Broadridge Financial Solutions Contracts & Agreements

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Broadridge Financial Solutions, Inc. 2018 Omnibus Award Plan Non-Qualified Stock Option Grant Award Agreement for U.S. Corporate Officers
Stock Agreements
Broadridge Financial Solutions
IT Services
NY
2024
Broadridge Financial Solutions, Inc. 2018 Omnibus Award Plan Restricted Stock Unit Grant Award Agreement (Performance-Based) for U.S. Corporate Officers
Bonus & Incentive Agreements
Broadridge Financial Solutions
IT Services
NY
2024
Broadridge Financial Solutions, Inc. 2018 Omnibus Award Plan Restricted Stock Unit Grant Award Agreement for U.S. Corporate Officers
Bonus & Incentive Agreements
Broadridge Financial Solutions
IT Services
NY
2024
Amendment to Broadridge Financial Solutions, Inc. Supplemental Officers Retirement Plan (September 2023)
Retirement Agreements
Broadridge Financial Solutions
IT Services
2024
Broadridge Financial Solutions, Inc. 2018 Omnibus Award Plan Non-Qualified Stock Option Grant Award Agreement for U.S. Corporate Officers
Warrant Agreements
Broadridge Financial Solutions
IT Services
NY
2023
Broadridge Financial Solutions, Inc. 2018 Omnibus Award Plan Restricted Stock Unit Grant Award Agreement (Performance-Based) for U.S. Corporate Officers
Bonus & Incentive Agreements
Broadridge Financial Solutions
IT Services
NY
2023
Broadridge Financial Solutions, Inc. 2018 Omnibus Award Plan Restricted Stock Unit Grant Award Agreement for U.S. Corporate Officers
Bonus & Incentive Agreements
Broadridge Financial Solutions
IT Services
NY
2023
Amended and Restated Term Credit Agreement among Broadridge Financial Solutions, Inc., Lenders, and JPMorgan Chase Bank, N.A. (August 17, 2023)
Credit Agreements
Broadridge Financial Solutions
IT Services
DE
2023
Amended and Restated Term Credit Agreement among Broadridge Financial Solutions, Inc., Lenders, and JPMorgan Chase Bank, N.A. (August 17, 2023)
Credit Agreements
Broadridge Financial Solutions
IT Services
NY
2023
Description of Capital Stock of Broadridge Financial Solutions, Inc.
Equity Distribution Agreements
Broadridge Financial Solutions
IT Services
2023
Broadridge Financial Solutions, Inc. Clawback Policy for Executive Officers and Key Employees
Compensation Agreements
Broadridge Financial Solutions
IT Services
2023
Second Amendment to Term Credit Agreement among Broadridge Financial Solutions, Inc., Lenders, and JPMorgan Chase Bank, N.A.
Modification Agreements
Broadridge Financial Solutions
IT Services
NY
2023
Broadridge Financial Solutions, Inc. Director Deferred Compensation Program (Amended and Restated as of December 7, 2022)
Compensation Agreements
Broadridge Financial Solutions
IT Services
NY
2023
Description of Capital Stock of Broadridge Financial Solutions, Inc.
Stock Agreements
Broadridge Financial Solutions
IT Services
2022
First Amendment to Term Credit Agreement among Broadridge Financial Solutions, Inc. and Lenders, dated December 23, 2021
Credit Agreements
Broadridge Financial Solutions
IT Services
NY
2022
First Amendment to Amended and Restated Credit Agreement among Broadridge Financial Solutions, Inc., Subsidiaries, and Lenders
Credit Agreements
Broadridge Financial Solutions
IT Services
NY
2022
Broadridge Financial Solutions, Inc. Chief Legal Officer Employment Offer Letter to Keir Gumbs
Employment Agreements
Broadridge Financial Solutions
IT Services
2021
Novation Agreement among IBM, Kyndryl, and Broadridge Financial Solutions (July 28, 2021)
Assignment Agreements
Broadridge Financial Solutions
IT Services
2021
Novation Agreement among IBM United Kingdom Limited, Kyndryl UK Limited, and Broadridge Financial Solutions Limited (August 19, 2021)
Assignment Agreements
Broadridge Financial Solutions
IT Services
2021
Description of Capital Stock and Anti-Takeover Provisions of Broadridge Financial Solutions, Inc.
