Filing Details
- Accession Number:
- 0001225208-13-012141
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-05-13 18:28:46
- Reporting Period:
- 2013-05-09
- Filing Date:
- 2013-05-13
- Accepted Time:
- 2013-05-13 18:28:46
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1383312 | Broadridge Financial Solutions Inc. | BR | Services-Business Services, Nec (7389) | 000000000 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1391096 | N Joseph Barra | 1981 Marcus Avenue Lake Success NY 11042 | Corporate Vice President | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2013-05-09 | 110,560 | $17.60 | 162,592 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2013-05-09 | 28,500 | $18.97 | 191,092 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2013-05-09 | 24,569 | $19.19 | 215,661 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2013-05-09 | 24,569 | $18.18 | 240,230 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2013-05-09 | 17,900 | $21.87 | 258,130 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-05-09 | 191,748 | $26.05 | 66,382 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2013-05-10 | 41,667 | $22.76 | 108,049 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2013-05-10 | 41,667 | $20.87 | 149,716 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2013-05-10 | 22,042 | $16.55 | 171,758 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2013-05-10 | 22,042 | $15.17 | 193,800 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2013-05-10 | 22,041 | $21.39 | 215,841 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2013-05-10 | 22,041 | $13.79 | 237,882 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2013-05-10 | 13,166 | $18.97 | 251,048 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2013-05-10 | 3,900 | $23.53 | 254,948 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-05-10 | 177,096 | $25.97 | 77,852 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2013-05-13 | 18,142 | $23.53 | 95,994 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2013-05-13 | 8,171 | $24.25 | 104,165 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-05-13 | 25,000 | $26.06 | 79,165 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2013-05-13 | 25,800 | $26.02 | 53,365 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (Right to Buy) | Disposition | 2013-05-09 | 24,569 | $0.00 | 24,569 | $19.19 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2013-05-09 | 110,560 | $0.00 | 110,560 | $17.60 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2013-05-09 | 24,569 | $0.00 | 24,569 | $18.18 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2013-05-09 | 17,900 | $0.00 | 17,900 | $21.87 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2013-05-09 | 28,500 | $0.00 | 28,500 | $18.97 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2013-05-10 | 22,041 | $0.00 | 22,041 | $13.79 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2013-05-10 | 22,042 | $0.00 | 22,042 | $16.55 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2013-05-10 | 22,042 | $0.00 | 22,042 | $15.17 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2013-05-10 | 3,900 | $0.00 | 3,900 | $23.53 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2013-05-10 | 22,041 | $0.00 | 22,041 | $21.39 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2013-05-10 | 13,166 | $0.00 | 13,166 | $18.97 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2013-05-10 | 41,667 | $0.00 | 41,667 | $22.76 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2013-05-10 | 41,667 | $0.00 | 41,667 | $20.87 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2013-05-13 | 18,142 | $0.00 | 18,142 | $23.53 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2013-05-13 | 8,171 | $0.00 | 8,171 | $24.25 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2009-01-26 | 2017-01-25 | No | 4 | M | Direct |
| 0 | 2008-01-27 | 2015-01-26 | No | 4 | M | Direct |
| 0 | 2008-01-27 | 2016-01-26 | No | 4 | M | Direct |
| 0 | 2009-02-04 | 2018-02-03 | No | 4 | M | Direct |
| 13,166 | 2008-06-25 | 2018-02-24 | No | 4 | M | Direct |
| 0 | 2010-02-02 | 2019-02-01 | No | 4 | M | Direct |
| 0 | 2010-02-02 | 2019-02-01 | No | 4 | M | Direct |
| 0 | 2010-02-02 | 2019-02-01 | No | 4 | M | Direct |
| 18,142 | 2011-02-08 | 2020-02-08 | No | 4 | M | Direct |
| 0 | 2011-02-08 | 2020-02-08 | No | 4 | M | Direct |
| 0 | 2008-06-25 | 2018-02-24 | No | 4 | M | Direct |
| 0 | 2008-06-25 | 2018-02-24 | No | 4 | M | Direct |
| 0 | 2008-06-25 | 2018-02-24 | No | 4 | M | Direct |
| 0 | 2011-02-08 | 2020-02-08 | No | 4 | M | Direct |
| 24,514 | 2013-02-09 | 2022-02-09 | No | 4 | M | Direct |
Footnotes
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $26.00 - $26.32, 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 (1) to this Form 4.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $25.95 - $26.03, 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 (2) to this Form 4.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $26.05 - $26.12, 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.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $25.95 - $26.13, 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 (4) to this Form 4.
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