SEC Form 3
FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 09/01/2020 | 3. Issuer Name and Ticker or Trading Symbol BROADRIDGE FINANCIAL SOLUTIONS, INC. [ BR ] | |||||||||||||
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) | ||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
CY2019 RSUs | (1) | (1) | Common Stock | 2,017 | 0.0000 | D | |
FY2019 RSUs | (2) | (2) | Common Stock | 484 | 0.0000 | D | |
FY2020 RSUs | (3) | (3) | Common Stock | 491 | 0.0000 | D | |
Stock Option (Right to Buy) | 02/12/2021 | 02/12/2028 | Common Stock | 836(4) | 93.88 | D | |
Stock Option (Right to Buy) | 02/12/2022 | 02/12/2028 | Common Stock | 11,947(5) | 93.88 | D | |
Stock Option (Right to Buy) | 02/11/2021 | 02/11/2029 | Common Stock | 1,104(6) | 98.31 | D | |
Stock Option (Right to Buy) | 02/04/2021 | 02/04/2030 | Common Stock | 1,444(7) | 117.34 | D |
Explanation of Responses: |
1. 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. |
2. 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. |
3. 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. |
4. 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. |
5. 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. |
6. 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. |
7. 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 | 09/03/2020 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |