broadridges8_020409.htm
 
 
 
As filed with the Securities and Exchange Commission on February 4, 2009
 
Registration No.  333-
 

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
_________________________
 
FORM S-8
REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933
____________________________
 
BROADRIDGE FINANCIAL SOLUTIONS, INC.
(Exact Name of Registrant as Specified in Its Charter)
 
Delaware
(State or Other Jurisdiction of
Incorporation or Organization)
1981 Marcus Avenue
Lake Success, New York 11042
(Address, Including Zip Code, of Principal Executive Offices)
 
33-1151291
(I.R.S. Employer Identification No.)
 
 
 
 
     
_____________________________
 

BROADRIDGE FINANCIAL SOLUTIONS, INC. 2007 OMNIBUS AWARD PLAN
(Full Title of the Plan)
_____________________________
 
Adam D. Amsterdam, Esq.
Vice President, General Counsel and Secretary
2 Journal Square Plaza
Jersey City, New Jersey 07306
(Name and Address of Agent for Service)

201-714-3505
(Telephone Number, Including Area Code, of Agent For Service)
 
Copy to:
 
Jonathan I. Mark, Esq.
Cahill Gordon & Reindel LLP
Eighty Pine Street
New York, New York 10005-1702
212-701-3000

 

Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, or a smaller reporting company. See the definitions of “large accelerated filer,” “accelerated filer” and “smaller reporting company” in Rule 12b-2 of the Exchange Act. (Check one):

Large accelerated filer þ
Accelerated filer o
Non-accelerated filer o
Smaller reporting company o
   
(Do not check if a smaller reporting company)
  
_____________________________
 
 
CALCULATION OF REGISTRATION FEE

Title Of Each Class Of Securities
To Be Registered
Amount To Be
Registered(1)
Proposed Maximum
Offering Price
Per Share
Proposed Maximum
Aggregate
Offering Price
Amount
Of
Registration Fee (2)
Common Stock, par value $0.01  per share
2,700,000 shares
$14.58(2)
$39,366,000(3)
$1,547.08
 
(1)  
This Registration Statement covers 2,700,000 additional shares of common stock, par value $0.01 per share, of Broadridge Financial Solutions, Inc. (the “Registrant” or the “Corporation”) available for issuance pursuant to awards under the Corporation’s 2007 Omnibus Award Plan (the “Plan”).  This Registration Statement also covers any additional shares of common stock of the Registrant that become issuable pursuant to awards by reason of any stock dividend, stock split, recapitalization or other similar transaction that results in an increase in the number of the outstanding shares of common stock of the Registrant.
 
(2)  
Pursuant to General Instruction E to Form S-8, a filing fee is only being paid with respect to the registration of additional securities for the Plan.  A Registration Statement on Form S-8 has been filed previously on March 29, 2007 (File No. 333-141673) covering 24,000,000 shares of common stock reserved for issuance pursuant to awards under the Plan.

(3)  
Calculated solely for purposes of this offering under Rules 457(c) and 457(h) of the Securities Act of 1933, as amended, on the basis of the average of the high and low selling prices per share of common stock of the Registrant on February 3, 2009, as reported on the New York Stock Exchange.

 

 

 
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EXPLANATORY NOTE

Incorporation by Reference.  This Registration Statement is filed pursuant to General Instruction E to Form S-8.  The contents of the Registration Statement on Form S-8 (File No. 333-141673) is incorporated herein by reference and made a part hereof.

Registration of Additional Shares of Common Stock Under the Plan.  This Registration Statement on Form S-8 is filed by the Registrant to register an additional 2,700,00 shares of common stock, par value $0.01 per share, of Broadridge Financial Solutions, Inc., which may be awarded under the 2007 Omnibus Award Plan pursuant to an amendment and restatement of such plan authorized by the stockholders of the Registrant on November 13, 2008.

 
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PART II

INFORMATION REQUIRED IN THE REGISTRATION STATEMENT
 
Item 3.    Incorporation of Documents by Reference.
 
The contents of the Registration Statement on Form S-8 previously filed with the Securities and Exchange Commission (the “Commission”) on March 29, 2007 (File No. 333-141673), by Broadridge Financial Solutions, Inc., a Delaware corporation (the “Corporation” or the “Registrant”), are incorporated herein by reference.  In addition, the following new documents filed with the Commission by the Corporation are incorporated herein by reference:

(a)
the Corporation’s Annual Report on Form 10-K for the fiscal year ended June 30, 2008, filed with the Commission on August 14, 2008;
 
(b)
the Corporation’s Quarterly Report for the fiscal quarter ended September 30, 2008, filed with the Commission on November 6, 2008;
 
(c)
the Corporation’s Quarterly Report for the fiscal quarter ended December 31, 2008, filed with the Commission on February 3, 2009;
 
(d)
the Current Reports on Form 8-K, filed with the Commission on August 19, 2008; September 3, 2008; and November 14, 2008; and
 
(e)
the description of common stock contained in Exhibit 99.1 to Amendment No. 4 to the Registration Statement on Form 10 (File No. 001-33220), filed by Broadridge Financial Solutions, LLC with the Commission on March 16, 2007, and any amendment or report filed for the purpose of updating such description.
 
