0001225208-21-013064.txt : 20211008
0001225208-21-013064.hdr.sgml : 20211008
20211008161317
ACCESSION NUMBER: 0001225208-21-013064
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20211007
FILED AS OF DATE: 20211008
DATE AS OF CHANGE: 20211008
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: DALY RICHARD J
CENTRAL INDEX KEY: 0001198860
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33220
FILM NUMBER: 211315442
MAIL ADDRESS:
STREET 1: 5 DAKOTA DRIVE
CITY: LAKE SUCCESS
STATE: NY
ZIP: 11042
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: BROADRIDGE FINANCIAL SOLUTIONS, INC.
CENTRAL INDEX KEY: 0001383312
STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-BUSINESS SERVICES, NEC [7389]
IRS NUMBER: 331151291
FISCAL YEAR END: 0630
BUSINESS ADDRESS:
STREET 1: 5 DAKOTA DRIVE
CITY: LAKE SUCCESS
STATE: NY
ZIP: 11042
BUSINESS PHONE: 516-472-5400
MAIL ADDRESS:
STREET 1: 5 DAKOTA DRIVE
CITY: LAKE SUCCESS
STATE: NY
ZIP: 11042
FORMER COMPANY:
FORMER CONFORMED NAME: BROADRIDGE FINANCIAL SOLUTIONS, LLC
DATE OF NAME CHANGE: 20070126
FORMER COMPANY:
FORMER CONFORMED NAME: BSG LLC
DATE OF NAME CHANGE: 20061212
4
1
doc4.xml
X0306
4
2021-10-07
0001383312
BROADRIDGE FINANCIAL SOLUTIONS, INC.
BR
0001198860
DALY RICHARD J
5 DAKOTA DRIVE
LAKE SUCCESS
NY
11042
1
1
Executive Chairman
Common Stock
2021-10-07
4
M
0
73560.0000
98.3100
A
212904.9949
D
Common Stock
2021-10-07
4
M
0
8349.0000
93.8800
A
221253.9949
D
Common Stock
2021-10-07
4
S
0
73300.0000
168.4322
D
147953.9949
D
Common Stock
2700.0000
I
2020 Grandchild Trust
Common Stock
20000.0000
I
by The EED 2012 Trust
Common Stock
9484.0000
I
by The EED 2014 Trust
Common Stock
20000.0000
I
by The KLD 2012 Trust
Common Stock
1985.0000
I
by The KLD 2014 Trust
Stock Option (Right to Buy)
98.3100
2021-10-07
4
M
0
73560.0000
98.3100
D
2020-02-11
2029-02-11
Common Stock
73560.0000
73560.0000
D
Stock Option (Right to Buy)
93.8800
2021-10-07
4
M
0
8349.0000
93.8800
D
2019-02-12
2028-02-12
Common Stock
8349.0000
35817.0000
D
The reported transaction is a stock option exercise pursuant to a 10b5-1 plan adopted by the reporting person on September 3, 2021.
The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person on September 3, 2021.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $167.07 - $168.90, 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 (3) to this Form 4.
Maria Allen, Power of Attorney
2021-10-08