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, 2026 | October 06, 2026 |
| DIEBOLD NIXDORF, IncDBD · Entity 4421 | Director | May 22, 2026 | May 22, 2026 |
| STIFEL FINANCIAL CORPSF · Entity 3461 | Director | June 09, 2026 | June 11, 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 05, 2026 · Filed October 06, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 33,124.102 |
Ending reported balance
After 2026-10-05 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2026-10-05 · Grant · Acquired 100 · Balance 33,087.102 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. Row 2 · 2026-10-05 · Grant · Acquired 37 · Balance 33,124.102 F2: 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 in lieu of cash compensation under the Director Deferred Compensation Program (the "DCUs "). This amount represents a like number of shares of Broadridge common stock. The DCUs vest in full upon grant and will settle in shares of Broadridge common stock commencing with 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.
F2: 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 in lieu of cash compensation under the Director Deferred Compensation Program (the "DCUs "). This amount represents a like number of shares of Broadridge common stock. The DCUs vest in full upon grant and will settle in shares of Broadridge common stock commencing with the director's separation from service with Broadridge.
DIEBOLD NIXDORF, Inc
Report date May 22, 2026 · Filed May 22, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 10,617 |
Reported balance
After 2026-05-22 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2026-05-22 · Grant · Acquired 2,621 · Balance 10,617 F1: Award of Restricted Stock Units granted under the Diebold Nixdorf, Incorporated 2023 Equity and Incentive Plan, as amended; each Restricted Stock Unit represents a contingent right to receive one share of Diebold Nixdorf, Incorporated common stock. F2: Number includes Restricted Stock Units. F3: Number includes Deferred Shares. |
Filing footnotes · ownership attribution and instrument terms
F1: Award of Restricted Stock Units granted under the Diebold Nixdorf, Incorporated 2023 Equity and Incentive Plan, as amended; each Restricted Stock Unit represents a contingent right to receive one share of Diebold Nixdorf, Incorporated common stock.
F2: Number includes Restricted Stock Units.
F3: Number includes Deferred Shares.
STIFEL FINANCIAL CORP
Report date June 09, 2026 · Filed June 11, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Phantom Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 2,450 |
Reported balance
After 2026-06-09 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2026-06-09 · Grant · Acquired 2,450 · Balance 2,450 F1: Units vest quarterly over a one year period. F2: No expiration date for these Units |
| Common StockSEC Table I · non-derivative | Direct | 44,688 |
Reported balance
Holding disclosure · report date 2026-06-09 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 44,688 |
Filing footnotes · ownership attribution and instrument terms
F1: Units vest quarterly over a one year period.
F2: No expiration date for these Units
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 |
|---|---|---|---|---|---|---|
| June 14, 2021 Filed Jun 15, 2021 16:21 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GrantCommon Stock | 165 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-21-009409 · doc4.xml · nonDerivative · entry 1 Markus Maura A. · CIK 0001571545 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,949.102 F1 · shares: The reported transaction reflects the grant of Deferred Stock Units under Broadridge's 2018 Omnibus Award Plan in connection with the director's deferral of cash compensation under the Director Deferred Compensation Program and represents a like number of shares of Broadridge common stock (the "DCUs"). The DCUs vest in full upon grant and will settle in shares of Broadridge common stock commencing with the director's separation from service with Broadridge. Read SEC document |
| June 03, 2021 Filed Jun 7, 2021 20:37 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Exercise / conversionPhantom Stock Units · Derivative | 3,144 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-038622 · doc4.xml · derivative · entry 2 Markus Maura A. · CIK 0001571545 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,625 Underlying: Common Stock · 3,144 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_date: Currently exercisable. F2 · derivative.expiration_date: No expiration date for these Units. Read SEC document |
| June 03, 2021 Filed Jun 7, 2021 20:37 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Exercise / conversionCommon Stock | 3,144 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-038622 · doc4.xml · nonDerivative · entry 1 Markus Maura A. · CIK 0001571545 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,845 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 02, 2021 Filed Apr 5, 2021 18:46 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GrantCommon Stock | 6 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-21-006397 · doc4.xml · nonDerivative · entry 2 Markus Maura A. · CIK 0001571545 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,784.102 F2 · 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 in lieu of cash compensation under the Director Deferred Compensation Program (the "DCUs"). This amount represents a like number of shares of Broadridge common stock. The DCUs vest in full upon grant and will settle in shares of Broadridge common stock commencing with the director's separation from service with Broadridge. Read SEC document |
