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
  1. 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.
  2. 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.