SEC FORM 3

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

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^*

Stingi Richard John

(Last)

(First)

(Middle)

5 DAKOTA DRIVE

(Street)

LAKE SUCCESS

11042

(City)

(State)

(Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
02/12/2021

3. Issuer Name and Ticker or Trading Symbol
BROADRIDGE FINANCIAL SOLUTIONS, INC. [ BR ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
Corporate VP and CHRO

5. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock	2,974.799⁽¹⁾	D

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
1. Title of Derivative Security (Instr. 4)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
FY2018 RSUs	⁽²⁾	⁽²⁾	Common Stock	340	0.0000	D
FY2019 RSUs	⁽³⁾	⁽³⁾	Common Stock	432	0.0000	D
FY2020 RSUs	⁽⁴⁾	⁽⁴⁾	Common Stock	1,360	0.0000	D
Stock Option (Right to Buy)	02/12/2022	02/12/2028	Common Stock	5,635⁽⁵⁾	93.88	D
Stock Option (Right to Buy)	02/04/2022	02/04/2030	Common Stock	1,548⁽⁶⁾	117.34	D

Explanation of Responses:

1. 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.

2. 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.

3. 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.

4. 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.

5. 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.

6. 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.

	Adam D. Amsterdam, Power of Attorney	02/12/2021
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: 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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