0001225208-21-002767.txt : 20210217 0001225208-21-002767.hdr.sgml : 20210217 20210217165515 ACCESSION NUMBER: 0001225208-21-002767 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210212 FILED AS OF DATE: 20210217 DATE AS OF CHANGE: 20210217 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Stingi Richard John CENTRAL INDEX KEY: 0001846577 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33220 FILM NUMBER: 21645710 MAIL ADDRESS: STREET 1: C/O BROADRIDGE FINANCIAL SOLUTIONS STREET 2: 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 2021-02-12 0 0001383312 BROADRIDGE FINANCIAL SOLUTIONS, INC. BR 0001846577 Stingi Richard John 5 DAKOTA DRIVE LAKE SUCCESS NY 11042 1 Corporate VP and CHRO Common Stock 2974.7990 D FY2018 RSUs 0.0000 Common Stock 340.0000 D FY2019 RSUs 0.0000 Common Stock 432.0000 D FY2020 RSUs 0.0000 Common Stock 1360.0000 D Stock Option (Right to Buy) 93.8800 2022-02-12 2028-02-12 Common Stock 5635.0000 D Stock Option (Right to Buy) 117.3400 2022-02-04 2030-02-04 Common Stock 1548.0000 D Amount includes 409 Performance-based Restricted Stock Units granted under Broadridge's 2018 Omnibus Award Plan as determined at the end of a two-year performance period and represents a like number of shares of Broadridge common stock. The Performance-based Restricted Stock Units will vest and convert into shares of 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. 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, 2023. 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. 2,063 stock options were granted on February 4, 2020 under Broadridge's 2018 Omnibus Award Plan to vest equally over four years. 515 stock options of this grant vested on February 4, 2021 and 1,548 stock options remain outstanding and will vest equally over the next three years. Adam D. Amsterdam, Power of Attorney 2021-02-12