| April 02, 2021 Filed Apr 5, 2021 18:46 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GrantCommon Stock | 40 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-21-006397 · doc4.xml · nonDerivative · entry 1 Markus Maura A. · CIK 0001571545 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,778.102 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 |
| March 16, 2021 Filed Mar 18, 2021 14:48 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GrantCommon Stock | 184 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-21-005557 · doc4.xml · nonDerivative · entry 1 Markus Maura A. · CIK 0001571545 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,738.102 F1 · shares: The reported transaction reflects the grant of Deferred Stock Units under Broadridge's 2018 Omnibus Award Plan in connection with the director's deferral of cash compensation under the Director Deferred Compensation Program and represents a like number of shares of Broadridge common stock (the "DCUs"). The DCUs vest in full upon grant and will settle in shares of Broadridge common stock commencing with the director's separation from service with Broadridge. Read SEC document |
| January 05, 2021 Filed Jan 7, 2021 14:59 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GrantCommon Stock | 6 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-21-000620 · doc4.xml · nonDerivative · entry 2 Markus Maura A. · CIK 0001571545 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,554.102 F2 · 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 in lieu of cash compensation under the Director Deferred Compensation Program (the "DCUs"). This amount represents a like number of shares of Broadridge common stock. The DCUs vest in full upon grant and will settle in shares of Broadridge common stock commencing with the director's separation from service with Broadridge. Read SEC document |
| January 05, 2021 Filed Jan 7, 2021 14:59 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GrantCommon Stock | 40 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-21-000620 · doc4.xml · nonDerivative · entry 1 Markus Maura A. · CIK 0001571545 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,548.102 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 |
| December 18, 2020 Filed Dec 18, 2020 22:47 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GrantCommon Stock | 169 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-20-014904 · doc4.xml · nonDerivative · entry 1 Markus Maura A. · CIK 0001571545 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,508.102 F1 · shares: The reported transaction reflects the grant of Deferred Stock Units under Broadridge's 2018 Omnibus Award Plan in connection with the director's deferral of cash compensation under the Director Deferred Compensation Program and represents a like number of shares of Broadridge common stock (the "DCUs"). The DCUs vest in full upon grant and will settle in shares of Broadridge common stock commencing with the director's separation from service with Broadridge. Read SEC document |
| November 19, 2020 Filed Nov 23, 2020 16:54 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: 0001225208-20-013791 · doc4.xml · derivative · entry 2 Markus Maura A. · CIK 0001571545 · 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 16:54 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GrantCommon Stock | 565 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-20-013791 · doc4.xml · nonDerivative · entry 1 Markus Maura A. · CIK 0001571545 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,339.102 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, 2020 Filed Oct 7, 2020 13:57 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GrantCommon Stock | 6 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-20-012296 · doc4.xml · nonDerivative · entry 2 Markus Maura A. · CIK 0001571545 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,774.102 F2 · 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 in lieu of cash compensation under the Director Deferred Compensation Program (the "DCUs"). This amount represents a like number of shares of Broadridge common stock. The DCUs vest in full upon grant and will settle in shares of Broadridge common stock commencing with the director's separation from service with Broadridge. Read SEC document |
| October 05, 2020 Filed Oct 7, 2020 13:57 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GrantCommon Stock | 43 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-20-012296 · doc4.xml · nonDerivative · entry 1 Markus Maura A. · CIK 0001571545 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,768.102 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 |
| September 21, 2020 Filed Sep 22, 2020 18:53 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GrantCommon Stock | 199 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-20-011723 · doc4.xml · nonDerivative · entry 1 Markus Maura A. · CIK 0001571545 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,725.102 F1 · shares: The reported transaction reflects the grant of Deferred Stock Units under Broadridge's 2018 Omnibus Award Plan in connection with the director's deferral of cash compensation under the Director Deferred Compensation Program and represents a like number of shares of Broadridge common stock (the "DCUs"). The DCUs vest in full upon grant and will settle in shares of Broadridge common stock commencing with the director's separation from service with Broadridge. Read SEC document |
