Statement of Changes in Beneficial Ownership (4)
December 17 2021 - 11:23AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden hours per response...
0.5
|
|
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
*
Gumbs Keir D |
2. Issuer Name and Ticker or Trading Symbol
BROADRIDGE 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) CVP and Chief Legal Officer |
(Last)
(First)
(Middle)
5 DAKOTA DRIVE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
12/15/2021 |
(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)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Common Stock | 12/15/2021 | | M | | 8079.0000 | A | $0.0000 (1) | 8079.0000 | D | |
Common Stock | 12/15/2021 | | F | | 3886.0000 | D | $178.0200 | 4193.0000 | D | |
Table II - Derivative Securities 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 | 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 Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Restricted Stock Unit | $0.0000 (1) | 12/15/2021 | | M | | | 8079.0000 | (1) | (1) | Common Stock | 8079.0000 | $0.0000 (1) | 17057.0000 | D | |
Explanation of Responses: |
(1) | Each Restricted Stock Unit represented one share of Broadridge common stock and on December 15, 2021 8,079 Restricted Stock Units vested and converted into an equal number of shares of common stock. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Gumbs Keir D 5 DAKOTA DRIVE LAKE SUCCESS, NY 11042 |
|
| CVP and Chief Legal Officer |
|
Signatures
|
Maria Allen, Power of Attorney | | 12/17/2021 |
**Signature of Reporting Person | Date |
Broadridge Financial Sol... (NYSE:BR)
Historical Stock Chart
From Jul 2024 to Aug 2024
Broadridge Financial Sol... (NYSE:BR)
Historical Stock Chart
From Aug 2023 to Aug 2024