Initial Statement of Beneficial Ownership (3)
February 15 2018 - 1:28PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
Estimated average burden
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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
*
Carey Thomas P
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2. Date of Event Requiring Statement (MM/DD/YYYY)
2/6/2018
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3. Issuer Name
and
Ticker or Trading Symbol
BROADRIDGE FINANCIAL SOLUTIONS, INC. [BR]
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(Last)
(First)
(Middle)
5 DAKOTA DRIVE
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
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X
___ Officer (give title below)
_____ Other (specify below)
Corporate VP /
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(Street)
LAKE SUCCESS, NY 11042
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
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X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Stock
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1726.0000
(1)
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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FY2015 RSUs
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(2)
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(2)
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Common Stock
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1376.0000
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$0.0000
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D
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FY2016 RSUs
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(3)
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(3)
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Common Stock
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1097.0000
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$0.0000
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D
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FY2017 RSUs
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(4)
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(4)
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Common Stock
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1051.0000
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$0.0000
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D
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Stock Option (Right to Buy)
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2/10/2015
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2/10/2024
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Common Stock
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1246.0000
(5)
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$36.9700
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D
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Stock Option (Right to Buy)
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2/10/2018
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2/10/2024
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Common Stock
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25879.0000
(6)
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$36.9700
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D
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Stock Option (Right to Buy)
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2/9/2016
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2/9/2025
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Common Stock
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7222.0000
(7)
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$50.9500
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D
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Stock Option (Right to Buy)
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2/8/2017
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2/8/2026
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Common Stock
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5696.0000
(8)
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$51.9500
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D
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Stock Option (Right to Buy)
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2/10/2018
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2/10/2027
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Common Stock
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5399.0000
(9)
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$67.3200
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D
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Explanation of Responses:
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(1)
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Amount includes 1,651 Restricted Stock Units ("RSUs") granted under Broadridge's 2007 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 RSUs will vest and convert into shares of common stock on April 6, 2018.
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(2)
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Restricted Stock Units granted under Broadridge's 2007 Omnibus Award Plan representing a like number of shares of Broadridge common stock. The RSUs will vest and convert into shares of common stock on April 6, 2018.
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(3)
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Restricted Stock Units granted under Broadridge's 2007 Omnibus Award Plan representing a like number of shares of Broadridge common stock. The RSUs will vest and convert into shares of common stock on April 6, 2019.
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(4)
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Restricted Stock Units granted under Broadridge's 2007 Omnibus Award Plan representing a like number of shares of Broadridge common stock. The RSUs will vest and convert into shares of common stock on April 6, 2020.
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(5)
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Stock Option granted under Broadridge's Omnibus Award Plan on February 10, 2014, vesting equally over 4 years beginning February 10, 2015, of which 1,246 shares are currently exercisable.
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(6)
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Special Stock Option granted under Broadridge's 2007 Omnibus Award Plan on February 10, 2014, of which 25,879 shares are currently exercisable.
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(7)
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Stock Option granted under Broadridge's Omnibus Award Plan on February 9, 2015, vesting equally over 4 years beginning February 9, 2016, of which 5,416 shares are currently exercisable.
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(8)
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Stock Option granted under Broadridge's Omnibus Award Plan on February 8, 2016, vesting equally over 4 years beginning February 8, 2017, of which 2,848 shares are currently exercisable.
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(9)
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Stock Option granted under Broadridge's Omnibus Award Plan on February 10, 2017, vesting equally over 4 years beginning February 10, 2018, of which 1,349 shares are currently exercisable.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Carey Thomas P
5 DAKOTA DRIVE
LAKE SUCCESS, NY 11042
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Corporate VP
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Signatures
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/s/ Thomas P Carey
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2/14/2018
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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 control number.
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