Equity Distribution Agreements
Broadridge Financial Solutions
IT Services
NY
2021
Broadridge Financial Solutions, Inc. 2018 Omnibus Award Plan Non-Qualified Stock Option Grant Award Agreement for U.S. Non-Employee Directors
Stock Agreements
Broadridge Financial Solutions
IT Services
NY
2021
Broadridge Financial Solutions, Inc. 2018 Omnibus Award Plan Deferred Stock Unit Award Agreement for U.S. Non-Employee Directors
Bonus & Incentive Agreements
Broadridge Financial Solutions
IT Services
NY
2021
Broadridge Financial Solutions, Inc. 2018 Omnibus Award Plan Restricted Stock Unit Grant Award Agreement (Performance Based) for U.S. Corporate Officers
Bonus & Incentive Agreements
Broadridge Financial Solutions
IT Services
NY
2021
Broadridge Financial Solutions, Inc. 2018 Omnibus Award Plan Restricted Stock Unit Grant Award Agreement for U.S. Corporate Officers (Time Based)
Bonus & Incentive Agreements
Broadridge Financial Solutions
IT Services
NY
2021
Broadridge Financial Solutions, Inc. 2018 Omnibus Award Plan Stock Option Grant Award Agreement for U.S. Corporate Officers
Warrant Agreements
Broadridge Financial Solutions
IT Services
NY
2021
Fifth Supplemental Indenture for 2.600% Senior Notes due 2031 between Broadridge Financial Solutions, Inc. and U.S. Bank National Association
Indenture Agreements
Broadridge Financial Solutions
IT Services
NY
2021
Underwriting Agreement for $1,000,000,000 2.600% Senior Notes due 2031 by Broadridge Financial Solutions, Inc. and Underwriters
Underwriting Agreements
Broadridge Financial Solutions
IT Services
NY
2021
Share Purchase Agreement between Cidron Delfi S.à r.l., Itiviti Invest V AB, Itiviti Intressenter AB, Individual MIP Sellers, and Broadridge Sweden Holdings AB (with Guarantor)...
Purchase Agreements
Broadridge Financial Solutions
IT Services
2021
WARRANTY DEED between Broadridge Sweden Holdings AB and Management Warrantors dated March 27, 2021
Purchase Agreements
Broadridge Financial Solutions
IT Services
CA
2021
Term Credit Agreement among Broadridge Financial Solutions, Inc., Lenders, and JPMorgan Chase Bank, N.A. (March 27, 2021)
Credit Agreements
Broadridge Financial Solutions
IT Services
DE
2021
Broadridge Financial Solutions, Inc. Offer Letter to Edmund Reese for Chief Financial Officer Position
Employment Agreements
Broadridge Financial Solutions
IT Services
2021
Amendment No. 1 to Broadridge Financial Solutions, Inc. Officer Severance Plan
Severance Agreements
Broadridge Financial Solutions
IT Services
2020
Broadridge Financial Solutions, Inc. 2018 Omnibus Award Plan Restricted Stock Unit Grant Award Agreement (Performance-Based) for U.S. Corporate Officers
Equity Distribution Agreements
Broadridge Financial Solutions
IT Services
NY
2020
Broadridge Financial Solutions, Inc. 2018 Omnibus Award Plan Restricted Stock Unit Grant Award Agreement for U.S. Corporate Officers
Bonus & Incentive Agreements
Broadridge Financial Solutions
IT Services
NY
2020
Broadridge Financial Solutions, Inc. 2018 Omnibus Award Plan Stock Option Grant Award Agreement for U.S. Corporate Officers
Warrant Agreements
Broadridge Financial Solutions
IT Services
NY
2020
Broadridge Financial Solutions, Inc. Executive Clawback Policy
Compensation Agreements
Broadridge Financial Solutions
IT Services
2020
Underwriting Agreement for $750,000,000 2.900% Senior Notes due 2029 between Broadridge Financial Solutions, Inc. and Underwriters
Underwriting Agreements
Broadridge Financial Solutions
IT Services
NY
2019
Fourth Supplemental Indenture between Broadridge Financial Solutions, Inc. and U.S. Bank National Association (2019)
Indenture Agreements
Broadridge Financial Solutions
IT Services
NY
2019
Broadridge Financial Solutions, Inc. 2018 Omnibus Award Plan Non-Qualified Stock Option Grant Award Agreement for U.S. Non-Employee Directors