| July 02, 2020 Filed Jul 6, 2020 17:51 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GrantCommon Stock | 5 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-20-009562 · doc4.xml · nonDerivative · entry 2 Markus Maura A. · CIK 0001571545 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,448 F2 · 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 in lieu of cash compensation under the Director Deferred Compensation Program (the "DCUs"). This amount represents a like number of shares of Broadridge common stock. The DCUs vest in full upon grant and will settle in shares of Broadridge common stock commencing with the director's separation from service with Broadridge. Read SEC document |
| July 02, 2020 Filed Jul 6, 2020 17:51 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GrantCommon Stock | 42 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-20-009562 · doc4.xml · nonDerivative · entry 1 Markus Maura A. · CIK 0001571545 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,443 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 Aug 27, 2020 18:23 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | OtherCommon Stock | 33.122 | $127.41 | $4,220.07 |
DisclosureSEC source: 0001225208-20-011026 · doc4.xml · nonDerivative · entry 2 Markus Maura A. · CIK 0001571545 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,521.102 F1 · kind: Represents shares of Broadridge common stock acquired through dividend reinvestment during the fiscal year. Read SEC document |
| June 16, 2020 Filed Jun 18, 2020 16:46 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GrantCommon Stock | 220 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-20-009086 · doc4.xml · nonDerivative · entry 1 Markus Maura A. · CIK 0001571545 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,401 F1 · shares: The reported transaction reflects the grant of Deferred Stock Units under Broadridge's 2018 Omnibus Award Plan in connection with the director's deferral of cash compensation under the Director Deferred Compensation Program and represents a like number of shares of Broadridge common stock (the "DCUs"). The DCUs vest in full upon grant and will settle in shares of Broadridge common stock commencing with the director's separation from service with Broadridge. Read SEC document |
| June 05, 2020 Filed Jun 9, 2020 20:32 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Exercise / conversionPhantom Stock Units · Derivative | 1,900 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-035267 · doc4.xml · derivative · entry 2 Markus Maura A. · CIK 0001571545 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,846 Underlying: Common Stock · 1,900 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_date: Currently exercisable. F2 · derivative.expiration_date: No expiration date for these Units. Read SEC document |
| June 05, 2020 Filed Jun 9, 2020 20:32 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Exercise / conversionCommon Stock | 1,900 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-035267 · doc4.xml · nonDerivative · entry 1 Markus Maura A. · CIK 0001571545 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,756 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 29, 2020 Filed Jun 2, 2020 20:38 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | GrantPhantom Stock Units · Derivative | 2,096 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-033559 · doc4.xml · derivative · entry 2 Markus Maura A. · CIK 0001571545 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,746 Underlying: Common Stock · 2,096 shares Expires not disclosed F1 · derivative.exercise_date: Units vest in 20% increments over a five year period. F2 · derivative.expiration_date: No expiration date for these Units. Read SEC document |
| April 03, 2020 Filed Apr 6, 2020 17:02 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GrantCommon Stock | 5 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-20-006120 · doc4.xml · nonDerivative · entry 2 Markus Maura A. · CIK 0001571545 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,181 F2 · 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 in lieu of cash compensation under the Director Deferred Compensation Program (the "DCUs"). This amount represents a like number of shares of Broadridge common stock. The DCUs vest in full upon grant and will settle in shares of Broadridge common stock commencing with the director's separation from service with Broadridge. Read SEC document |
| April 03, 2020 Filed Apr 6, 2020 17:02 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GrantCommon Stock | 58 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-20-006120 · doc4.xml · nonDerivative · entry 1 Markus Maura A. · CIK 0001571545 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,176 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 Aug 27, 2020 18:23 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | OtherCommon Stock | 44.98 | $93.28 | $4,195.73 |
