Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| BROADRIDGE FINANCIAL SOLUTIONS, INC.BR · Entity 3252 | Director · Executive Chairman | April 01, 2025 | April 03, 2025 |
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 April 01, 2025 · Filed April 03, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 103,489.9949 |
Reported balance
After 2025-04-01 transaction · row 1
1 source rowRow 1 · 2025-04-01 · Tax withholding · Disposed 604 · Balance 103,489.9949 |
| Common StockSEC Table I · non-derivative | Indirect2020 Grandchild Trust | 2,700 |
Reported balance
Holding disclosure · report date 2025-04-01 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 2,700 |
| Common StockSEC Table I · non-derivative | Indirectby The EED 2012 Trust | 15,000 |
Reported balance
Holding disclosure · report date 2025-04-01 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 15,000 |
| Common StockSEC Table I · non-derivative | Indirectby The KLD 2012 Trust | 15,000 |
Reported balance
Holding disclosure · report date 2025-04-01 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 15,000 |
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 09, 2021 Filed Aug 13, 2021 14:22 UTC Amendment | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GrantCommon Stock | 12,157 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-21-011454 · doc4a.xml · nonDerivative · entry 1 DALY RICHARD J · CIK 0001198860 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 167,167.9949 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, 2022. Read SEC document |
| April 01, 2021 Filed Apr 5, 2021 16:25 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Tax withholdingCommon Stock | 15,168 | $154.92 | $2,349,826.56 |
DisclosureSEC source: 0001225208-21-006455 · doc4.xml · nonDerivative · entry 1 DALY RICHARD J · CIK 0001198860 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 155,010.9949 Read SEC document |
| February 12, 2021 Filed Feb 17, 2021 16:48 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GrantStock Option (Right to Buy) · Derivative | 4,849 | $0.00 Strike: $148.07 | $0.00 |
DisclosureSEC source: 0001225208-21-002751 · doc4.xml · derivative · entry 7 DALY RICHARD J · CIK 0001198860 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,849 Underlying: Common Stock · 4,849 shares Expires 2031-02-12 F2 · derivative.exercise_date: Stock options vest equally over 4 years beginning February 12, 2022. Read SEC document |
| December 17, 2020 Filed Feb 17, 2021 16:48 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GiftCommon Stock | 2,700 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-21-002751 · doc4.xml · nonDerivative · entry 2 DALY RICHARD J · CIK 0001198860 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · 2020 Grandchild Trust Disclosed balance after: 2,700 F1 · ownership.nature: This transaction involved the gift of securities by Deborah Daly to The Daly Family 2020 Grandchildren's Trust, Richard Daly, Trustee, a family trust held for the benefit of the reporting person's grandchildren. Read SEC document |
| December 17, 2020 Filed Feb 17, 2021 16:48 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GiftCommon Stock | 2,700 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-21-002751 · doc4.xml · nonDerivative · entry 1 DALY RICHARD J · CIK 0001198860 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 170,178.9949 Read SEC document |
| September 25, 2020 Filed Sep 28, 2020 11:11 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | SaleCommon Stock | 7,812 | $128.75 | $1,005,801.25 |
DisclosureSEC source: 0001225208-20-011833 · doc4.xml · nonDerivative · entry 2 DALY RICHARD J · CIK 0001198860 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 172,878.9949 F1 · kind: The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person on August 14, 2020. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $126.93 - $130.47, 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 |
| September 24, 2020 Filed Sep 28, 2020 11:11 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | SaleCommon Stock | 8,446 | $127.88 | $1,080,099.82 |
DisclosureSEC source: 0001225208-20-011833 · doc4.xml · nonDerivative · entry 1 DALY RICHARD J · CIK 0001198860 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 180,690.9949 F1 · kind: The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person on August 14, 2020. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $127.08 - $128.84, inclusive. The reporting person undertakes to provide to Broadridge Financial Solutions, Inc., any shareholder of Broadridge Financial Solutions, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (2) to this Form 4. Read SEC document |
| September 21, 2020 Filed Sep 22, 2020 14:16 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | SaleCommon Stock | 7,979 | $129.82 | $1,035,861.71 |
