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


FORM 8-K

CURRENT REPORT

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

Date of Report (Date of earliest event reported): October 1, 2019


BROADRIDGE FINANCIAL SOLUTIONS, INC.
(Exact name of registrant as specified in its charter)

DELAWARE
(State or other jurisdiction of incorporation)


001-33220
33-1151291
(Commission file number)
(I.R.S. Employer Identification No.)

5 Dakota Drive
Lake Success, New York 11042
(Address of principal executive offices)

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

N/A
(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:
☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act:
 
Title of Each Class:
 
Name of Each Exchange on Which Registered:
 
Trading Symbol
Common Stock, par value $0.01 per share
 
New York Stock Exchange
 
BR

Securities registered pursuant to Section 12(g) of the Act:  None

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 ☐
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. ☐
Item 8.01.
Other Events.

On October 1, 2019, Broadridge Financial Solutions, Inc. (the “Company”) issued a press release announcing that it has acquired Shadow Financial Systems, a provider of multi-asset class post-trade solutions for the capital markets industry. A copy of the press release is attached hereto as Exhibit 99.1 and is incorporated herein by reference.

Item 9.01.
Financial Statements and Exhibits.

Exhibits.  The following exhibit is filed herewith:

Exhibit No.
Description
   
Press Release of Broadridge Financial Solutions, Inc. dated October 1, 2019
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.

Dated:  October 1, 2019

 
BROADRIDGE FINANCIAL SOLUTIONS, INC.
   
 
By
/s/ James M. Young
   
Name:
James M. Young
   
Title:
Corporate Vice President and
     
Chief Financial Officer

EXHIBIT 99.1
Broadridge Adds Cryptocurrency and
Exchange Traded Derivatives Capabilities

Acquires Shadow Financial Systems to Extend Industry-Leading,
Multi-asset Post-Trade Capabilities

NEW YORK, N.Y. – October 1, 2019  – Broadridge Financial Solutions, Inc. (NYSE:BR), a global Fintech leader and part of the S&P 500® Index, today announced that it has acquired Shadow Financial Systems, Inc., a provider of multi-asset class post-trade solutions for the capital markets industry. The acquisition builds upon Broadridge’s current industry leading post-trade processing capabilities by adding a market-ready solution for exchanges, inter-dealer brokers and proprietary trading firms.  In addition, the acquisition adds capabilities across exchange traded derivatives (ETDs) and cryptocurrency.

“The acquisition of Shadow Financial Systems is the latest example of Broadridge building upon our industry leading capital markets solutions,” said Michael Alexander, co-head of North American Wealth and Capital Markets Solutions for Broadridge. “We look forward to bringing real benefits to a new set of market participants as well as new capabilities to our existing client base.”

“We are excited to join industry leader Broadridge and to better serve our clients’ evolving needs while adding the scale, deep domain expertise and technology resources that Broadridge can provide,” said Don Marino, President of Shadow Financial Systems, Inc.

Alantra acted as exclusive financial and strategic advisor to Shadow Financial Systems, Inc. Terms of the deal were not disclosed.

About Broadridge

Broadridge Financial Solutions, Inc. (NYSE: BR), a $4 billion global Fintech leader and a part of the S&P 500® Index, is a leading provider of investor communications and technology-driven solutions to banks, broker-dealers, asset and wealth managers and corporate issuers. With over 50 years of experience, including more than 10 years as an independent public company, Broadridge provides an important infrastructure that powers the financial services industry. Broadridge’s infrastructure underpins proxy voting services for over 50 percent of public companies and mutual funds globally, and processes on average more than U.S. $7 trillion in fixed income and equity trades per day of securities. Broadridge employs over 11,000 full-time associates in 18 countries. For more information about Broadridge, please visit www.broadridge.com.

Investors:

W. Edings Thibault
Head of Investor Relations
Broadridge Financial Solutions
+1 516-472-5129
edings.thibault@broadridge.com

Media:

Tina Wadhwa
Broadridge Financial Solutions
+1 212-973-6164
tina.wadhwa@broadridge.com