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Broadridge Financial Solutions, Inc. – ‘8-K’ for 8/12/22

On:  Friday, 8/12/22, at 7:59am ET   ·   For:  8/12/22   ·   Accession #:  1383312-22-35   ·   File #:  1-33220

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  As Of               Filer                 Filing    For·On·As Docs:Size

 8/12/22  Broadridge Fin’l Solutions, Inc.  8-K:2,8,9   8/12/22   12:7.3M

Current Report   —   Form 8-K

Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 8-K         Current Report                                      HTML     49K 
 2: EX-99.1     Miscellaneous Exhibit                               HTML    444K 
 3: EX-99.2     Miscellaneous Exhibit                               HTML     44K 
 7: R1          Cover Page                                          HTML     46K 
10: XML         IDEA XML File -- Filing Summary                      XML     12K 
 8: XML         XBRL Instance -- br-20220812_htm                     XML     21K 
 9: EXCEL       IDEA Workbook of Financial Reports                  XLSX      8K 
 5: EX-101.LAB  XBRL Labels -- br-20220812_lab                       XML     68K 
 6: EX-101.PRE  XBRL Presentations -- br-20220812_pre                XML     33K 
 4: EX-101.SCH  XBRL Schema -- br-20220812                           XSD     10K 
11: JSON        XBRL Instance as JSON Data -- MetaLinks               11±    17K 
12: ZIP         XBRL Zipped Folder -- 0001383312-22-000035-xbrl      Zip     66K 

‘8-K’   —   Current Report

This is an HTML Document rendered as filed.  [ Alternative Formats ]

 iX:   C:  C: 
 i 0001383312 i false00013833122022-08-122022-08-12

Washington, D.C. 20549

FORM  i 8-K


Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934

Date of Report (Date of earliest event reported):  i August 12, 2022
(Exact name of registrant as specified in its charter)
 i Delaware
 i 33-1151291
(State or other jurisdiction of incorporation)
(Commission file number)
(I.R.S. Employer Identification No.)

 i 5 Dakota Drive
 i Lake Success i New York i 11042
(Street Address)(City)(State)Zip Code

Registrant’s telephone number, including area code: ( i 516)  i 472-5400

(Former name or former address, if changed since last report)

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
 i  Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
 i  Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
 i  Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
 i  Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
Emerging growth company  i 
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ¨
Securities registered pursuant to Section 12(b) of the Act:
Title of Each Class:
Trading Symbol
Name of Each Exchange on Which Registered:
 i Common Stock, par value $0.01 per share
 i BR
 i New York Stock Exchange

Item 2.02. Results of Operations and Financial Condition.

On August 12, 2022, Broadridge Financial Solutions, Inc. (“Broadridge” or the “Company”) issued a press release announcing its financial results for the fiscal fourth quarter and fiscal year ended June 30, 2022. On August 12, 2022, the Company also posted an Earnings Webcast & Conference Call Presentation dated August 12, 2022 on the Company’s Investor Relations website at

Item 8.01. Other Events.

On August 11, 2022, Broadridge's Board of Directors (the “Board”) declared a quarterly dividend of $0.725 per share payable on October 5, 2022 to stockholders of record on September 15, 2022. This declaration reflects the Board's approval of an increase in the annual dividend amount by 13% from $2.56 to $2.90 per share, subject to the discretion of the Board to declare quarterly dividends. The declaration and payment of future dividends to holders of the Company’s common stock will be at the discretion of the Board, and will depend upon many factors, including the Company’s financial condition, earnings, capital requirements of its businesses, legal requirements, regulatory constraints, industry practice, and other factors that the Board deems relevant. A copy of the press release announcing this dividend declaration is attached hereto as Exhibit 99.1.

Copies of the press release and earnings presentation are being furnished as Exhibits 99.1 and 99.2, attached hereto, respectively, and are incorporated herein by reference. The information furnished pursuant to Items 2.02 and 9.01, including Exhibits 99.1and 99.2, shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liabilities under that section, and shall not be deemed to be incorporated by reference into any filing of the Company under the Securities Act of 1933, as amended, or the Exchange Act.

Forward-Looking Statements

This Current Report on Form 8-K may contain “forward-looking statements” within the meaning of the Private Securities Litigation Reform Act of 1995. Statements that are not historical in nature, and which may be identified by the use of words such as “expects,” “assumes,” “projects,” “anticipates,” “estimates,” “we believe,” “could be,” “on track” and other words of similar meaning, are forward-looking statements. These risks and uncertainties include those risk factors discussed in Part I, “Item 1A. Risk Factors” of our Annual Report on Form 10-K for the fiscal year ended June 30, 2022 (the “2022 Annual Report”), as they may be updated in any future reports filed with the Securities and Exchange Commission. All forward-looking statements speak only as of the date of this 8-K and are expressly qualified in their entirety by reference to the factors discussed in the 2022 Annual Report. These statements are based on management’s expectations and assumptions and are subject to risks and uncertainties that may cause actual results to differ materially from those expressed.

Factors that could cause actual results to differ materially from those contemplated by the forward-looking statements include:

changes in laws and regulations affecting Broadridge’s clients or the services provided by Broadridge;
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;
a material security breach or cybersecurity attack affecting the information of Broadridge’s clients;
the potential impact and effects of the Covid-19 pandemic (“Covid-19”) on the business of Broadridge, Broadridge’s results of operations and financial performance, any measures Broadridge has and may take in response to Covid-19 and any expectations Broadridge may have with respect thereto;
declines in participation and activity in the securities markets;
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;
overall market, economic and geopolitical conditions and their impact on the securities markets;

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.

There may be other factors that may cause our actual results to differ materially from the forward-looking statements. Our actual results, performance or achievements could differ materially from those expressed in, or implied by, the forward-looking statements. We can give no assurances that any of the events anticipated by the forward-looking statements will occur or, if any of them do, what impact they will have on our results of operations and financial condition. You should carefully read the factors described in the “Risk Factors” section of the 2022 Annual Report for a description of certain risks that could, among other things, cause our actual results to differ from these forward-looking statements.

Item 9.01.Financial Statements and Exhibits.
(d) Exhibits.
Exhibit No.Description
104Cover Page Interactive Data File - the cover page XBRL tags are embedded within the Inline XBRL document

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
Dated: August 12, 2022

By:/s/ Edmund L. Reese
Name:     Edmund L. Reese
Title: Corporate Vice President
  and Chief Financial Officer

Dates Referenced Herein   and   Documents Incorporated by Reference

This ‘8-K’ Filing    Date    Other Filings
10/5/22None on these Dates
Filed on / For Period end:8/12/22
 List all Filings 
Filing Submission 0001383312-22-000035   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

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