Form 4 for BR Broadridge Financial Solutions
Accepted 2022-02-18 00:00:00 ET · period of report 2022-02-16 · accession 0001225208-22-002766 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DI | 2022-02-18 | 2022-02-16 | BR | Duelks Robert N | Dir | S - Sale+OE | $145.75 | -1,300 | 7,700 | -14% | -$189.5K |
| DM | 2022-02-18 | 2022-02-16 | BR | Duelks Robert N | Dir | F - Tax | $145.04 | -10.5K | 39.7K | -21% | -$1.52M |
| DM | 2022-02-18 | 2022-02-16 | BR | Duelks Robert N | Dir | M - OptEx | $22.05 | +22.1K | 34.4K | +179% | +$486.2K |
| DM | 2022-02-18 | 2022-02-16 | BR | Duelks Robert N | Dir | M - OptEx | $22.05 | -22.1K | 0 | -100% | -$486.2K |
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 | 2022-02-16 | S | D | 1,300 | $145.75 | 7,700 | I | — | — | (F2) The reporting person, along with his wife, Mary E. Duelks are members of BOMAR II LLC (the "LLC") through the Robert N. Duelks Revocable Trust dated January 11, 2007 and the Mary E. Duelks Revocable Trust dated January 11, 2007. Ownership in the LLC is held by various Grantor Retained Annuity Trusts ("GRATS") in which the reporting person and his wife act as Trustees. |
| 2 | Common | Common Stock | 2022-02-16 | F | D | 5,761 | $145.04 | 33,893 | D | — | — | (F1) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $145.0000 - $145.4200, 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 to this Form 4. |
| 3 | Common | Common Stock | 2022-02-16 | F | D | 4,704 | $145.04 | 39,654 | D | — | — | (F1) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $145.0000 - $145.4200, 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 to this Form 4. |
| 4 | Common | Common Stock | 2022-02-16 | M | A | 9,982 | $21.29 | 44,358 | D | — | — | |
| 5 | Common | Common Stock | 2022-02-16 | M | A | 12,074 | $22.67 | 34,376 | D BOMAR II LLC | — | — | |
| 6 | Derivative | Stock Option (Right to Buy) | 2022-02-16 | M | D | 9,982 | $21.29 | 0 | D | $21.29 · 2012-05-10 to 2022-05-10 | 9,982 Common Stock | |
| 7 | Derivative | Stock Option (Right to Buy) | 2022-02-16 | M | D | 12,074 | $22.67 | 0 | D | $22.67 · 2012-11-15 to 2022-11-15 | 12,074 Common Stock |