DisclosureSEC source: 0001225208-20-011717 · doc4.xml · nonDerivative · entry 1 DALY RICHARD J · CIK 0001198860 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 189,136.9949 F1 · kind: The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person on August 14, 2020. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $128.69 - $130.98, 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 (2) to this Form 4. Read SEC document |
| September 17, 2020 Filed Sep 18, 2020 10:31 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionStock Option (Right to Buy) · Derivative | 35,246 | $0.00 Strike: $67.32 | $0.00 |
DisclosureSEC source: 0001225208-20-011667 · doc4.xml · derivative · entry 7 DALY RICHARD J · CIK 0001198860 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,747 Underlying: Common Stock · 35,246 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. F1 · kind: The reported transaction is a stock option exercise pursuant to a 10b5-1 plan adopted by the reporting person on August 14, 2020. Read SEC document |
| September 17, 2020 Filed Sep 18, 2020 10:31 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | SaleCommon Stock | 30,416 | $132.86 | $4,041,109.30 |
DisclosureSEC source: 0001225208-20-011667 · doc4.xml · nonDerivative · entry 2 DALY RICHARD J · CIK 0001198860 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 197,115.9949 F2 · kind: The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person on August 14, 2020. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $131.98 - $133.64, inclusive. The reporting person undertakes to provide to Broadridge Financial Solutions, Inc., any shareholder of Broadridge Financial Solutions, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (3) to this Form 4. Read SEC document |
| September 17, 2020 Filed Sep 18, 2020 10:31 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionCommon Stock | 35,246 | $67.32 | $2,372,760.72 |
DisclosureSEC source: 0001225208-20-011667 · doc4.xml · nonDerivative · entry 1 DALY RICHARD J · CIK 0001198860 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 227,531.9949 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The reported transaction is a stock option exercise pursuant to a 10b5-1 plan adopted by the reporting person on August 14, 2020. Read SEC document |
| September 16, 2020 Filed Sep 17, 2020 14:50 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionStock Option (Right to Buy) · Derivative | 7,500 | $0.00 Strike: $67.32 | $0.00 |
DisclosureSEC source: 0001225208-20-011636 · doc4.xml · derivative · entry 12 DALY RICHARD J · CIK 0001198860 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,993 Underlying: Common Stock · 7,500 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. F3 · kind: The reported transaction is a stock option exercise pursuant to a 10b5-1 plan adopted by the reporting person on August 14, 2020. Read SEC document |
| September 16, 2020 Filed Sep 17, 2020 14:50 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionStock Option (Right to Buy) · Derivative | 46,560 | $0.00 Strike: $51.95 | $0.00 |
DisclosureSEC source: 0001225208-20-011636 · doc4.xml · derivative · entry 11 DALY RICHARD J · CIK 0001198860 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 46,560 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. F3 · kind: The reported transaction is a stock option exercise pursuant to a 10b5-1 plan adopted by the reporting person on August 14, 2020. Read SEC document |
| September 16, 2020 Filed Sep 17, 2020 14:50 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | SaleCommon Stock | 39,100 | $136.35 | $5,331,402.30 |
DisclosureSEC source: 0001225208-20-011636 · doc4.xml · nonDerivative · entry 6 DALY RICHARD J · CIK 0001198860 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 192,285.9949 F1 · kind: The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person on August 14, 2020. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $135.01 - $137.64, inclusive. The reporting person undertakes to provide to Broadridge Financial Solutions, Inc., any shareholder of Broadridge Financial Solutions, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (4) to this Form 4. Read SEC document |
| September 16, 2020 Filed Sep 17, 2020 14:50 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | SaleCommon Stock | 8,965 | $136.37 | $1,222,550.77 |
DisclosureSEC source: 0001225208-20-011636 · doc4.xml · nonDerivative · entry 5 DALY RICHARD J · CIK 0001198860 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 231,385.9949 F1 · kind: The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person on August 14, 2020. F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $135.07 - $137.57, 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 (5) to this Form 4. Read SEC document |