Warrant Agreements
Broadridge Financial Solutions
IT Services
NY
2019
Broadridge Financial Solutions, Inc. 2018 Omnibus Award Plan Deferred Stock Unit Award Agreement for U.S. Non-Employee Directors
Bonus & Incentive Agreements
Broadridge Financial Solutions
IT Services
NY
2019
Broadridge Financial Solutions, Inc. 2018 Omnibus Award Plan Performance-Based Restricted Stock Unit Grant Award Agreement for U.S. Corporate Officers
Bonus & Incentive Agreements
Broadridge Financial Solutions
IT Services
NY
2019
Broadridge Financial Solutions, Inc. 2018 Omnibus Award Plan Restricted Stock Unit Grant Award Agreement for U.S. Corporate Officers (Time-Based)
Bonus & Incentive Agreements
Broadridge Financial Solutions
IT Services
NY
2019
Broadridge Financial Solutions, Inc. 2018 Omnibus Award Plan Non-Qualified Stock Option Grant Award Agreement for U.S. Corporate Officers
Warrant Agreements
Broadridge Financial Solutions
IT Services
NY
2019
Amendment Number Two to Broadridge Financial Solutions, Inc. Change in Control Severance Plan for Corporate Officers
Change of Control Agreements
Broadridge Financial Solutions
IT Services
2019
Description of Securities Registered Under Section 12 of the Exchange Act – Broadridge Financial Solutions, Inc.
Equity Distribution Agreements
Broadridge Financial Solutions
IT Services
NY
2019
Broadridge Executive Retirement and Savings Plan (Amended and Restated as of January 1, 2019)
Retirement Agreements
Broadridge Financial Solutions
IT Services
NY
2019
Amended and Restated Credit Agreement among Broadridge Financial Solutions, Inc., Borrowing Subsidiaries, Lenders, and JPMorgan Chase Bank, N.A.
Credit Agreements
Broadridge Financial Solutions
IT Services
NY
2019
Broadridge Financial Solutions, Inc. Executive Officer Annual Incentive Compensation Plan
Bonus & Incentive Agreements
Broadridge Financial Solutions
IT Services
2018
Broadridge Financial Solutions, Inc. Director Deferred Compensation Program (Amended and Restated as of January 1, 2019)
Compensation Agreements
Broadridge Financial Solutions
IT Services
NY
2018
Broadridge Financial Solutions, Inc. 2018 Omnibus Award Plan
Bonus & Incentive Agreements
Broadridge Financial Solutions
IT Services
DE
2018
Amendment to Broadridge Financial Solutions, Inc. 2007 Omnibus Award Plan (Effective February 6, 2018)
Bonus & Incentive Agreements
Broadridge Financial Solutions
IT Services
2018
Amendment No. 1 to Broadridge Executive Retirement and Savings Plan
Retirement Agreements
Broadridge Financial Solutions
IT Services
2017
Amendment to Broadridge Financial Solutions, Inc. Supplemental Executive Retirement Plan (2017)
Retirement Agreements
Broadridge Financial Solutions
IT Services
2017
Amendment to Broadridge Financial Solutions, Inc. Supplemental Officers Retirement Plan (February 2, 2017)
Retirement Agreements
Broadridge Financial Solutions
IT Services
2017
Amendment No. 2 to the Broadridge Executive Retirement and Savings Plan
Retirement Agreements
Broadridge Financial Solutions
IT Services
2017
Amended and Restated Credit Agreement among Broadridge Financial Solutions, Inc. and Lenders (2017)
Credit Agreements
Broadridge Financial Solutions
IT Services
DE
2017
Underwriting Agreement for $500,000,000 3.400% Senior Notes due 2026 between Broadridge Financial Solutions, Inc. and Underwriters
Underwriting Agreements
Broadridge Financial Solutions
IT Services
NY
2016
Third Supplemental Indenture for 3.400% Senior Notes due 2026 between Broadridge Financial Solutions, Inc. and U.S. Bank National Association
Indenture Agreements
Broadridge Financial Solutions
IT Services
NY
2016
Amendment No. 12 to Information Technology Services Agreement between IBM and Broadridge Financial Solutions, Inc.
