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(State or other jurisdiction of incorporation)
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(Commission file number)
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(I.R.S. Employer Identification No.)
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(Address of Principal Executive Offices)
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(Zip Code)
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
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Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
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Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
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Title of Each Class:
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Trading Symbol
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Name of Each Exchange on Which Registered:
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Item 7.01 |
Regulation FD Disclosure.
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• |
changes in laws and regulations affecting Broadridge’s clients or the services provided by Broadridge;
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• |
Broadridge’s reliance on a relatively small number of clients, the continued financial health of those clients, and the continued use by such clients of Broadridge’s services
with favorable pricing terms;
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• |
a material security breach or cybersecurity attack affecting the information of Broadridge’s clients;
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• |
declines in participation and activity in the securities markets;
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• |
the failure of Broadridge’s key service providers to provide the anticipated levels of service;
|
• |
a disaster or other significant slowdown or failure of Broadridge’s systems or error in the performance of Broadridge’s services;
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• |
overall market, economic and geopolitical conditions and their impact on the securities markets;
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• |
the success of Broadridge in retaining and selling additional services to its existing clients and in obtaining new clients;
|
• |
Broadridge’s failure to keep pace with changes in technology and the demands of its clients;
|
• |
competitive conditions;
|
• |
Broadridge’s ability to attract and retain key personnel; and
|
• |
the impact of new acquisitions and divestitures.
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Item 9.01. |
Financial Statements and Exhibits.
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Exhibit No.
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Description
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99.1 |
Broadridge Financial Solutions, Inc. September 2023 Investor Presentation.
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104 |
Cover Page Interactive Data File - the cover page XBRL tags are embedded within the Inline XBRL document.
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Dated: September 13, 2023 | ||
BROADRIDGE FINANCIAL SOLUTIONS, INC.
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||
By:
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/s/ Edmund L. Reese |
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Name:
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Edmund L. Reese
|
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Title:
|
Corporate Vice President, Chief Financial Officer
|
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