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) 02/12/2021 | 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) |
Common Stock | 2,974.799(1) | D |
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 | ||||
FY2018 RSUs | (2) | (2) | Common Stock | 340 | 0.0000 | D | |
FY2019 RSUs | (3) | (3) | Common Stock | 432 | 0.0000 | D | |
FY2020 RSUs | (4) | (4) | Common Stock | 1,360 | 0.0000 | D | |
Stock Option (Right to Buy) | 02/12/2022 | 02/12/2028 | Common Stock | 5,635(5) | 93.88 | D | |
Stock Option (Right to Buy) | 02/04/2022 | 02/04/2030 | Common Stock | 1,548(6) | 117.34 | D |
Explanation of Responses: |
1. 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. |
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. 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. |
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. 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 | 02/12/2021 | |
** 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. |