Modification Agreements
Broadridge Financial Solutions
IT Services
2015
Broadridge Executive Retirement and Savings Plan Agreement (Effective January 1, 2015)
Retirement Agreements
Broadridge Financial Solutions
IT Services
NY
2014
Amendment to Broadridge Financial Solutions, Inc. Executive Deferred Compensation Program (Effective December 31, 2014)
Compensation Agreements
Broadridge Financial Solutions
IT Services
2014
Amended and Restated Credit Agreement among Broadridge Financial Solutions, Inc., JPMorgan Chase Bank, N.A., J.P. Morgan Europe Limited, and Lenders (August 14, 2014)
Credit Agreements
Broadridge Financial Solutions
IT Services
DE
2014
Employment Offer Letter for Chief Financial Officer between Broadridge Financial Solutions, Inc. and James M. Young
Employment Agreements
Broadridge Financial Solutions
IT Services
2014
Special Officer Separation Agreement between Dan Sheldon and Broadridge Financial Solutions, Inc.
Separation Agreements
Broadridge Financial Solutions
IT Services
NY
2014
Broadridge Financial Solutions, Inc. 2007 Omnibus Award Plan (Amended and Restated Effective November 14, 2013)
Bonus & Incentive Agreements
Broadridge Financial Solutions
IT Services
DE
2013
Second Amendment to Change in Control Enhancement Agreement between Broadridge Financial Solutions, Inc. and Richard J. Daly
Change of Control Agreements
Broadridge Financial Solutions
IT Services
2013
Second Amendment to Change in Control Enhancement Agreement between Broadridge Financial Solutions, Inc. and John Hogan
Change of Control Agreements
Broadridge Financial Solutions
IT Services
2013
Second Supplemental Indenture for 3.950% Senior Notes due 2020 between Broadridge Financial Solutions, Inc. and U.S. Bank National Association
Indenture Agreements
Broadridge Financial Solutions
IT Services
NY
2013
Underwriting Agreement for $400,000,000 3.950% Senior Notes due 2020 between Broadridge Financial Solutions, Inc. and Underwriters
Underwriting Agreements
Broadridge Financial Solutions
IT Services
NY
2013
Purchase and Sale Agreement among Broadridge Financial Solutions, Inc., Broadridge Securities Processing Solutions, Inc., and Apex Clearing Holdings LLC dated May 31, 2012
Purchase Agreements
Broadridge Financial Solutions
IT Services
NY
2012
Termination and Mutual Release Agreement between Broadridge Entities and Penson Entities (June 5, 2012)
Termination Agreements
Broadridge Financial Solutions
IT Services
NY
2012
Master Services Agreement between Broadridge Financial Solutions, Inc. and Apex Clearing Corporation (June 5, 2012)
Services Agreements
Broadridge Financial Solutions
IT Services
2012
Restructuring Support Agreement among Penson Worldwide Inc., Penson Financial Services, Inc., and Noteholders
Forbearance Agreements
Broadridge Financial Solutions
IT Services
NY
2012
Amendment No. 7 to Information Technology Services Agreement between IBM and Broadridge Financial Solutions, Inc.
Services Agreements
Broadridge Financial Solutions
IT Services
2012
Amendment to Broadridge Financial Solutions, Inc. 2007 Omnibus Award Plan (Effective August 2, 2011)
Bonus & Incentive Agreements
Broadridge Financial Solutions
IT Services
2011
Amendment Agreement to Master Services Agreement among Broadridge Financial Solutions, Penson Entities, and Affiliates (October 11, 2011)
Modification Agreements
Broadridge Financial Solutions
IT Services
2011
Amended and Restated Seller Note between Penson Worldwide, Inc. and Broadridge Financial Solutions, Inc. (Effective July 1, 2011)
Note Agreements
Broadridge Financial Solutions
IT Services
NY
2011
Credit Agreement among Broadridge Financial Solutions, Inc. and Lenders (JPMorgan Chase Bank, N.A. as Administrative Agent) dated September 22, 2011
Credit Agreements
Broadridge Financial Solutions
IT Services
DE
2011
Broadridge Financial Solutions, Inc. Officer Severance Plan
Severance Agreements
Broadridge Financial Solutions
IT Services
NY
2011
Broadridge Financial Solutions, Inc. Executive Deferred Compensation Program (Amended and Restated June 15, 2011)
Bonus & Incentive Agreements
Broadridge Financial Solutions
IT Services
NY
2011
Amendment No. 3 to Information Technology Services Agreement between IBM and Broadridge Financial Solutions, Inc.
