Form 4 for BR Broadridge Financial Solutions
Accepted 2023-08-17 00:00:00 ET · period of report 2023-08-15 · accession 0001225208-23-008310 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2023-08-17 | 2023-08-16 | BR | Gumbs Keir D | CLO, CVP | F - Tax | $181.35 | -2,330 | 16.7K | -12% | -$422.5K |
| D | 2023-08-17 | 2023-08-16 | BR | Gumbs Keir D | CLO, CVP | M - OptEx | $0.00 | +4,848 | 19.0K | +34% | $0 |
| D | 2023-08-17 | 2023-08-15 | BR | Gumbs Keir D | CLO, CVP | A - Grant | $0.00 | +3,622 | 14.2K | +34% | $0 |
| D | 2023-08-17 | 2023-08-16 | BR | Gumbs Keir D | CLO, CVP | M - OptEx | $0.00 | -4,848 | 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 | 2023-08-16 | F | D | 2,330 | $181.35 | 16,710.98 | D | — | — | |
| 2 | Common | Common Stock | 2023-08-16 | M | A | 4,848 | $0.00 | 19,040.98 | D | — | — | (F2) 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. |
| 3 | Common | Common Stock | 2023-08-15 | A | A | 3,622 | $0.00 | 14,192.98 | D | — | — | (F1) 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. |
| 4 | Derivative | Restricted Stock Unit | 2023-08-16 | M | D | 4,848 | $0.00 | 0 | D | $0.00 · — to — | 4,848 Common Stock | (F2) 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. |