DisclosureSEC source: 0001225208-20-011026 · doc4.xml · nonDerivative · entry 1 Markus Maura A. · CIK 0001571545 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,220.98 F1 · kind: Represents shares of Broadridge common stock acquired through dividend reinvestment during the fiscal year. Read SEC document |
| March 20, 2020 Filed Mar 24, 2020 17:45 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GrantCommon Stock | 305 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-20-005517 · doc4.xml · nonDerivative · entry 1 Markus Maura A. · CIK 0001571545 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,118 F1 · shares: The reported transaction reflects the grant of Deferred Stock Units under Broadridge's 2018 Omnibus Award Plan in connection with the director's deferral of cash compensation under the Director Deferred Compensation Program and represents a like number of shares of Broadridge common stock (the "DCUs"). The DCUs vest in full upon grant and will settle in shares of Broadridge common stock commencing with the director's separation from service with Broadridge. Read SEC document |
| January 03, 2020 Filed Jan 6, 2020 19:34 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GrantCommon Stock | 4 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-20-000456 · doc4.xml · nonDerivative · entry 2 Markus Maura A. · CIK 0001571545 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,813 F2 · 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 in lieu of cash compensation under the Director Deferred Compensation Program (the "DCUs"). This amount represents a like number of shares of Broadridge common stock. The DCUs vest in full upon grant and will settle in shares of Broadridge common stock commencing with the director's separation from service with Broadridge. Read SEC document |
| January 03, 2020 Filed Jan 6, 2020 19:34 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GrantCommon Stock | 43 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-20-000456 · doc4.xml · nonDerivative · entry 1 Markus Maura A. · CIK 0001571545 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,809 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 |
| December 12, 2019 Filed Dec 16, 2019 16:36 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GrantCommon Stock | 238 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-015823 · doc4.xml · nonDerivative · entry 1 Markus Maura A. · CIK 0001571545 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,766 F1 · shares: The reported transaction reflects the grant of Deferred Stock Units under Broadridge's 2018 Omnibus Award Plan in connection with the director's deferral of cash compensation under the Director Deferred Compensation Program and represents a like number of shares of Broadridge common stock (the "DCUs"). The DCUs vest in full upon grant and will settle in shares of Broadridge common stock commencing with the director's separation from service with Broadridge. Read SEC document |
| December 03, 2019 Filed Dec 4, 2019 16:52 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: 0001225208-19-015259 · doc4.xml · derivative · entry 6 Markus Maura A. · CIK 0001571545 · 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 |
| December 03, 2019 Filed Dec 4, 2019 16:52 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionStock Option (Right to Buy) · Derivative | 10,102 | $0.00 Strike: $26.00 | $0.00 |
DisclosureSEC source: 0001225208-19-015259 · doc4.xml · derivative · entry 5 Markus Maura A. · CIK 0001571545 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 10,102 shares Expires 2023-05-09 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 |
| December 03, 2019 Filed Dec 4, 2019 16:52 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | SaleCommon Stock | 7,054 | $121.15 | $854,585.05 |
DisclosureSEC source: 0001225208-19-015259 · doc4.xml · nonDerivative · entry 4 Markus Maura A. · CIK 0001571545 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,528 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $120.88 - $121.5450, 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 |
| December 03, 2019 Filed Dec 4, 2019 16:52 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | SaleCommon Stock | 6,140 | $121.15 | $743,854.86 |
DisclosureSEC source: 0001225208-19-015259 · doc4.xml · nonDerivative · entry 3 Markus Maura A. · CIK 0001571545 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,582 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $120.88 - $121.5450, 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 |
| December 03, 2019 Filed Dec 4, 2019 16:52 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionCommon Stock | 10,102 | $26.00 | $262,652.00 |
DisclosureSEC source: 0001225208-19-015259 · doc4.xml · nonDerivative · entry 2 Markus Maura A. · CIK 0001571545 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,722 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 |
| December 03, 2019 Filed Dec 4, 2019 16:52 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionCommon Stock | 10,841 | $36.35 | $394,070.35 |
DisclosureSEC source: 0001225208-19-015259 · doc4.xml · nonDerivative · entry 1 Markus Maura A. · CIK 0001571545 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,620 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 14, 2019 Filed Nov 18, 2019 16:10 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GrantStock Option (Right to Buy) · Derivative | 2,657 | $0.00 Strike: $119.37 | $0.00 |
