AI assistant
BROADRIDGE FINANCIAL SOLUTIONS, INC. — Director's Dealing 2021
Feb 17, 2021
30171_dirs_2021-02-17_4ec8f7a1-3ce1-4a30-b981-187add7676d0.zip
Director's Dealing
Open in viewerOpens in your device viewer
SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: BROADRIDGE FINANCIAL SOLUTIONS, INC. (BR)
CIK: 0001383312
Period of Report: 2021-02-12
Reporting Person: Stingi Richard John (Corporate VP and CHRO)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 2974.7990 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| FY2018 RSUs | $0.0000 | Common Stock (340.0000) | Direct | ||
| FY2019 RSUs | $0.0000 | Common Stock (432.0000) | Direct | ||
| FY2020 RSUs | $0.0000 | Common Stock (1360.0000) | Direct | ||
| Stock Option (Right to Buy) | $93.8800 | 2028-02-12 | Common Stock (5635.0000) | Direct | |
| Stock Option (Right to Buy) | $117.3400 | 2030-02-04 | Common Stock (1548.0000) | Direct |
Footnotes
F1: 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.
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: 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.
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: 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.