Sec Form 4 Filing - Levine Stuart R @ BROADRIDGE FINANCIAL SOLUTIONS, INC. - 2019-08-15

Insider filing report for Changes in Beneficial Ownership
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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
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
Levine Stuart R
2. Issuer Name and Ticker or Trading Symbol
BROADRIDGE FINANCIAL SOLUTIONS, INC. [ BR]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X __ Director _____ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
(Last) (First) (Middle)
5 DAKOTA DRIVE
3. Date of Earliest Transaction (MM/DD/YY)
08/15/2019
(Street)
LAKE SUCCESS, NY11042
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction 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 08/15/2019 M 10,841 A $ 36.35 47,886 D
Common Stock 08/15/2019 M 6,469 A $ 45.09 54,355 D
Common Stock 08/15/2019 M 5,771 A $ 56.37 60,126 D
Common Stock 08/15/2019 M 4,753 A $ 64.89 64,879 D
Common Stock 08/15/2019 M 4,107 A $ 88.66 68,986 D
Common Stock 08/15/2019 M 2,801 A $ 107.52 71,787 D
Common Stock 08/15/2019 S 25,260 D $ 126.2727 ( 1 ) 46,527 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction 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/YY)
7. Title and Amount of Underlying Securities
(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
Stock Option (Right to Buy) $ 107.52 08/15/2019 M 2,801 11/08/2018 11/08/2028 Common Stock 2,801 $ 0 0 D
Stock Option (Right to Buy) $ 56.37 08/15/2019 M 5,771 11/12/2015 11/12/2025 Common Stock 5,771 $ 0 0 D
Stock Option (Right to Buy) $ 45.09 08/15/2019 M 6,469 11/13/2014 11/13/2024 Common Stock 6,469 $ 0 0 D
Stock Option (Right to Buy) $ 36.35 08/15/2019 M 10,841 11/14/2013 11/14/2023 Common Stock 10,841 $ 0 0 D
Stock Option (Right to Buy) $ 88.66 08/15/2019 M 4,107 11/16/2017 11/16/2027 Common Stock 4,107 $ 0 0 D
Stock Option (Right to Buy) $ 64.89 08/15/2019 M 4,753 11/17/2016 11/17/2026 Common Stock 4,753 $ 0 0 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Levine Stuart R
5 DAKOTA DRIVE
LAKE SUCCESS, NY11042
X
Signatures
Adam D. Amsterdam, Power of Attorney 08/15/2019
Signature of Reporting Person Date
Explanation of Responses:
( 1 )The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $126.19 - $126.74, 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.

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
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