Daly Richard J's Form 4 filing
Broadridge Financial Solutions, Inc. (BR) · filed Aug 21, 2023
- Accession no.
- 0001225208-23-008373
- Filed
- Aug 21, 2023
- Trade date
- Aug 18, 2023
- Filing delay
- 3 days
- Rule 10b5-1 plan
- Not checked
This filing lists 4 non-derivative transactions. Open-market sales total $9.13M. It was filed 3 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Daly Richard JCIK 0001198860 | Director, Officer (Executive Chairman) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Aug 18, 2023 | Common Stock | SSaleDisposed | −31,565 | $178.82F1 | −$5,644,453.3 | 111,760.99 | Direct | |
| Aug 18, 2023 | Common Stock | SSaleDisposed | −5,000 | $178.91F2 | −$894,550 | 15,000 | Indirect | |
| Aug 18, 2023 | Common Stock | SSaleDisposed | −9,484 | $179.16F3 | −$1,699,153.44 | 0 | Indirect | |
| Aug 18, 2023 | Common Stock | SSaleDisposed | −5,000 | $179.19F4 | −$895,950 | 15,000 | Indirect |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $178.43 - $179.44, 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 (1) to this Form 4.
Referenced by the price of 1 transaction in Table I.
- F2
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $178.77 - $179.125, 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 (2) to this Form 4.
Referenced by the price of 1 transaction in Table I.
- F3
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $178.96 - $179.79, 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.
Referenced by the price of 1 transaction in Table I.
- F4
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $178.91 - $179.685, 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.
Referenced by the price of 1 transaction in Table I.