| September 16, 2020 Filed Sep 17, 2020 14:50 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | SaleCommon Stock | 6,484 | $136.35 | $884,112.85 |
DisclosureSEC source: 0001225208-20-011636 · doc4.xml · nonDerivative · entry 4 DALY RICHARD J · CIK 0001198860 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 240,350.9949 F1 · kind: The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person on August 14, 2020. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $135.01 - $137.64, inclusive. The reporting person undertakes to provide to Broadridge Financial Solutions, Inc., any shareholder of Broadridge Financial Solutions, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (4) to this Form 4. Read SEC document |
| September 16, 2020 Filed Sep 17, 2020 14:50 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionCommon Stock | 7,500 | $67.32 | $504,900.00 |
DisclosureSEC source: 0001225208-20-011636 · doc4.xml · nonDerivative · entry 3 DALY RICHARD J · CIK 0001198860 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 246,834.9949 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 · kind: The reported transaction is a stock option exercise pursuant to a 10b5-1 plan adopted by the reporting person on August 14, 2020. Read SEC document |
| September 16, 2020 Filed Sep 17, 2020 14:50 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionCommon Stock | 46,560 | $51.95 | $2,418,792.00 |
DisclosureSEC source: 0001225208-20-011636 · doc4.xml · nonDerivative · entry 2 DALY RICHARD J · CIK 0001198860 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 239,334.9949 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 · kind: The reported transaction is a stock option exercise pursuant to a 10b5-1 plan adopted by the reporting person on August 14, 2020. Read SEC document |
| September 15, 2020 Filed Sep 17, 2020 14:50 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | SaleCommon Stock | 60,494 | $135.98 | $8,225,786.59 |
DisclosureSEC source: 0001225208-20-011636 · doc4.xml · nonDerivative · entry 1 DALY RICHARD J · CIK 0001198860 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 192,774.9949 F1 · kind: The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person on August 14, 2020. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $135.08 - $137.06, inclusive. The reporting person undertakes to provide to Broadridge Financial Solutions, Inc., any shareholder of Broadridge Financial Solutions, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (2) to this Form 4. Read SEC document |
| August 04, 2020 Filed Aug 6, 2020 10:46 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GrantCommon Stock | 32,534 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-20-010344 · doc4.xml · nonDerivative · entry 1 DALY RICHARD J · CIK 0001198860 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 253,268.9949 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 |
| April 01, 2020 Filed Apr 2, 2020 13:22 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Tax withholdingCommon Stock | 22,057 | $91.32 | $2,014,245.24 |
DisclosureSEC source: 0001225208-20-005859 · doc4.xml · nonDerivative · entry 1 DALY RICHARD J · CIK 0001198860 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 220,734.9949 Read SEC document |
| February 04, 2020 Filed Feb 5, 2020 10:54 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GrantStock Option (Right to Buy) · Derivative | 58,037 | $0.00 Strike: $117.34 | $0.00 |
DisclosureSEC source: 0001225208-20-001659 · doc4.xml · derivative · entry 1 DALY RICHARD J · CIK 0001198860 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,037 Underlying: Common Stock · 58,037 shares Expires 2030-02-04 F1 · derivative.exercise_date: Stock options vest equally over 4 years beginning February 4, 2021. Read SEC document |
| November 26, 2019 Filed Nov 27, 2019 16:00 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GiftCommon Stock | 2,186.028 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-015010 · doc4.xml · nonDerivative · entry 1 DALY RICHARD J · CIK 0001198860 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 242,791.9949 F1 · kind: Represents shares of Common Stock that the reporting person donated as a gift to the D Family Giving donor advised fund account. Read SEC document |
| September 24, 2019 Filed Sep 24, 2019 16:17 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionStock Option (Right to Buy) · Derivative | 63,293 | $0.00 Strike: $67.32 | $0.00 |