DisclosureSEC source: 0001225208-19-014607 · doc4.xml · derivative · entry 2 Markus Maura A. · CIK 0001571545 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,657 Underlying: Common Stock · 2,657 shares Expires 2029-11-14 F2 · derivative.exercise_date: Stock options vest immediately upon grant. Read SEC document |
| November 14, 2019 Filed Nov 18, 2019 16:10 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GrantCommon Stock | 648 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-014607 · doc4.xml · nonDerivative · entry 1 Markus Maura A. · CIK 0001571545 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,779 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 03, 2019 Filed Oct 7, 2019 15:20 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GrantCommon Stock | 2 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-013223 · doc4.xml · nonDerivative · entry 2 Markus Maura A. · CIK 0001571545 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,131 F2 · 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 in lieu of cash compensation under the Director Deferred Compensation Program (the "DCUs"). This amount represents a like number of shares of Broadridge common stock. The DCUs vest in full upon grant and will settle in shares of Broadridge common stock commencing with the director's separation from service with Broadridge. Read SEC document |
| October 03, 2019 Filed Oct 7, 2019 15:20 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GrantCommon Stock | 41 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-013223 · doc4.xml · nonDerivative · entry 1 Markus Maura A. · CIK 0001571545 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,129 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 |
| September 25, 2019 Filed Sep 26, 2019 14:19 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GrantCommon Stock | 233 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-012777 · doc4.xml · nonDerivative · entry 1 Markus Maura A. · CIK 0001571545 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,088 F1 · shares: The reported transaction reflects the grant of Deferred Stock Units under Broadridge's 2018 Omnibus Award Plan in connection with the director's deferral of cash compensation under the Director Deferred Compensation Program and represents a like number of shares of Broadridge common stock (the "DCUs"). The DCUs vest in full upon grant and will settle in shares of Broadridge common stock commencing with the director's separation from service with Broadridge. Read SEC document |
| July 03, 2019 Filed Jul 8, 2019 14:41 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GrantCommon Stock | 1 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-010086 · doc4.xml · nonDerivative · entry 2 Markus Maura A. · CIK 0001571545 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,855 F2 · 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 in lieu of cash compensation under the Director Deferred Compensation Program (the "DCUs"). This amount represents a like number of shares of Broadridge common stock. The DCUs vest in full upon grant and will settle in shares of Broadridge common stock commencing with the director's separation from service with Broadridge. F2 · 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 in lieu of cash compensation under the Director Deferred Compensation Program (the "DCUs"). This amount represents a like number of shares of Broadridge common stock. The DCUs vest in full upon grant and will settle in shares of Broadridge common stock commencing with the director's separation from service with Broadridge. Read SEC document |
| July 03, 2019 Filed Jul 8, 2019 14:41 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GrantCommon Stock | 34 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-010086 · doc4.xml · nonDerivative · entry 1 Markus Maura A. · CIK 0001571545 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,854 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. 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 |
| June 17, 2019 Filed Jun 18, 2019 18:14 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GrantCommon Stock | 220 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-009356 · doc4.xml · nonDerivative · entry 1 Markus Maura A. · CIK 0001571545 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,820 F1 · shares: The reported transaction reflects the grant of Deferred Stock Units under Broadridge's 2018 Omnibus Award Plan in connection with the director's deferral of cash compensation under the Director Deferred Compensation Program and represents a like number of shares of Broadridge common stock (the "DCUs"). The DCUs vest in full upon grant and will settle in shares of Broadridge common stock commencing with the director's separation from service with Broadridge. Read SEC document |
| June 06, 2019 Filed Jun 7, 2019 20:42 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Exercise / conversionPhantom Stock Units · Derivative | 1,900 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-035591 · doc4.xml · derivative · entry 3 Markus Maura A. · CIK 0001571545 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,650 Underlying: Common Stock · 1,900 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. F3 · derivative.exercise_date: Currently exercisable. F2 · derivative.expiration_date: No expiration date for these Units. Read SEC document |
