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Filing Details

Accession Number:: 0001225208-16-039703
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2016-09-27 14:34:01
Reporting Period:: 2016-09-23

Filing Date:: 2016-09-27
Accepted Time:: 2016-09-27 14:34:01
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1383312	Broadridge Financial Solutions Inc.	BR	()	4

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1198860	J Richard Daly	5 Dakota Drive Lake Success NY 11042	President And Ceo	Yes	Yes	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2016-09-23	63,570	$25.67	226,507	No	4	M	Direct
Common Stock	Disposition	2016-09-23	53,914	$69.02	172,593	No	4	S	Direct
Common Stock	Acquisiton	2016-09-26	216,790	$24.25	389,383	No	4	M	Direct
Common Stock	Acquisiton	2016-09-26	4,260	$25.67	393,643	No	4	M	Direct
Common Stock	Disposition	2016-09-26	186,277	$69.47	207,366	No	4	S	Direct
Common Stock	Disposition	2016-09-23	2,372	$69.12	5,445	No	4	S	Indirect	by The EED 2014 Trust
Common Stock	Disposition	2016-09-23	2,372	$69.12	5,445	No	4	S	Indirect	by The KLD 2014 Trust

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	M	Direct
No	4	S	Direct
No	4	M	Direct
No	4	M	Direct
No	4	S	Direct
No	4	S	Indirect	by The EED 2014 Trust
No	4	S	Indirect	by The KLD 2014 Trust

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Stock Option (Right to Buy)	Disposition	2016-09-23	63,570	$0.00	63,570	$25.67
Common Stock	Stock Option (Right to Buy)	Disposition	2016-09-26	4,260	$0.00	4,260	$25.67
Common Stock	Stock Option (Right to Buy)	Disposition	2016-09-26	216,790	$0.00	216,790	$24.25

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
4,260	2011-02-08	2020-02-08	No	4	M	Direct
0	2011-02-08	2020-02-08	No	4	M	Direct
7,079	2013-02-09	2022-02-09	No	4	M	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	20,000	Indirect	by The EED 2012 Trust
Common Stock	20,000	Indirect	by The KLD 2012 Trust
Common Stock	73,423	Indirect	by The RD 2016 GRAT

Footnotes

The reported transaction is a stock option exercise pursuant to a 10b5-1 plan adopted by the reporting person on August 19, 2016.
The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person on August 19, 2016.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $68.75 - $69.33, 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 $68.15 - $70.08, 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.
The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person on August 22, 2016.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $68.91 - $69.43, 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 (6) to this Form 4.