DisclosureSEC source: 0001225208-19-012771 · doc4.xml · derivative · entry 13 DALY RICHARD J · CIK 0001198860 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 85,493 Underlying: Common Stock · 63,293 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. F1 · kind: The reported transaction is a stock option exercise pursuant to a 10b5-1 plan adopted by the reporting person on August 20, 2019. Read SEC document |
| September 24, 2019 Filed Sep 24, 2019 16:17 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | SaleCommon Stock | 55,481 | $126.67 | $7,027,634.02 |
DisclosureSEC source: 0001225208-19-012771 · doc4.xml · nonDerivative · entry 6 DALY RICHARD J · CIK 0001198860 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 244,978.0229 F2 · kind: The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person on August 20, 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 $124.99 - $128.28, 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 |
| September 24, 2019 Filed Sep 24, 2019 16:17 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionCommon Stock | 63,293 | $67.32 | $4,260,884.76 |
DisclosureSEC source: 0001225208-19-012771 · doc4.xml · nonDerivative · entry 5 DALY RICHARD J · CIK 0001198860 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 300,459.0229 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The reported transaction is a stock option exercise pursuant to a 10b5-1 plan adopted by the reporting person on August 20, 2019. Read SEC document |
| September 23, 2019 Filed Sep 24, 2019 16:17 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionStock Option (Right to Buy) · Derivative | 22,200 | $0.00 Strike: $67.32 | $0.00 |
DisclosureSEC source: 0001225208-19-012771 · doc4.xml · derivative · entry 12 DALY RICHARD J · CIK 0001198860 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 148,786 Underlying: Common Stock · 22,200 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. F1 · kind: The reported transaction is a stock option exercise pursuant to a 10b5-1 plan adopted by the reporting person on August 20, 2019. Read SEC document |
| September 23, 2019 Filed Sep 24, 2019 16:17 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionStock Option (Right to Buy) · Derivative | 43,460 | $0.00 Strike: $51.95 | $0.00 |
DisclosureSEC source: 0001225208-19-012771 · doc4.xml · derivative · entry 11 DALY RICHARD J · CIK 0001198860 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,560 Underlying: Common Stock · 43,460 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. F1 · kind: The reported transaction is a stock option exercise pursuant to a 10b5-1 plan adopted by the reporting person on August 20, 2019. Read SEC document |
| September 23, 2019 Filed Sep 24, 2019 16:17 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | SaleCommon Stock | 37,800 | $125.41 | $4,740,407.28 |
DisclosureSEC source: 0001225208-19-012771 · doc4.xml · nonDerivative · entry 4 DALY RICHARD J · CIK 0001198860 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 237,166.0229 F2 · kind: The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person on August 20, 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 $124.40 - $126.20, 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 |
| September 23, 2019 Filed Sep 24, 2019 16:17 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | SaleCommon Stock | 19,414 | $125.41 | $2,434,663.15 |
DisclosureSEC source: 0001225208-19-012771 · doc4.xml · nonDerivative · entry 3 DALY RICHARD J · CIK 0001198860 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 274,966.0229 F2 · kind: The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person on August 20, 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 $124.40 - $126.20, 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 |
| September 23, 2019 Filed Sep 24, 2019 16:17 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionCommon Stock | 22,200 | $67.32 | $1,494,504.00 |
DisclosureSEC source: 0001225208-19-012771 · doc4.xml · nonDerivative · entry 2 DALY RICHARD J · CIK 0001198860 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 294,380.0229 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The reported transaction is a stock option exercise pursuant to a 10b5-1 plan adopted by the reporting person on August 20, 2019. Read SEC document |
| September 23, 2019 Filed Sep 24, 2019 16:17 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionCommon Stock | 43,460 | $51.95 | $2,257,747.00 |
DisclosureSEC source: 0001225208-19-012771 · doc4.xml · nonDerivative · entry 1 DALY RICHARD J · CIK 0001198860 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 272,180.0229 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The reported transaction is a stock option exercise pursuant to a 10b5-1 plan adopted by the reporting person on August 20, 2019. Read SEC document |
| September 20, 2019 Filed Sep 23, 2019 10:16 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionStock Option (Right to Buy) · Derivative | 52,084 | $0.00 Strike: $50.95 | $0.00 |
