0001225208-20-013792.txt : 20201123 0001225208-20-013792.hdr.sgml : 20201123 20201123115456 ACCESSION NUMBER: 0001225208-20-013792 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201119 FILED AS OF DATE: 20201123 DATE AS OF CHANGE: 20201123 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PERNA THOMAS J CENTRAL INDEX KEY: 0001209487 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33220 FILM NUMBER: 201335502 MAIL ADDRESS: STREET 1: 89 ROBBINS AVENUE CITY: BERKELEY HEIGHTS STATE: NJ ZIP: 07922 FORMER NAME: FORMER CONFORMED NAME: PERNA THOMAS A DATE OF NAME CHANGE: 20021210 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: BROADRIDGE FINANCIAL SOLUTIONS, INC. CENTRAL INDEX KEY: 0001383312 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-BUSINESS SERVICES, NEC [7389] IRS NUMBER: 331151291 FISCAL YEAR END: 0630 BUSINESS ADDRESS: STREET 1: 5 DAKOTA DRIVE CITY: LAKE SUCCESS STATE: NY ZIP: 11042 BUSINESS PHONE: 516-472-5400 MAIL ADDRESS: STREET 1: 5 DAKOTA DRIVE CITY: LAKE SUCCESS STATE: NY ZIP: 11042 FORMER COMPANY: FORMER CONFORMED NAME: BROADRIDGE FINANCIAL SOLUTIONS, LLC DATE OF NAME CHANGE: 20070126 FORMER COMPANY: FORMER CONFORMED NAME: BSG LLC DATE OF NAME CHANGE: 20061212 4 1 doc4.xml X0306 4 2020-11-19 0001383312 BROADRIDGE FINANCIAL SOLUTIONS, INC. BR 0001209487 PERNA THOMAS J 5 DAKOTA DRIVE LAKE SUCCESS NY 11042 1 Common Stock 2020-11-19 4 A 0 565.0000 0.0000 A 49371.0000 D Stock Option (Right to Buy) 146.6000 2020-11-19 4 A 0 2931.0000 0.0000 A 2020-11-19 2030-11-19 Common Stock 2931.0000 2931.0000 D The reported transaction reflects the grant of Deferred Stock Units under Broadridge's 2018 Omnibus Award Plan and represents a like number of shares of Broadridge common stock. The Deferred Stock Units vest in full upon grant and will settle in shares of Broadridge common stock upon the director's separation from service with Broadridge. Stock options vest immediately upon grant. Adam D. Amsterdam, Power of Attorney 2020-11-23