Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| BROADRIDGE FINANCIAL SOLUTIONS, INC.BR · Entity 3252 | CVP and Chief Legal Officer | November 09, 2023 | November 09, 2023 |
| JONES FINANCIAL COMPANIES LLLPNONE · Entity 95160 | General Counsel | January 08, 2024 | January 17, 2024 |
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 November 09, 2023 · Filed November 09, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 14,402.98 |
Ending reported balance
After 2023-11-09 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2023-11-09 · Exercise / conversion · Acquired 4,151 · Balance 18,173.98 Row 2 · 2023-11-09 · Sale · Disposed 3,771 · Balance 14,402.98 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $176.55 - $176.62, inclusive. The reporting person undertakes to provide to Broadridge Financial Solutions, Inc., any shareholder of Broadridge Financial Solutions, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (1) to this Form 4. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $144.84 · Expires 2032-02-14 | Direct | 12,456 |
Reported balance
After 2023-11-09 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2023-11-09 · Exercise / conversion · Disposed 4,151 · Balance 12,456 |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $176.55 - $176.62, inclusive. The reporting person undertakes to provide to Broadridge Financial Solutions, Inc., any shareholder of Broadridge Financial Solutions, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (1) to this Form 4.
JONES FINANCIAL COMPANIES LLLP
Report date January 08, 2024 · Filed January 17, 2024
This filing explicitly reported no securities owned.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| November 09, 2023 Filed Nov 9, 2023 21:54 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionStock Option (Right to Buy) · Derivative | 4,151 | $0.00 Strike: $144.84 | $0.00 |
DisclosureSEC source: 0001225208-23-010148 · doc4.xml · derivative · entry 3 Gumbs Keir D · CIK 0001876435 · CVP and Chief Legal Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 12,456 Underlying: Common Stock · 4,151 shares Expires 2032-02-14 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| November 09, 2023 Filed Nov 9, 2023 21:54 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | SaleCommon Stock | 3,771 | $176.61 | $665,992.92 |
DisclosureSEC source: 0001225208-23-010148 · doc4.xml · nonDerivative · entry 2 Gumbs Keir D · CIK 0001876435 · CVP and Chief Legal Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 14,402.98 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $176.55 - $176.62, inclusive. The reporting person undertakes to provide to Broadridge Financial Solutions, Inc., any shareholder of Broadridge Financial Solutions, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (1) to this Form 4. Read SEC document |
| November 09, 2023 Filed Nov 9, 2023 21:54 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionCommon Stock | 4,151 | $144.84 | $601,230.84 |
DisclosureSEC source: 0001225208-23-010148 · doc4.xml · nonDerivative · entry 1 Gumbs Keir D · CIK 0001876435 · CVP and Chief Legal Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 18,173.98 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| August 30, 2023 Filed Sep 1, 2023 13:57 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | SaleCommon Stock | 2,688 | $186.41 | $501,078.68 |
DisclosureSEC source: 0001225208-23-008600 · doc4.xml · nonDerivative · entry 1 Gumbs Keir D · CIK 0001876435 · CVP and Chief Legal Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 14,022.98 Read SEC document |
| August 16, 2023 Filed Aug 17, 2023 18:59 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionRestricted Stock Unit · Derivative | 4,848 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-23-008310 · doc4.xml · derivative · entry 4 Gumbs Keir D · CIK 0001876435 · CVP and Chief Legal Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 4,848 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. F2 · derivative.exercise_price: Each Restricted Stock Unit represented one share of Broadridge common stock and on August 16, 2023 4,848 Restricted Stock Units vested and converted into an equal number of shares of common stock. F2 · price: Each Restricted Stock Unit represented one share of Broadridge common stock and on August 16, 2023 4,848 Restricted Stock Units vested and converted into an equal number of shares of common stock. F2 · derivative.exercise_date: Each Restricted Stock Unit represented one share of Broadridge common stock and on August 16, 2023 4,848 Restricted Stock Units vested and converted into an equal number of shares of common stock. F2 · derivative.expiration_date: Each Restricted Stock Unit represented one share of Broadridge common stock and on August 16, 2023 4,848 Restricted Stock Units vested and converted into an equal number of shares of common stock. Read SEC document |
| August 16, 2023 Filed Aug 17, 2023 18:59 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Tax withholdingCommon Stock | 2,330 | $181.35 | $422,545.50 |
DisclosureSEC source: 0001225208-23-008310 · doc4.xml · nonDerivative · entry 3 Gumbs Keir D · CIK 0001876435 · CVP and Chief Legal Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 16,710.98 Read SEC document |
| August 16, 2023 Filed Aug 17, 2023 18:59 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionCommon Stock | 4,848 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-23-008310 · doc4.xml · nonDerivative · entry 2 Gumbs Keir D · CIK 0001876435 · CVP and Chief Legal Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 19,040.98 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. F2 · price: Each Restricted Stock Unit represented one share of Broadridge common stock and on August 16, 2023 4,848 Restricted Stock Units vested and converted into an equal number of shares of common stock. Read SEC document |
