|
|
(Commission file number)
|
(I.R.S. Employer Identification No.)
|
Title of Each Class:
|
Name of Each Exchange on Which Registered:
|
Trading Symbol:
|
||
|
|
|
Item 5.07. |
Submission of Matters to a Vote of Security Holders.
|
1. |
The election of 10 directors for terms of one year and until their successors are elected and qualified;
|
2. |
The advisory vote to approve the Company’s executive compensation (the Say on Pay Vote); and
|
3. |
The ratification of the appointment of Deloitte & Touche LLP as the Company’s independent registered public accountants for the fiscal year ending June 30, 2020.
|
FOR
|
AGAINST
|
ABSTAIN
|
Broker Non Votes
|
|||||||||||||
Leslie A. Brun
|
84,435,321
|
2,252,724
|
89,192
|
10,021,146
|
||||||||||||
Pamela L. Carter
|
85,111,563
|
1,585,363
|
80,311
|
10,021,146
|
||||||||||||
Richard J. Daly
|
85,627,082
|
1,058,052
|
92,103
|
10,021,146
|
||||||||||||
Robert N. Duelks
|
85,516,416
|
1,167,812
|
93,009
|
10,021,146
|
||||||||||||
Timothy C. Gokey
|
86,553,348
|
138,091
|
85,798
|
10,021,146
|
||||||||||||
Brett A. Keller
|
86,245,723
|
437,870
|
93,644
|
10,021,146
|
||||||||||||
Maura A. Markus
|
86,238,324
|
450,192
|
88,721
|
10,021,146
|
||||||||||||
Thomas J. Perna
|
84,572,021
|
2,116,061
|
89,155
|
10,021,146
|
||||||||||||
Alan J. Weber
|
84,711,655
|
1,978,495
|
87,117
|
10,021,146
|
||||||||||||
Amit K. Zavery
|
86,614,247
|
77,049
|
85,941
|
10,021,146
|
FOR
|
AGAINST
|
ABSTAIN
|
Broker Non Votes
|
|||
82,194,888
|
4,369,798
|
212,551
|
10,021,146
|
FOR
|
AGAINST
|
ABSTAIN
|
||
94,838,689
|
1,858,862
|
100,832
|
Item 7.01. |
Regulation FD Disclosure.
|
• |
the success of Broadridge in retaining and selling additional services to its existing clients and in obtaining new clients;
|
• |
Broadridge’s reliance on a relatively small number of clients, the continued financial health of those clients, and the continued use by such clients of Broadridge’s services
with favorable pricing terms;
|
• |
a material security breach or cybersecurity attack affecting the information of Broadridge’s clients;
|
• |
changes in laws and regulations affecting Broadridge’s clients or the services provided by Broadridge;
|
• |
declines in participation and activity in the securities markets;
|
• |
the failure of our key service providers to provide the anticipated levels of service;
|
• |
a disaster or other significant slowdown or failure of Broadridge’s systems or error in the performance of Broadridge’s services;
|
• |
overall market and economic conditions and their impact on the securities markets;
|
• |
Broadridge’s failure to keep pace with changes in technology and the demands of its clients;
|
• |
the ability to attract and retain key personnel;
|
• |
the impact of new acquisitions and divestitures; and
|
• |
competitive conditions.
|
Item 9.01.
|
Financial Statements and Exhibits.
|
Exhibit
No.
|
Description
|
|
Transcript of the 2019 Broadridge Financial Solutions, Inc. Annual Meeting of Stockholders.
|
||
104
|
Cover Page Interactive Data File - the cover page XBRL tags are embedded within the Inline XBRL document
|
BROADRIDGE FINANCIAL SOLUTIONS, INC.
|
||
By:
|
/s/ Adam D. Amsterdam |
|
Name: Adam D. Amsterdam | ||
Title: Vice President, General Counsel |