DisclosureSEC source: 0001225208-19-012753 · doc4.xml · derivative · entry 11 DALY RICHARD J · CIK 0001198860 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 52,084 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 August 20, 2019. Read SEC document |
| September 20, 2019 Filed Sep 23, 2019 10:16 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionStock Option (Right to Buy) · Derivative | 3,100 | $0.00 Strike: $51.95 | $0.00 |
DisclosureSEC source: 0001225208-19-012753 · doc4.xml · derivative · entry 10 DALY RICHARD J · CIK 0001198860 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,020 Underlying: Common Stock · 3,100 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. F1 · kind: The reported transaction is a stock option exercise pursuant to a 10b5-1 plan adopted by the reporting person on August 20, 2019. Read SEC document |
| September 20, 2019 Filed Sep 23, 2019 10:16 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | SaleCommon Stock | 44,600 | $127.23 | $5,674,373.26 |
DisclosureSEC source: 0001225208-19-012753 · doc4.xml · nonDerivative · entry 5 DALY RICHARD J · CIK 0001198860 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 228,720.0229 F2 · kind: The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person on August 20, 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 $126.28 - $128.30, 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 |
| September 20, 2019 Filed Sep 23, 2019 10:16 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | SaleCommon Stock | 39,181 | $127.23 | $4,984,924.19 |
DisclosureSEC source: 0001225208-19-012753 · doc4.xml · nonDerivative · entry 4 DALY RICHARD J · CIK 0001198860 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 273,320.0229 F2 · kind: The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person on August 20, 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 $126.28 - $128.30, 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 |
| September 20, 2019 Filed Sep 23, 2019 10:16 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | SaleCommon Stock | 2,605 | $127.23 | $331,429.20 |
DisclosureSEC source: 0001225208-19-012753 · doc4.xml · nonDerivative · entry 3 DALY RICHARD J · CIK 0001198860 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 312,501.0229 F2 · kind: The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person on August 20, 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 $126.28 - $128.30, 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 |
| September 20, 2019 Filed Sep 23, 2019 10:16 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionCommon Stock | 3,100 | $51.95 | $161,045.00 |
DisclosureSEC source: 0001225208-19-012753 · doc4.xml · nonDerivative · entry 2 DALY RICHARD J · CIK 0001198860 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 315,106.0229 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The reported transaction is a stock option exercise pursuant to a 10b5-1 plan adopted by the reporting person on August 20, 2019. Read SEC document |
| September 20, 2019 Filed Sep 23, 2019 10:16 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionCommon Stock | 52,084 | $50.95 | $2,653,679.80 |
DisclosureSEC source: 0001225208-19-012753 · doc4.xml · nonDerivative · entry 1 DALY RICHARD J · CIK 0001198860 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 312,006.0229 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The reported transaction is a stock option exercise pursuant to a 10b5-1 plan adopted by the reporting person on August 20, 2019. Read SEC document |
| August 06, 2019 Filed Aug 7, 2019 11:13 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GrantCommon Stock | 47,311 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-010941 · doc4.xml · nonDerivative · entry 1 DALY RICHARD J · CIK 0001198860 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 259,922.0229 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 |
| June 24, 2019 Filed Jun 25, 2019 11:48 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | SaleCommon Stock | 7,500 | $128.93 | $966,959.25 |
DisclosureSEC source: 0001225208-19-009527 · doc4.xml · nonDerivative · entry 1 DALY RICHARD J · CIK 0001198860 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · by The KLD 2014 Trust Disclosed balance after: 1,985 F1 · kind: The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person, The KLD 2014 Trust adopted on May 21, 2019. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $128.09 - $129.55, inclusive. The reporting person undertakes to provide to Broadridge Financial Solutions, Inc., any shareholder of Broadridge Financial Solutions, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (2) to this Form 4. Read SEC document |