| August 15, 2023 Filed Aug 17, 2023 18:59 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GrantCommon Stock | 3,622 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-23-008310 · doc4.xml · nonDerivative · entry 1 Gumbs Keir D · CIK 0001876435 · CVP and Chief Legal Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 14,192.98 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, 2024. Read SEC document |
| February 15, 2023 Filed Feb 17, 2023 20:43 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GrantStock Option (Right to Buy) · Derivative | 18,001 | $0.00 Strike: $144.67 | $0.00 |
DisclosureSEC source: 0001225208-23-002235 · doc4.xml · derivative · entry 1 Gumbs Keir D · CIK 0001876435 · CVP and Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,001 Underlying: Common Stock · 18,001 shares Expires 2033-02-15 F1 · derivative.exercise_date: Stock options vest equally over 4 years beginning February 15, 2024. Read SEC document |
| August 16, 2022 Filed Aug 17, 2022 17:56 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionRestricted Stock Unit · Derivative | 12,209 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-22-009615 · doc4.xml · derivative · entry 3 Gumbs Keir D · CIK 0001876435 · CVP and Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,848 Underlying: Common Stock · 12,209 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each Restricted Stock Unit represented one share of Broadridge common stock and on August 16, 2022 12,209 Restricted Stock Units vested and converted into an equal number of shares of common stock. F1 · price: Each Restricted Stock Unit represented one share of Broadridge common stock and on August 16, 2022 12,209 Restricted Stock Units vested and converted into an equal number of shares of common stock. F1 · derivative.exercise_date: Each Restricted Stock Unit represented one share of Broadridge common stock and on August 16, 2022 12,209 Restricted Stock Units vested and converted into an equal number of shares of common stock. F1 · derivative.expiration_date: Each Restricted Stock Unit represented one share of Broadridge common stock and on August 16, 2022 12,209 Restricted Stock Units vested and converted into an equal number of shares of common stock. Read SEC document |
| August 16, 2022 Filed Aug 17, 2022 17:56 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Tax withholdingCommon Stock | 5,867 | $177.32 | $1,040,336.44 |
DisclosureSEC source: 0001225208-22-009615 · doc4.xml · nonDerivative · entry 2 Gumbs Keir D · CIK 0001876435 · CVP and Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,552.22 Read SEC document |
| August 16, 2022 Filed Aug 17, 2022 17:56 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionCommon Stock | 12,209 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-22-009615 · doc4.xml · nonDerivative · entry 1 Gumbs Keir D · CIK 0001876435 · CVP and Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,419.22 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each Restricted Stock Unit represented one share of Broadridge common stock and on August 16, 2022 12,209 Restricted Stock Units vested and converted into an equal number of shares of common stock. Read SEC document |
| July 06, 2022 Filed Jul 24, 2023 20:54 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GrantCommon Stock | 18.76 | $143.62 | $2,694.31 |
DisclosureSEC source: 0001225208-23-007646 · doc5.xml · nonDerivative · entry 1 Gumbs Keir D · CIK 0001876435 · CVP and Chief Legal Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 4,228.98 F1 · shares: Represents shares of Broadridge common stock acquired through dividend reinvestment during the fiscal year. Read SEC document |
| April 05, 2022 Filed Aug 15, 2022 19:59 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GrantCommon Stock | 17.22 | $155.82 | $2,683.22 |
DisclosureSEC source: 0001225208-22-009515 · doc5.xml · nonDerivative · entry 1 Gumbs Keir D · CIK 0001876435 · CVP and Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,210.22 F1 · shares: Represents shares of Broadridge common stock acquired through dividend reinvestment during the fiscal year. Read SEC document |
| February 14, 2022 Filed Feb 16, 2022 19:29 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GrantStock Option (Right to Buy) · Derivative | 16,607 | $0.00 Strike: $144.84 | $0.00 |
DisclosureSEC source: 0001225208-22-002264 · doc4.xml · derivative · entry 1 Gumbs Keir D · CIK 0001876435 · CVP and Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,607 Underlying: Common Stock · 16,607 shares Expires 2032-02-14 F1 · derivative.exercise_date: Stock options vest equally over 4 years beginning February 14, 2023. Read SEC document |
| December 15, 2021 Filed Dec 17, 2021 16:22 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionRestricted Stock Unit · Derivative | 8,079 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-21-015089 · doc4.xml · derivative · entry 3 Gumbs Keir D · CIK 0001876435 · CVP and Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,057 Underlying: Common Stock · 8,079 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each Restricted Stock Unit represented one share of Broadridge common stock and on December 15, 2021 8,079 Restricted Stock Units vested and converted into an equal number of shares of common stock. F1 · price: Each Restricted Stock Unit represented one share of Broadridge common stock and on December 15, 2021 8,079 Restricted Stock Units vested and converted into an equal number of shares of common stock. F1 · derivative.exercise_date: Each Restricted Stock Unit represented one share of Broadridge common stock and on December 15, 2021 8,079 Restricted Stock Units vested and converted into an equal number of shares of common stock. F1 · derivative.expiration_date: Each Restricted Stock Unit represented one share of Broadridge common stock and on December 15, 2021 8,079 Restricted Stock Units vested and converted into an equal number of shares of common stock. Read SEC document |