All documents filed by the Registrant pursuant to Sections 13(a), 13(c), 14 and 15(d) of the Securities Exchange Act of 1934, as amended, subsequent to the effective date of this Registration Statement, prior to the filing of a post-effective amendment to this Registration Statement indicating that all securities offered hereby have been sold or deregistering all securities then remaining unsold, shall be deemed to be incorporated by reference herein and to be part hereof from the date of filing of such documents.  In no event, however, will any information that the Registrant discloses under Item 2.02 or Item 7.01 of any Current Report on Form 8-K that the Registrant may from time to time furnish to the Commission be incorporated by reference into, or otherwise become a part of, this Registration Statement.  Any statement contained in any document incorporated or deemed to be incorporated by reference herein shall be deemed to be modified or superseded for purposes of this Registration Statement to the extent that a statement contained herein or in any other subsequently filed document which also is or is deemed to be incorporated by reference herein modifies or supersedes such statement.  Any such statement so modified or superseded shall not be deemed to constitute a part of this Registration Statement, except as so modified or superseded.
 
Item 8.    Exhibits.
 
Exhibit No.
Description
   
4.1
Broadridge Financial Solutions, Inc. 2007 Omnibus Award Plan (incorporated by reference to Exhibit 10.1 on Form 8-K filed on November 14, 2008 (File No. 001-33220))
   
4.2
Certificate of Incorporation of Broadridge Financial Solutions, Inc. (incorporated by reference to Exhibit 4.2 to the Registration Statement on Form S-8 filed on March 29, 2007 (File No. 333-141673))
   
4.3
By-laws of Broadridge Financial Solutions, Inc. (incorporated by reference to Exhibit 4.3 to the Registration Statement on Form S-8 filed on March 29, 2007 (File No. 333-141673))

 
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5.1
Opinion of Cahill Gordon & Reindel LLP*
   
23.1
Consent of Deloitte & Touche LLP*
   
23.2
Consent of Cahill Gordon & Reindel LLP (included in the opinion filed as Exhibit 5.1)*
   
24
Power of Attorney (included on signature page)*
   
* Filed herewith.
  


 
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SIGNATURES
 
Pursuant to the requirements of the Securities Act of 1933, as amended, the Registrant certifies that it has reasonable grounds to believe that it meets all of the requirements for filing on Form S-8 and has duly caused this Registration Statement to be signed on its behalf by the undersigned, thereunto duly authorized, in the Village of Lake Success, State of New York on this 4th day of February, 2009.
 
BROADRIDGE FINANCIAL SOLUTIONS, INC.
 
 
By:  /s/ Richard J. Daly                
        Richard J. Daly
        Chief Executive Officer



POWER OF ATTORNEY
 
KNOW ALL PERSONS BY THESE PRESENTS, that each person whose signature appears below hereby constitutes and appoints Adam D. Amsterdam and Dan Sheldon, and each of them individually, his or her true and lawful attorneys-in-fact and agents, with full power of substitution and resubstitution, for him or her and in his or her name, place and stead, in any and all capacities, to sign any and all amendments (including post-effective amendments) to this registration statement on Form S-8 and to file the same, with all exhibits thereto, and other documents in connection therewith, with the Securities and Exchange Commission, granting unto said attorneys-in-fact and agents, and each of them individually, full power and authority to do and perform each and every act and thing requisite and necessary to be done, as fully to all intents and purposes as he or she might or could do in person, hereby ratifying and confirming all that said attorneys-in-fact and agents or any of them, or their or his substitute or substitutes, may lawfully do or cause to be done by virtue hereof.

Pursuant to the requirements of the Securities Act of 1933, as amended, this Registration Statement has been signed by the following persons in the capacities and on the date indicated.
 
Signature
Title
Date
     
/s/ Richard J. Daly
Richard J. Daly
Chief Executive Officer and Director (principal executive officer)
 
February 4, 2009
     
/s/ Dan Sheldon
Dan Sheldon
Vice President and Chief Financial Officer (principal financial officer and principal accounting officer)
 
February 4, 2009
     
/s/ Arthur F. Weinbach
Arthur F. Weinbach
Executive Chairman and Chairman of the Board of Directors
 
February 4, 2009
     
/s/ Leslie A. Brun
Leslie A. Brun
Director
 
February 4, 2009
     
/s/ Richard J. Haviland
Richard J. Haviland
Director
 
February 4, 2009

 
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/s/ Alexandra Lebenthal
Alexandra Lebenthal
Director
 
February 4, 2009
     
/s/ Stuart R. Levine
Stuart R. Levine
Director
 
February 4, 2009
     
/s/ Thomas E. McInerney
Thomas E. McInerney
Director
 
February 4, 2009
     
/s/ Alan J. Weber
Alan J. Weber
Director
 
February 4, 2009
 
 

 
 
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EXHIBIT INDEX
 
Exhibit No.
Description
   
4.1
Broadridge Financial Solutions, Inc. 2007 Omnibus Award Plan (incorporated by reference to Exhibit 10.1 on Form 8-K filed on November 14, 2008 (File No. 001-33220))
   
4.2
Certificate of Incorporation of Broadridge Financial Solutions, Inc. (incorporated by reference to Exhibit 4.2 to the Registration Statement on Form S-8 filed on March 29, 2007 (File No. 333-141673))
   
4.3
By-laws of Broadridge Financial Solutions, Inc. (incorporated by reference to Exhibit 4.3 to the Registration Statement on Form S-8 filed on March 29, 2007 (File No. 333-141673))
   
5.1
Opinion of Cahill Gordon & Reindel LLP*
   
23.1
Consent of Deloitte & Touche LLP*
   
23.2
Consent of Cahill Gordon & Reindel LLP (included in the opinion filed as Exhibit 5.1)*
   
24
Power of Attorney (included on signature page)*

* Filed herewith