| April 01, 2019 Filed Apr 3, 2019 10:35 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Tax withholdingCommon Stock | 21,062 | $104.99 | $2,211,299.38 |
DisclosureSEC source: 0001225208-19-006260 · doc4.xml · nonDerivative · entry 1 DALY RICHARD J · CIK 0001198860 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 212,611.0229 Read SEC document |
| February 11, 2019 Filed Feb 12, 2019 14:44 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GrantStock Option (Right to Buy) · Derivative | 147,120 | $0.00 Strike: $98.31 | $0.00 |
DisclosureSEC source: 0001225208-19-002250 · doc4.xml · derivative · entry 1 DALY RICHARD J · CIK 0001198860 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 147,120 Underlying: Common Stock · 147,120 shares Expires 2029-02-11 F1 · derivative.exercise_date: Stock options vest equally over 4 years beginning February 11, 2020. Read SEC document |
| October 05, 2018 Filed Oct 9, 2018 12:17 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | SaleCommon Stock | 67,974 | $126.61 | $8,606,507.62 |
DisclosureSEC source: 0001225208-18-014488 · doc4.xml · nonDerivative · entry 1 DALY RICHARD J · CIK 0001198860 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 233,673.0229 F1 · kind: The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person on June 8, 2018. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $125.63 - $128.09, inclusive. The reporting person undertakes to provide to Broadridge Financial Solutions, Inc., any shareholder of Broadridge Financial Solutions, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (2) to this Form 4. Read SEC document |
| September 27, 2018 Filed Sep 28, 2018 11:13 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionStock Option (Right to Buy) · Derivative | 31,379 | $0.00 Strike: $50.95 | $0.00 |
DisclosureSEC source: 0001225208-18-013790 · doc4.xml · derivative · entry 13 DALY RICHARD J · CIK 0001198860 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,084 Underlying: Common Stock · 31,379 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 |
| September 27, 2018 Filed Sep 28, 2018 11:13 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionStock Option (Right to Buy) · Derivative | 93,120 | $0.00 Strike: $51.95 | $0.00 |
DisclosureSEC source: 0001225208-18-013790 · doc4.xml · derivative · entry 12 DALY RICHARD J · CIK 0001198860 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,120 Underlying: Common Stock · 93,120 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. 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 |
| September 27, 2018 Filed Sep 28, 2018 11:13 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | SaleCommon Stock | 78,600 | $131.31 | $10,321,201.80 |
DisclosureSEC source: 0001225208-18-013790 · doc4.xml · nonDerivative · entry 6 DALY RICHARD J · CIK 0001198860 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 301,647.0229 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. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $130.89 - $132.98, 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 (4) to this Form 4. Read SEC document |
| September 27, 2018 Filed Sep 28, 2018 11:13 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | SaleCommon Stock | 26,400 | $131.31 | $3,466,663.20 |
DisclosureSEC source: 0001225208-18-013790 · doc4.xml · nonDerivative · entry 5 DALY RICHARD J · CIK 0001198860 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 380,247.0229 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. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $130.89 - $132.98, 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 (4) to this Form 4. Read SEC document |
| September 27, 2018 Filed Sep 28, 2018 11:13 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionCommon Stock | 31,379 | $50.95 | $1,598,760.05 |
DisclosureSEC source: 0001225208-18-013790 · doc4.xml · nonDerivative · entry 4 DALY RICHARD J · CIK 0001198860 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 406,647.0229 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The reported transaction is a stock option exercise pursuant to a 10b5-1 plan adopted by the reporting person on June 8, 2018. Read SEC document |
| September 27, 2018 Filed Sep 28, 2018 11:13 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionCommon Stock | 93,120 | $51.95 | $4,837,584.00 |
DisclosureSEC source: 0001225208-18-013790 · doc4.xml · nonDerivative · entry 3 DALY RICHARD J · CIK 0001198860 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 375,268.0229 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The reported transaction is a stock option exercise pursuant to a 10b5-1 plan adopted by the reporting person on June 8, 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.