person.

Read SEC document
April 06, 2019 Filed Apr 9, 2019 14:10 UTC BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 Exercise / conversionFY2016 RSUs · Derivative 1,097 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-19-006589 · doc4.xml · derivative · entry 3

Carey Thomas P · CIK 0001731499 · Corporate VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,097 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each Restricted Stock Unit represented one share of Broadridge common stock and on April 6, 2019 1,097 Restricted Stock Units vested and converted into an equal number of shares of common stock.

F1 · price: Each Restricted Stock Unit represented one share of Broadridge common stock and on April 6, 2019 1,097 Restricted Stock Units vested and converted into an equal number of shares of common stock.

F1 · derivative.exercise_date: Each Restricted Stock Unit represented one share of Broadridge common stock and on April 6, 2019 1,097 Restricted Stock Units vested and converted into an equal number of shares of common stock.

F1 · derivative.expiration_date: Each Restricted Stock Unit represented one share of Broadridge common stock and on April 6, 2019 1,097 Restricted Stock Units vested and converted into an equal number of shares of common stock.

Read SEC document
April 06, 2019 Filed Apr 9, 2019 14:10 UTC BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 Exercise / conversionCommon Stock 1,097 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-006589 · doc4.xml · nonDerivative · entry 1

Carey Thomas P · CIK 0001731499 · Corporate VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,202

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

F1 · price: Each Restricted Stock Unit represented one share of Broadridge common stock and on April 6, 2019 1,097 Restricted Stock Units vested and converted into an equal number of shares of common stock.

Read SEC document
February 11, 2019 Filed Feb 12, 2019 19:44 UTC BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 GrantStock Option (Right to Buy) · Derivative 14,712 $0.00 Strike: $98.31 $0.00
Disclosure

SEC source: 0001225208-19-002249 · doc4.xml · derivative · entry 1

Carey Thomas P · CIK 0001731499 · Corporate VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,712

Underlying: Common Stock · 14,712 shares

Expires 2029-02-11

F1 · derivative.exercise_date: Stock options vest equally over 4 years beginning February 11, 2020.

Read SEC document
August 02, 2018 Filed Aug 6, 2018 16:25 UTC BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 GrantCommon Stock 1,426 $0.00 $0.00
Disclosure

SEC 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
May 25, 2018 Filed May 29, 2018 15:07 UTC BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 Exercise / conversionStock Option (Right to Buy) · Derivative 16,000 $0.00 Strike: $36.97 $0.00
Disclosure

SEC source: 0001225208-18-009882 · doc4.xml · derivative · entry 3

Carey Thomas P · CIK 0001731499 · Corporate VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,879

Underlying: Common Stock · 16,000 shares

Expires 2024-02-10

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 25, 2018 Filed May 29, 2018 15:07 UTC BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 SaleCommon Stock 16,000 $116.18 $1,858,851.20
Disclosure

SEC source: 0001225208-18-009882 · doc4.xml · nonDerivative · entry 2

Carey Thomas P · CIK 0001731499 · Corporate VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,679

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $116.00 - $116.42, 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
May 25, 2018 Filed May 29, 2018 15:07 UTC BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 Exercise / conversionCommon Stock 16,000 $36.97 $591,520.00
Disclosure

SEC source: 0001225208-18-009882 · doc4.xml · nonDerivative · entry 1

Carey Thomas P · CIK 0001731499 · Corporate VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,679

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

Read SEC document
April 06, 2018 Filed Apr 10, 2018 19:20 UTC BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 Exercise / conversionFY2015 RSUs · Derivative 1,376 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-18-007603 · doc4.xml · derivative · entry 4

Carey Thomas P · CIK 0001731499 · Corporate VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,376 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each Restricted Stock Unit represented one share of Broadridge common stock and on April 6, 2018 1,376 Restricted Stock Units vested and converted into an equal number of shares of common stock.

F1 · price: Each Restricted Stock Unit represented one share of Broadridge common stock and on April 6, 2018 1,376 Restricted Stock Units vested and converted into an equal number of shares of common stock.

F1 · derivative.exercise_date: Each Restricted Stock Unit represented one share of Broadridge common stock and on April 6, 2018 1,376 Restricted Stock Units vested and converted into an equal number of shares of common stock.

F1 · derivative.expiration_date: Each Restricted Stock Unit represented one share of Broadridge common stock and on April 6, 2018 1,376 Restricted Stock Units vested and converted into an equal number of shares of common stock.

Read SEC document
April 06, 2018 Filed Apr 10, 2018 19:20 UTC BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 Tax withholdingCommon Stock 776 $106.55 $82,682.80
Disclosure

SEC source: 0001225208-18-007603 · doc4.xml · nonDerivative · entry 3

Carey Thomas P · CIK 0001731499 · Corporate VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,679

F2 · price: Represents the amount of shares withheld to cover tax liabilities upon the vesting of 1,651 performance based Restricted Stock Units that vested and converted into an equal number of shares of common stock on April 6, 2018.

Read SEC document
April 06, 2018 Filed Apr 10, 2018 19:20 UTC BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 Tax withholdingCommon Stock 647 $106.55 $68,937.85
Disclosure

SEC source: 0001225208-18-007603 · doc4.xml · nonDerivative · entry 2

Carey Thomas P · CIK 0001731499 · Corporate VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,455

Read SEC document
April 06, 2018 Filed Apr 10, 2018 19:20 UTC BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 Exercise / conversionCommon Stock 1,376 $0.00 $0.00
Disclosure

SEC source: 0001225208-18-007603 · doc4.xml · nonDerivative · entry 1

Carey Thomas P · CIK 0001731499 · Corporate VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,102

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

F1 · price: Each Restricted Stock Unit represented one share of Broadridge common stock and on April 6, 2018 1,376 Restricted Stock Units vested and converted into an equal number of shares of common stock.

Read SEC document
February 12, 2018 Filed Feb 15, 2018 20:09 UTC BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 GrantStock Option (Right to Buy) · Derivative 5,969 $0.00 Strike: $93.88 $0.00
Disclosure

SEC source: 0001225208-18-003025 · doc4.xml · derivative · entry 2

Carey Thomas P · CIK 0001731499 · Corporate VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,132

Underlying: Common Stock · 5,969 shares

Expires 2028-02-12

F1 · derivative.exercise_date: Stock options vest equally over 4 years beginning February 12, 2019.

Read SEC document
February 12, 2018 Filed Feb 15, 2018 20:09 UTC BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 GrantStock Option (Right to Buy) · Derivative 7,163 $0.00 Strike: $93.88 $0.00
Disclosure

SEC source: 0001225208-18-003025 · doc4.xml · derivative · entry 1

Carey Thomas P · CIK 0001731499 · Corporate VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,163

Underlying: Common Stock · 7,163 shares

Expires 2028-02-12

F1 · derivative.exercise_date: Stock options vest equally over 4 years beginning February 12, 2019.

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.