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