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BROADRIDGE FINANCIAL SOLUTIONS, INC. — Director's Dealing 2020
Sep 3, 2020
30171_dirs_2020-09-03_ae109319-11a2-4d66-9787-b81fc894bd11.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: BROADRIDGE FINANCIAL SOLUTIONS, INC. (BR)
CIK: 0001383312
Period of Report: 2020-09-01
Reporting Person: Connor Matthew J (Interim CFO)
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| CY2019 RSUs | $0.0000 | Common Stock (2017.0000) | Direct | ||
| FY2019 RSUs | $0.0000 | Common Stock (484.0000) | Direct | ||
| FY2020 RSUs | $0.0000 | Common Stock (491.0000) | Direct | ||
| Stock Option (Right to Buy) | $93.8800 | 2028-02-12 | Common Stock (836.0000) | Direct | |
| Stock Option (Right to Buy) | $93.8800 | 2028-02-12 | Common Stock (11947.0000) | Direct | |
| Stock Option (Right to Buy) | $98.3100 | 2029-02-11 | Common Stock (1104.0000) | Direct | |
| Stock Option (Right to Buy) | $117.3400 | 2030-02-04 | Common Stock (1444.0000) | Direct |
Footnotes
F1: 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.
F2: 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.
F3: 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.
F4: 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.
F5: 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.
F6: 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.
F7: Stock options granted under Broadridge's 2018 Omnibus Award Plan on February 4, 2020, vesting equally over 4 years beginning February 4, 2021.