Modification Agreements
Broadridge Financial Solutions
IT Services
2011
Amendment No. 5 to Information Technology Services Agreement between IBM and Broadridge Financial Solutions, Inc.
Services Agreements
Broadridge Financial Solutions
IT Services
2011
Stock Purchase Agreement among Sellers, Broadridge Investor Communication Solutions, Inc., and Broadridge Financial Solutions, Inc. (November 23, 2010)
Purchase Agreements
Broadridge Financial Solutions
IT Services
DE
2011
Escrow Agreement among Capital One, Broadridge Investor Communication Solutions, Sellers, and Bluff Point Associates (Jan. 7, 2011)
Escrow Agreements
Broadridge Financial Solutions
IT Services
NY
2011
Broadridge Financial Solutions, Inc. Director Deferred Compensation Program (Amended and Restated as of November 17, 2010)
Compensation Agreements
Broadridge Financial Solutions
IT Services
NY
2011
Stock Purchase Agreement among Sellers, Broadridge Investor Communication Solutions, Inc., and Broadridge Financial Solutions, Inc. (November 23, 2010)
Purchase Agreements
Broadridge Financial Solutions
IT Services
DE
2011
Escrow Agreement among Capital One, N.A., Broadridge Investor Communication Solutions, Inc., Sellers, and Bluff Point Associates Corp. (January 7, 2011)
Escrow Agreements
Broadridge Financial Solutions
IT Services
NY
2011
Broadridge Financial Solutions, Inc. 2007 Omnibus Award Plan (Amended and Restated)
Bonus & Incentive Agreements
Broadridge Financial Solutions
IT Services
DE
2010
Amendment No. 1 to Offer Letter between Broadridge Financial Solutions, Inc. and Timothy Gokey (September 13, 2010)
Employment Agreements
Broadridge Financial Solutions
IT Services
2010
Amendment Agreement to Asset Purchase and Master Services Agreements among SAI Holdings, Penson, Broadridge, and Ridge Entities (June 25, 2010)
Modification Agreements
Broadridge Financial Solutions
IT Services
2010
Amendment, Assignment and Assumption Agreement among SAI Holdings, Penson Financial Services, Broadridge Financial Solutions, Ridge Clearing & Outsourcing Solutions, and Penson...
Assignment Agreements
Broadridge Financial Solutions
IT Services
NY
2010
Amendment No. 1 to Information Technology Services Agreement between IBM and Broadridge Financial Solutions, Inc.
Services Agreements
Broadridge Financial Solutions
IT Services
2010
Offer Letter between Broadridge Financial Solutions, Inc. and Timothy Gokey (SVP and Chief Corporate Development Officer)
Employment Agreements
Broadridge Financial Solutions
IT Services
2010
Information Technology Services Agreement between International Business Machines Corporation and Broadridge Financial Solutions, Inc.
Services Agreements
Broadridge Financial Solutions
IT Services
NY
2010
Asset Purchase Agreement among Penson Worldwide, Inc., Penson Financial Services, Inc., Broadridge Financial Solutions, Inc., and Ridge Clearing & Outsourcing Solutions, Inc....
Purchase Agreements
Broadridge Financial Solutions
IT Services
NC
2010
Master Services Agreement between Broadridge Financial Solutions, Inc. and Penson Worldwide, Inc.
