Filing Details
- Accession Number:
- 0001225208-20-006166
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-04-07 15:05:25
- Reporting Period:
- 2020-04-06
- Accepted Time:
- 2020-04-07 15:05:25
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1383312 | Broadridge Financial Solutions Inc. | BR | Services-Business Services, Nec (7389) | 331151291 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1731499 | P Thomas Carey | 5 Dakota Drive Lake Success NY 11042 | Corporate Vp | 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 | 2020-04-06 | 1,051 | $0.00 | 3,041 | No | 4 | M | Direct | |
Common Stock | Disposition | 2020-04-06 | 1,089 | $97.11 | 1,952 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | M | Direct | |
No | 4 | S | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | FY2017 RSUs | Disposition | 2020-04-06 | 1,051 | $0.00 | 1,051 | $0.00 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | No | 4 | M | Direct |
Footnotes
- Each Restricted Stock Unit represented one share of Broadridge common stock and on April 6, 2020 1,051 Restricted Stock Units vested and converted into an equal number of shares of common stock.
- Represents the number of shares required to be sold by the reporting person to cover tax withholding obligations in connection with the vesting of the 1,051 Restricted Stock Units listed in Table II as well as the vesting of the 1,261 Restricted Stock Units reported on August 6, 2019. This sale is made pursuant to the Issuer's election under its equity incentive plan and applicable award agreements to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person.