0001225208-20-011273.txt : 20200903 0001225208-20-011273.hdr.sgml : 20200903 20200903162505 ACCESSION NUMBER: 0001225208-20-011273 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200901 FILED AS OF DATE: 20200903 DATE AS OF CHANGE: 20200903 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Connor Matthew J CENTRAL INDEX KEY: 0001822707 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33220 FILM NUMBER: 201159541 MAIL ADDRESS: STREET 1: 5 DAKOTA DRIVE CITY: LAKE SUCCESS STATE: NY ZIP: 11042 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: BROADRIDGE FINANCIAL SOLUTIONS, INC. CENTRAL INDEX KEY: 0001383312 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-BUSINESS SERVICES, NEC [7389] IRS NUMBER: 331151291 FISCAL YEAR END: 0630 BUSINESS ADDRESS: STREET 1: 5 DAKOTA DRIVE CITY: LAKE SUCCESS STATE: NY ZIP: 11042 BUSINESS PHONE: 516-472-5400 MAIL ADDRESS: STREET 1: 5 DAKOTA DRIVE CITY: LAKE SUCCESS STATE: NY ZIP: 11042 FORMER COMPANY: FORMER CONFORMED NAME: BROADRIDGE FINANCIAL SOLUTIONS, LLC DATE OF NAME CHANGE: 20070126 FORMER COMPANY: FORMER CONFORMED NAME: BSG LLC DATE OF NAME CHANGE: 20061212 3 1 doc3.xml X0206 3 2020-09-01 0 0001383312 BROADRIDGE FINANCIAL SOLUTIONS, INC. BR 0001822707 Connor Matthew J 5 DAKOTA DRIVE LAKE SUCCESS NY 11042 1 Interim CFO CY2019 RSUs 0.0000 Common Stock 2017.0000 D FY2019 RSUs 0.0000 Common Stock 484.0000 D FY2020 RSUs 0.0000 Common Stock 491.0000 D Stock Option (Right to Buy) 93.8800 2021-02-12 2028-02-12 Common Stock 836.0000 D Stock Option (Right to Buy) 93.8800 2022-02-12 2028-02-12 Common Stock 11947.0000 D Stock Option (Right to Buy) 98.3100 2021-02-11 2029-02-11 Common Stock 1104.0000 D Stock Option (Right to Buy) 117.3400 2021-02-04 2030-02-04 Common Stock 1444.0000 D Special award of Restricted Stock Units granted under Broadridge's 2018 Omnibus Award Plan representing a like number of shares of Broadridge common stock. The Restricted Stock Units will vest and convert into Broadridge common stock on April 1, 2021. Restricted Stock Units granted under Broadridge's 2007 Omnibus Award Plan representing a like number of shares of Broadridge common stock. The Restricted Stock Units will vest and convert into Broadridge common stock on April 1, 2021. Restricted Stock Units granted under Broadridge's 2018 Omnibus Award Plan representing a like number of shares of Broadridge common stock. The Restricted Stock Units will vest and convert into Broadridge common stock on April 1, 2022. 1,671 stock options were initially granted on February 12, 2018 under Broadridge's 2007 Omnibus Award Plan and vested equally over 4 years. 836 stock options remain outstanding and vest equally over the next 2 years. Stock options granted under Broadridge's 2007 Omnibus Award Plan on February 12, 2018, that will vest on the fourth anniversary of the date of the grant. 1,471 stock options were initially granted on February 11, 2019 under Broadridge's 2018 Omnibus Award Plan and vested equally over 4 years. 1,104 stock options remain outstanding and vest equally over the next 3 years. Stock options granted under Broadridge's 2018 Omnibus Award Plan on February 4, 2020, vesting equally over 4 years beginning February 4, 2021. Adam D. Amsterdam, Power of Attorney 2020-09-03