Annual Statement of Changes in Beneficial Ownership (5)
August 06 2021 - 3:59PM
Edgar (US Regulatory)
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
[ ]
Form 3 Holdings Reported
[X]
Form 4 Transactions Reported
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0362
Estimated average burden hours per response...
1.0
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Liberatore Michael | 2. Issuer Name and Ticker or Trading SymbolBROADRIDGE FINANCIAL SOLUTIONS, INC. [BR] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) VP, ICS - Mutual Funds |
(Last)
(First)
(Middle)
5 DAKOTA DRIVE | 3. Statement for Issuer's Fiscal Year Ended (MM/DD/YYYY) 6/30/2021 |
(Street)
LAKE SUCCESS, NY 11042
(City)
(State)
(Zip)
| 4. If Amendment, Date Original Filed(MM/DD/YYYY) | 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form Filed by One Reporting Person
___ Form Filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security (Instr. 3) | 2. Trans. Date | 2A. Deemed Execution Date, if any | 3. Trans. Code (Instr. 8) | 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) |
Amount | (A) or (D) | Price |
Common Stock | 9/11/2020 | | P4 | 25.0000 | A | $134.5212 | 11684.9100 | D | |
Common Stock | 11/2/2020 | | S4 | 25.0000 | D | $140.2150 | 11659.9100 | D | |
Common Stock | 9/11/2020 | | P4 | 40.0000 | A | $134.4357 | 40.0000 | I | By Wife |
Common Stock | 11/2/2020 | | S4 | 40.0000 | D | $140.3335 | 0.0000 | I | By Wife |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (MM/DD/YYYY) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of Derivative Securities Beneficially Owned at End of Issuer's Fiscal Year (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Option (Right to Buy) | $50.9500 | | | | | | 2/9/2016 | 2/9/2025 | Common Stock | 1806.0000 | | 1806.0000 | D | |
Stock Option (Right to Buy) | $51.9500 | | | | | | 2/8/2017 | 2/8/2026 | Common Stock | 5259.0000 | | 5259.0000 | D | |
Stock Option (Right to Buy) | $67.3200 | | | | | | 2/10/2018 | 2/10/2027 | Common Stock | 8100.0000 | | 8100.0000 | D | |
Stock Option (Right to Buy) | $93.8800 | | | | | | 2/12/2019 | 2/12/2028 | Common Stock | 7760.0000 | | 7760.0000 | D | |
Stock Option (Right to Buy) | $98.3100 | | | | | | 2/11/2020 | 2/11/2029 | Common Stock | 8196.0000 | | 8196.0000 | D | |
Stock Option (Right to Buy) | $117.3400 | | | | | | 2/4/2021 | 2/4/2030 | Common Stock | 8357.0000 | | 8357.0000 | D | |
Stock Option (Right to Buy) | $148.0700 | | | | | | 2/12/2022 | 2/12/2031 | Common Stock | 6547.0000 | | 6547.0000 | D | |
Explanation of Responses: |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Liberatore Michael 5 DAKOTA DRIVE LAKE SUCCESS, NY 11042 |
|
| VP, ICS - Mutual Funds |
|
Signatures
|
Maria Allen, Power of Attorney | | 8/6/2021 |
**Signature of Reporting Person | Date |
Broadridge Financial Sol... (NYSE:BR)
Historical Stock Chart
From Jun 2024 to Jul 2024
Broadridge Financial Sol... (NYSE:BR)
Historical Stock Chart
From Jul 2023 to Jul 2024