Services Agreements
Broadridge Financial Solutions
IT Services
NY
2010
Broadridge Financial Solutions, Inc. 2007 Omnibus Award Plan (Amended and Restated)
Bonus & Incentive Agreements
Broadridge Financial Solutions
IT Services
DE
2009
Revolving Credit Agreement among U.S. Bank, Ridge Clearing & Outsourcing Solutions, and Broadridge Financial Solutions (August 5, 2009)
Credit Agreements
Broadridge Financial Solutions
IT Services
DE
2009
Collateral Pledge Agreement between Ridge Clearing & Outsourcing Solutions, Inc. and U.S. Bank National Association (August 5, 2009)
Pledge Agreements
Broadridge Financial Solutions
IT Services
NY
2009
Broadridge Financial Solutions, Inc. 2007 Omnibus Award Plan (Amended and Restated Effective August 4, 2008)
Bonus & Incentive Agreements
Broadridge Financial Solutions
IT Services
DE
2008
Underwriting Agreement for $250,000,000 6.125% Senior Notes due 2017 by Broadridge Financial Solutions, Inc. and Underwriters
Underwriting Agreements
Broadridge Financial Solutions
IT Services
NY
2007
Indenture Agreement dated May 29, 2007 between Broadridge Financial Solutions, Inc. and U.S. Bank National Association
Indenture Agreements
Broadridge Financial Solutions
IT Services
NY
2007
First Supplemental Indenture for 6.125% Senior Notes due 2017 between Broadridge Financial Solutions, Inc. and U.S. Bank National Association
Indenture Agreements
Broadridge Financial Solutions
IT Services
NY
2007
Broadridge Financial Solutions, Inc. 6.125% Senior Note Due 2017 (Global Note)
Note Agreements
Broadridge Financial Solutions
IT Services
NY
2007
Tax Allocation Agreement between Automatic Data Processing, Inc. and Broadridge Financial Solutions, Inc. (March 29, 2007)
Broadridge Financial Solutions
IT Services
DE
2007
Transition Services Agreement between Automatic Data Processing, Inc. and Broadridge Financial Solutions, Inc. (March 29, 2007)
Services Agreements
Broadridge Financial Solutions
IT Services
DE
2007
Data Center Outsourcing Services Agreement between ADP, Inc. and Broadridge Financial Solutions, Inc. (March 29, 2007)
Services Agreements
Broadridge Financial Solutions
IT Services
DE
2007
Intellectual Property Transfer Agreement between Automatic Data Processing, Inc. and Broadridge Financial Solutions, Inc.
License Agreements
Broadridge Financial Solutions
IT Services
NJ
2007
Employee Matters Agreement between Automatic Data Processing, Inc. and Broadridge Financial Solutions, Inc. (March 29, 2007)
Separation Agreements
Broadridge Financial Solutions
IT Services
DE
2007
Broadridge Financial Solutions, Inc. Change in Control Severance Plan for Corporate Officers
Change of Control Agreements
Broadridge Financial Solutions
IT Services
2007
Broadridge Financial Solutions, Inc. Supplemental Officers Retirement Plan
Retirement Agreements
Broadridge Financial Solutions
IT Services
NY
2007
Change in Control Enhancement Agreement between Broadridge Financial Solutions, Inc. and Richard J. Daly
Change of Control Agreements
Broadridge Financial Solutions
IT Services
2007
Change in Control Enhancement Agreement between Broadridge Financial Solutions, Inc. and John Hogan
Change of Control Agreements
Broadridge Financial Solutions
IT Services
2007
Broadridge Financial Solutions, Inc. 2007 Executive Deferred Compensation Program
Bonus & Incentive Agreements
Broadridge Financial Solutions
IT Services
2007
Broadridge Financial Solutions, Inc. 2007 Omnibus Award Plan
Bonus & Incentive Agreements
Broadridge Financial Solutions
IT Services
DE
2007
Five-Year Credit Agreement among Broadridge Financial Solutions, Inc., Lenders, and Agents (March 29, 2007)
Credit Agreements
Broadridge Financial Solutions
IT Services
DE
2007
Interim Credit Agreement among Broadridge Financial Solutions, Inc., Lenders, JPMorgan Chase Bank, N.A., and Citibank, N.A. (March 29, 2007)
Credit Agreements
Broadridge Financial Solutions
IT Services
DE
2007
Separation and Distribution Agreement between Automatic Data Processing, Inc. and Broadridge Financial Solutions, LLC (March 20, 2007)
Plan of Reorganization Agreements
Broadridge Financial Solutions
IT Services
DE
2007