0001225208-21-014014.txt : 20211122 0001225208-21-014014.hdr.sgml : 20211122 20211122120555 ACCESSION NUMBER: 0001225208-21-014014 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211118 FILED AS OF DATE: 20211122 DATE AS OF CHANGE: 20211122 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Carter Pamela L CENTRAL INDEX KEY: 0001396958 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33220 FILM NUMBER: 211430974 MAIL ADDRESS: STREET 1: 5400 WESTHEIMER COURT CITY: HOUSTON STATE: TX ZIP: 77056-5310 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 4 1 doc4.xml X0306 4 2021-11-18 0001383312 BROADRIDGE FINANCIAL SOLUTIONS, INC. BR 0001396958 Carter Pamela L 5 DAKOTA DRIVE LAKE SUCCESS NY 11042 1 Common Stock 2021-11-18 4 A 0 485.0000 0.0000 A 3303.0000 D Stock Option (Right to Buy) 173.0000 2021-11-18 4 A 0 2360.0000 0.0000 A 2021-11-18 2031-11-18 Common Stock 2360.0000 2360.0000 D The reported transaction reflects the grant of Deferred Stock Units under Broadridge's 2018 Omnibus Award Plan and represents a like number of shares of Broadridge common stock. The Deferred Stock Units vest in full upon grant and will settle in shares of Broadridge common stock upon the director's separation from service with Broadridge. Stock options vest immediately upon grant. Maria Allen, Power of Attorney 2021-11-22