0001225208-23-010197.txt : 20231113 0001225208-23-010197.hdr.sgml : 20231113 20231113152034 ACCESSION NUMBER: 0001225208-23-010197 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231109 FILED AS OF DATE: 20231113 DATE AS OF CHANGE: 20231113 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: 231398098 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 STATE OF INCORPORATION: DE 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 X0508 4 2023-11-09 0001383312 BROADRIDGE FINANCIAL SOLUTIONS, INC. BR 0001396958 Carter Pamela L 5 DAKOTA DRIVE LAKE SUCCESS NY 11042 1 0 Common Stock 2023-11-09 4 A 0 538.0000 0.0000 A 4595.0000 D Stock Option (Right to Buy) 176.1800 2023-11-09 4 A 0 2241.0000 0.0000 A 2023-11-09 2033-11-09 Common Stock 2241.0000 2241.0000 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 2023-11-13