Broadridge Amends 8-K Filing on Regulation FD and Financials

Ticker: BR · Form: 8-K/A · Filed: 2024-02-29T00:00:00.000Z

Sentiment: neutral

Topics: amendment, regulatory-filing, financial-disclosure

TL;DR

**Broadridge filed an 8-K/A, updating financial and Regulation FD disclosures from February 28, 2024.**

AI Summary

Broadridge Financial Solutions, Inc. filed an 8-K/A on February 29, 2024, amending a previous report from February 28, 2024. The filing includes information related to Regulation FD Disclosure and Financial Statements and Exhibits. The company, incorporated in Delaware with IRS Number 33-1151291, maintains its business address at 5 Dakota Drive, Lake Success, New York 11042.

Why It Matters

This amendment provides updated or clarified information regarding the company's financial disclosures and compliance with Regulation FD, which is crucial for investor transparency and informed decision-making.

Risk Assessment

Risk Level: low — The filing is an amendment (8-K/A) which typically clarifies or updates previous information, rather than announcing a new, high-impact event.

Key Numbers

Key Players & Entities

FAQ

What is the purpose of this 8-K/A filing by Broadridge Financial Solutions, Inc.?

The 8-K/A filing by Broadridge Financial Solutions, Inc. is an amendment to a previous report, including information related to Regulation FD Disclosure and Financial Statements and Exhibits, as stated in the 'ITEM INFORMATION' section.

When was the earliest event reported in this filing?

The date of the earliest event reported in this filing is February 28, 2024, as specified under 'Date of Report (Date of earliest event reported): February 28, 2024'.

What is the business address of Broadridge Financial Solutions, Inc.?

The business address of Broadridge Financial Solutions, Inc. is 5 Dakota Drive, Lake Success, New York 11042, as listed under 'BUSINESS ADDRESS'.

What is the company's Central Index Key (CIK)?

The company's Central Index Key (CIK) is 0001383312, as found under 'COMPANY DATA: CENTRAL INDEX KEY'.

What was the former name of Broadridge Financial Solutions, Inc. and when did it change?

One former name of Broadridge Financial Solutions, Inc. was BROADRIDGE FINANCIAL SOLUTIONS, LLC, with a name change date of 20070126. Another former name was BSG LLC, with a name change date of 20061212, as detailed under 'FORMER COMPANY'.

Filing Stats: 1,129 words · 5 min read · ~4 pages · Grade level 12.3 · Accepted 2024-02-29 13:22:25

Key Financial Figures

Filing Documents

01. Regulation FD Disclosure

Item 7.01. Regulation FD Disclosure. This Amendment No. 1 on Form 8-K/A ("Amendment No. 1") is being filed by Broadridge Financial Solutions, Inc. ("Broadridge" or the "Company") to replace Exhibit 99.1 attached to the Company's Current Report on Form 8-K filed with the Securities and Exchange Commission (the "SEC") on February 29, 2024. On February 28, 2024, the Company posted its February 2024 investor presentation (the "February 2024 Presentation") to its website at broadridge-ir.com and filed it with the SEC on Form 8-K on February 29, 2024. The February 2024 Presentation contained an error on page 18 that the Company is correcting through the filing of this amendment. In that earlier presentation, the Company indicated that the five year average annual constant growth of recurring revenue for its Global Technology and Operations Segment was 10%. The correct figure is 12%. A copy of the revised February 2024 Presentation is being furnished as Exhibit 99.1 attached hereto and is incorporated herein by reference. The information furnished pursuant to Items 7.01 and 9.01, including Exhibit 99.1, 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

Forward-Looking Statements This Current Report on Form 8-K/A 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. In particular, information appearing under "Business," "Risk Factors," and "Management's Discussion and Analysis of Financial Condition and Results of Operations" includes forward-looking statements. 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; 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 demands of its clients; competitive

01. Financial Statements and Exhibits

Item 9.01. Financial Statements and Exhibits. (d) Exhibits. Exhibit No. Description 99.1 Broadridge Financial Solutions, Inc. revised February 2024 Investor Presentation. 104 Cover Page Interactive Data File – the cover page XBRL tags are embedded within the Inline XBRL document.

SIGNATURES

SIGNATURES 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. Date: February 29, 2024 BROADRIDGE FINANCIAL SOLUTIONS, INC. By: /s/ Edmund L. Reese Edmund L. Reese Corporate Vice President and Chief Financial Officer

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