| June 06, 2019 Filed Jun 7, 2019 20:42 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Exercise / conversionCommon Stock | 1,900 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-035591 · doc4.xml · nonDerivative · entry 1 Markus Maura A. · CIK 0001571545 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,814 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 |
| June 05, 2019 Filed Jun 7, 2019 20:42 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | GrantPhantom Stock Units · Derivative | 1,900 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-035591 · doc4.xml · derivative · entry 2 Markus Maura A. · CIK 0001571545 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,550 Underlying: Common Stock · 1,900 shares Expires not disclosed F1 · derivative.exercise_date: Units vest quarterly over a one year period. F2 · derivative.expiration_date: No expiration date for these Units. Read SEC document |
| April 03, 2019 Filed Apr 5, 2019 13:51 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GrantCommon Stock | 42 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-006492 · doc4.xml · nonDerivative · entry 1 Markus Maura A. · CIK 0001571545 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,600 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 in lieu of cash compensation under the Director Deferred Compensation Program (the "DCUs"). This amount represents a like number of shares of Broadridge common stock. The DCUs vest in full upon grant and will settle in shares of Broadridge common stock commencing with the director's separation from service with Broadridge. 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 in lieu of cash compensation under the Director Deferred Compensation Program (the "DCUs"). This amount represents a like number of shares of Broadridge common stock. The DCUs vest in full upon grant and will settle in shares of Broadridge common stock commencing with the director's separation from service with Broadridge. Read SEC document |
| March 22, 2019 Filed Mar 25, 2019 18:04 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GrantCommon Stock | 250 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-005750 · doc4.xml · nonDerivative · entry 1 Markus Maura A. · CIK 0001571545 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,558 F1 · shares: The reported transaction reflects the grant of Deferred Stock Units under Broadridge's 2018 Omnibus Award Plan in connection with the director's deferral of cash compensation under the Director Deferred Compensation Program and represents a like number of shares of Broadridge common stock (the "DCUs"). The DCUs vest in full upon grant and will settle in shares of Broadridge common stock commencing with the director's separation from service with Broadridge. Read SEC document |
| January 03, 2019 Filed Jan 4, 2019 20:44 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GrantCommon Stock | 47 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-000570 · doc4.xml · nonDerivative · entry 1 Markus Maura A. · CIK 0001571545 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,308 F1 · price: The reported transaction reflects the award of additional Deferred Stock Units under Broadridge's 2007 Omnibus Award Plan in connection with the payment of Broadridge's regular quarterly dividend on the common stock underlying the Deferred Stock Units previously issued. This amount represents a like number of shares of Broadridge common stock. The Deferred Stock Units vest in full upon grant and will settle in shares of Broadridge common stock upon the director's separation from service with Broadridge. Read SEC document |
| December 31, 2018 Filed Jan 3, 2019 15:19 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GrantPhantom Stock · Derivative | 259.7403 | $96.25 | $25,000.00 |
DisclosureSEC source: 0001225208-19-000199 · doc4.xml · derivative · entry 1 Markus Maura A. · CIK 0001571545 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,329.213 Underlying: Common Stock · 259.7403 shares Expires not disclosed F1 · derivative.exercise_price: Each share of phantom stock is the economic equivalent of one share of common stock. The shares of phantom stock become payable in cash upon the reporting person's separation from service as a director. F1 · derivative.exercise_date: Each share of phantom stock is the economic equivalent of one share of common stock. The shares of phantom stock become payable in cash upon the reporting person's separation from service as a director. F1 · derivative.expiration_date: Each share of phantom stock is the economic equivalent of one share of common stock. The shares of phantom stock become payable in cash upon the reporting person's separation from service as a director. Read SEC document |
| November 08, 2018 Filed Nov 13, 2018 15:28 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GrantStock Option (Right to Buy) · Derivative | 2,801 | $0.00 Strike: $107.52 | $0.00 |
DisclosureSEC source: 0001225208-18-015420 · doc4.xml · derivative · entry 2 Markus Maura A. · CIK 0001571545 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,801 Underlying: Common Stock · 2,801 shares Expires 2028-11-08 F2 · derivative.exercise_date: Stock options vest immediately upon grant. 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.