Form 4 for BR Broadridge Financial Solutions
Accepted 2021-08-18 00:00:00 ET · period of report 2021-08-16 · accession 0001225208-21-011544 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2021-08-18 | 2021-08-16 | BR | Liberatore Michael | VP, ICS - Mutual Funds | M - OptEx | $77.47 | +27.2K | 37.9K | +254% | +$2.10M |
| DM | 2021-08-18 | 2021-08-16 | BR | Liberatore Michael | VP, ICS - Mutual Funds | S - Sale+OE | $175.65 | -32.7K | 38.2K | -46% | -$5.75M |
| DM | 2021-08-18 | 2021-08-16 | BR | Liberatore Michael | VP, ICS - Mutual Funds | M - OptEx | $0.00 | -27.2K | 0 | -100% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2021-08-16 | M | A | 8,100 | $67.32 | 20,611.91 | D | — | — | |
| 2 | Common | Common Stock | 2021-08-16 | M | A | 5,820 | $93.88 | 26,431.91 | D | — | — | |
| 3 | Common | Common Stock | 2021-08-16 | M | A | 5,259 | $51.95 | 31,690.91 | D | — | — | |
| 4 | Common | Common Stock | 2021-08-16 | M | A | 4,098 | $98.31 | 35,788.91 | D | — | — | |
| 5 | Common | Common Stock | 2021-08-16 | S | D | 6,828 | $176.11 | 6,956.91 | D | — | — | (F1) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $175.87 - $176.65, 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. |
| 6 | Common | Common Stock | 2021-08-16 | S | D | 6,422 | $173.78 | 13,784.91 | D | — | — | (F2) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $173.75 - $174.05, 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. |
| 7 | Common | Common Stock | 2021-08-16 | M | A | 1,806 | $50.95 | 39,683.91 | D | — | — | |
| 8 | Common | Common Stock | 2021-08-16 | S | D | 5,131 | $176.11 | 20,206.91 | D | — | — | (F1) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $175.87 - $176.65, 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. |
| 9 | Common | Common Stock | 2021-08-16 | S | D | 4,315 | $176.11 | 25,337.91 | D | — | — | (F1) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $175.87 - $176.65, 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. |
| 10 | Common | Common Stock | 2021-08-16 | S | D | 3,639 | $176.11 | 29,652.91 | D | — | — | (F1) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $175.87 - $176.65, 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. |
| 11 | Common | Common Stock | 2021-08-16 | S | D | 3,000 | $176.11 | 33,291.91 | D | — | — | (F1) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $175.87 - $176.65, 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. |
| 12 | Common | Common Stock | 2021-08-16 | S | D | 1,913 | $176.11 | 36,291.91 | D | — | — | (F1) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $175.87 - $176.65, 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. |
| 13 | Common | Common Stock | 2021-08-16 | S | D | 1,479 | $176.11 | 38,204.91 | D | — | — | (F1) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $175.87 - $176.65, 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. |
| 14 | Common | Common Stock | 2021-08-16 | M | A | 2,089 | $117.34 | 37,877.91 | D | — | — | |
| 15 | Derivative | Stock Option (Right to Buy) | 2021-08-16 | M | D | 1,806 | $0.00 | 0 | D | $50.95 · 2016-02-09 to 2025-02-09 | 1,806 Common Stock | |
| 16 | Derivative | Stock Option (Right to Buy) | 2021-08-16 | M | D | 8,100 | $0.00 | 0 | D | $67.32 · 2018-02-10 to 2027-02-10 | 8,100 Common Stock | |
| 17 | Derivative | Stock Option (Right to Buy) | 2021-08-16 | M | D | 4,098 | $0.00 | 4,098 | D | $98.31 · 2020-02-11 to 2029-02-11 | 4,098 Common Stock | |
| 18 | Derivative | Stock Option (Right to Buy) | 2021-08-16 | M | D | 5,820 | $0.00 | 1,940 | D | $93.88 · 2019-02-12 to 2028-02-12 | 5,820 Common Stock | |
| 19 | Derivative | Stock Option (Right to Buy) | 2021-08-16 | M | D | 2,089 | $0.00 | 6,268 | D | $117.34 · 2021-02-04 to 2030-02-04 | 2,089 Common Stock | |
| 20 | Derivative | Stock Option (Right to Buy) | 2021-08-16 | M | D | 5,259 | $0.00 | 0 | D | $51.95 · 2017-02-08 to 2026-02-08 | 5,259 Common Stock |