| December 15, 2021 Filed Dec 17, 2021 16:22 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Tax withholdingCommon Stock | 3,886 | $178.02 | $691,785.72 |
DisclosureSEC source: 0001225208-21-015089 · doc4.xml · nonDerivative · entry 2 Gumbs Keir D · CIK 0001876435 · CVP and Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,193 Read SEC document |
| December 15, 2021 Filed Dec 17, 2021 16:22 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionCommon Stock | 8,079 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-21-015089 · doc4.xml · nonDerivative · entry 1 Gumbs Keir D · CIK 0001876435 · CVP and Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,079 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each Restricted Stock Unit represented one share of Broadridge common stock and on December 15, 2021 8,079 Restricted Stock Units vested and converted into an equal number of shares of common stock. Read SEC document |
| August 16, 2021 Filed Aug 17, 2021 19:41 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GrantRestricted Stock Unit · Derivative | 4,848 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-21-011513 · doc4.xml · derivative · entry 3 Gumbs Keir D · CIK 0001876435 · CVP and Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,136 Underlying: Common Stock · 4,848 shares Expires not disclosed F3 · derivative.exercise_price: Restricted Stock Units granted under Broadridge's 2018 Omnibus Award Plan representing a like number of shares of Broadridge common stock. The Restricted Stock Units will vest and convert into Broadridge common stock on August 16, 2023. F3 · shares: Restricted Stock Units granted under Broadridge's 2018 Omnibus Award Plan representing a like number of shares of Broadridge common stock. The Restricted Stock Units will vest and convert into Broadridge common stock on August 16, 2023. F3 · derivative.exercise_date: Restricted Stock Units granted under Broadridge's 2018 Omnibus Award Plan representing a like number of shares of Broadridge common stock. The Restricted Stock Units will vest and convert into Broadridge common stock on August 16, 2023. F3 · derivative.expiration_date: Restricted Stock Units granted under Broadridge's 2018 Omnibus Award Plan representing a like number of shares of Broadridge common stock. The Restricted Stock Units will vest and convert into Broadridge common stock on August 16, 2023. Read SEC document |
| August 16, 2021 Filed Aug 17, 2021 19:41 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GrantRestricted Stock Unit · Derivative | 8,079 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-21-011513 · doc4.xml · derivative · entry 2 Gumbs Keir D · CIK 0001876435 · CVP and Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,288 Underlying: Common Stock · 8,079 shares Expires not disclosed F2 · derivative.exercise_price: Restricted Stock Units granted under Broadridge's 2018 Omnibus Award Plan representing a like number of shares of Broadridge common stock. The Restricted Stock Units will vest and convert into Broadridge common stock on December 15, 2021. F2 · shares: Restricted Stock Units granted under Broadridge's 2018 Omnibus Award Plan representing a like number of shares of Broadridge common stock. The Restricted Stock Units will vest and convert into Broadridge common stock on December 15, 2021. F2 · derivative.exercise_date: Restricted Stock Units granted under Broadridge's 2018 Omnibus Award Plan representing a like number of shares of Broadridge common stock. The Restricted Stock Units will vest and convert into Broadridge common stock on December 15, 2021. F2 · derivative.expiration_date: Restricted Stock Units granted under Broadridge's 2018 Omnibus Award Plan representing a like number of shares of Broadridge common stock. The Restricted Stock Units will vest and convert into Broadridge common stock on December 15, 2021. Read SEC document |
| August 16, 2021 Filed Aug 17, 2021 19:41 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GrantRestricted Stock Unit · Derivative | 12,209 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-21-011513 · doc4.xml · derivative · entry 1 Gumbs Keir D · CIK 0001876435 · CVP and Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,209 Underlying: Common Stock · 12,209 shares Expires not disclosed F1 · derivative.exercise_price: Restricted Stock Units granted under Broadridge's 2018 Omnibus Award Plan representing a like number of shares of Broadridge common stock. The Restricted Stock Units will vest and convert into Broadridge common stock on August 16, 2022. F1 · shares: Restricted Stock Units granted under Broadridge's 2018 Omnibus Award Plan representing a like number of shares of Broadridge common stock. The Restricted Stock Units will vest and convert into Broadridge common stock on August 16, 2022. F1 · derivative.exercise_date: Restricted Stock Units granted under Broadridge's 2018 Omnibus Award Plan representing a like number of shares of Broadridge common stock. The Restricted Stock Units will vest and convert into Broadridge common stock on August 16, 2022. F1 · derivative.expiration_date: Restricted Stock Units granted under Broadridge's 2018 Omnibus Award Plan representing a like number of shares of Broadridge common stock. The Restricted Stock Units will vest and convert into Broadridge common stock on August 16, 2022. 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.