Form 4 for BR Broadridge Financial Solutions
Accepted 2022-08-26 00:00:00 ET · period of report 2022-08-26 · accession 0001225208-22-009814 · 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 | 2022-08-26 | 2022-08-26 | BR | DALY RICHARD J | Executive COB, Dir | M - OptEx | $96.12 | +72.6K | 180.3K | +67% | +$6.98M |
| DM | 2022-08-26 | 2022-08-26 | BR | DALY RICHARD J | Executive COB, Dir | S - Sale+OE | $175.35 | -73.0K | 143.2K | -34% | -$12.80M |
| DI | 2022-08-26 | 2022-08-26 | BR | DALY RICHARD J | Executive COB, Dir | S - Sale+OE | $176.34 | -1,985 | 0 | -100% | -$350.0K |
| DM | 2022-08-26 | 2022-08-26 | BR | DALY RICHARD J | Executive COB, Dir | M - OptEx | $96.12 | -72.6K | 0 | -100% | -$6.98M |
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 | 2022-08-26 | M | A | 35,817 | $93.88 | 216,152.99 | D | — | — | |
| 2 | Common | Common Stock | 2022-08-26 | S | D | 8,683 | $175.04 | 207,469.99 | D | — | — | (F1) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $175.00 - $175.53, 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 | 2022-08-26 | S | D | 64,300 | $175.39 | 143,169.99 | D | — | — | (F2) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $175.26 - $175.88, 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 | 2022-08-26 | M | A | 36,780 | $98.31 | 180,335.99 | D by The KLD 2014 Trust | — | — | |
| 5 | Common | Common Stock | 2022-08-26 | S | D | 1,985 | $176.34 | 0 | I | — | — | (F3) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $176.33 - $176.50, 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. |
| 6 | Derivative | Stock Option (Right to Buy) | 2022-08-26 | M | D | 36,780 | $98.31 | 36,780 | D | $98.31 · 2020-02-11 to 2029-02-11 | 36,780 Common Stock | |
| 7 | Derivative | Stock Option (Right to Buy) | 2022-08-26 | M | D | 35,817 | $93.88 | 0 | D | $93.88 · 2019-02-12 to 2028-02-12 | 35,817 Common Stock |