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Broadridge Financial Solutions company logo
Corporation
FINANCE | Asset/Financial Management
broadridge.com

Investments

11

Portfolio Exits

1

Partners & Customers

10

About Broadridge Financial Solutions

Broadridge Financial Solutions (NYSE: BR) is a provider of investor communications and technology-driven solutions for broker-dealers, banks, mutual funds, and corporate issuers globally. Broadridge's investor communications, securities processing, and managed services solutions help clients reduce their capital investments in operations infrastructure, allowing them to increase their focus on core business activities.

Headquarters Location

5 Dakota Drive Suite 300

New Hyde Park, New York, 11042,

United States

+1 800 353 0103

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CB Insights Intelligence Analysts have mentioned Broadridge Financial Solutions in 2 CB Insights research briefs, most recently on Apr 3, 2023.

Latest Broadridge Financial Solutions News

Diana Shipping Inc. Announces Results of 2023 Annual Meeting of Shareholders

May 25, 2023

Athens, GREECE ATHENS, Greece, May 25, 2023 (GLOBE NEWSWIRE) -- Diana Shipping Inc. (NYSE:DSX), (the "Company"), a global shipping company specializing in the ownership and bareboat charter-in of dry bulk vessels, today announced that the Company's Annual Meeting of Shareholders (the "Meeting") was duly held on May 23, 2023, in a virtual format only via the Internet. Broadridge Financial Solutions, Inc. acted as inspector of the Meeting. At the Meeting, each of the following proposals, which are set forth in more detail in the Notice of Annual Meeting of Shareholders and the Company's Proxy Statement sent to shareholders on or around April 12, 2023, was approved and adopted: (1) The election of three Class III Directors of the Company, to serve until the Company's 2026 Annual Meeting of Shareholders; (2) The approval of the following amendments to the Company’s Amended and Restated Articles of Incorporation: (a) increase the authorized share capital of the Company from 200 million shares to 1 billion registered shares of a par value of one cent and to authorize the issuance of 50 million registered preferred shares with a par value of one cent; (b) to provide for the election of directors to be by a plurality, rather than a majority, of the votes cast at a meeting of shareholders, by the holders of shares entitled to vote in the election; (c) provide the Board with the sole authority to amend the Company’s Amended and Restated By-laws and to eliminate the right of shareholders to make such amendments; (d) provide the Board with the sole authority to call special meetings of shareholders of the Company and to eliminate the right of holders of not less than 20% of all outstanding shares of common stock of the Company to call such meetings; and (3) The appointment of Ernst & Young (Hellas) Certified Auditors Accountants S.A. as the Company's independent auditors for the fiscal year ending December 31, 2023. About the Company Diana Shipping Inc. is a global provider of shipping transportation services through its ownership and bareboat charter-in of dry bulk vessels. The Company’s vessels are employed primarily on short to medium-term time charters and transport a range of dry bulk cargoes, including such commodities as iron ore, coal, grain and other materials along worldwide shipping routes. Cautionary Statement Regarding Forward-Looking Statements Matters discussed in this press release may constitute forward-looking statements. The Private Securities Litigation Reform Act of 1995 provides safe harbor protections for forward-looking statements in order to encourage companies to provide prospective information about their business. Forward-looking statements include statements concerning plans, objectives, goals, strategies, future events or performance, and underlying assumptions and other statements, which are other than statements of historical facts. The Company desires to take advantage of the safe harbor provisions of the Private Securities Litigation Reform Act of 1995 and is including this cautionary statement in connection with this safe harbor legislation. The words “believe,” “anticipate,” “intends,” “estimate,” “forecast,” “project,” “plan,” “potential,” “may,” “should,” “expect,” “pending” and similar expressions identify forward-looking statements. The forward-looking statements in this press release are based upon various assumptions, many of which are based, in turn, upon further assumptions, including without limitation, Company management’s examination of historical operating trends, data contained in the Company’s records and other data available from third parties. Although the Company believes that these assumptions were reasonable when made, because these assumptions are inherently subject to significant uncertainties and contingencies that are difficult or impossible to predict and are beyond the Company’s control, the Company cannot assure you that it will achieve or accomplish these expectations, beliefs or projections. In addition to these important factors, other important factors that, in the Company’s view, could cause actual results to differ materially from those discussed in the forward-looking statements include the continuing impacts of the COVID-19 pandemic; the strength of world economies and currencies, general market conditions, including fluctuations in charter rates and vessel values, changes in demand for dry bulk shipping capacity, changes in the Company’s operating expenses, including bunker prices, drydocking and insurance costs, the market for the Company’s vessels, availability of financing and refinancing, changes in governmental rules and regulations or actions taken by regulatory authorities, potential liability from pending or future litigation, general domestic and international political conditions, including risks associated with the continuing conflict between Russia and Ukraine and related sanctions, potential disruption of shipping routes due to accidents or political events, vessel breakdowns and instances of off-hires and other factors. Please see the Company’s filings with the U.S. Securities and Exchange Commission for a more complete discussion of these and other risks and uncertainties. The Company undertakes no obligation to revise or update any forward-looking statement, or to make any other forward-looking statements, whether as a result of new information, future events or otherwise. Contact Data Corporate Contact:Ioannis ZafirakisDirector, Chief Financial Officer,Chief Strategy Officer, Treasurer and SecretaryTelephone: + 30-210-9470-100Email:Website: www.dianashippinginc.comTwitter: @DianashipInvestor and Media Relations:Edward NebbComm-Counsellors, LLCTelephone: + 1-203-972-8350Email:

Broadridge Financial Solutions Investments

11 Investments

Broadridge Financial Solutions has made 11 investments. Their latest investment was in FLX Networks as part of their Seed VC on November 11, 2022.

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Broadridge Financial Solutions Investments Activity

investments chart

Date

Round

Company

Amount

New?

Co-Investors

Sources

11/3/2022

Seed VC

FLX Networks

$10M

Yes

8

6/1/2022

Series C - II

LiquidX

$26.27M

No

3

5/12/2022

Series D

Tifin

$109M

No

3

10/28/2021

Series C

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$99M

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10

4/19/2021

Series B

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$99M

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10

Date

11/3/2022

6/1/2022

5/12/2022

10/28/2021

4/19/2021

Round

Seed VC

Series C - II

Series D

Series C

Series B

Company

FLX Networks

LiquidX

Tifin

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Amount

$10M

$26.27M

$109M

$99M

$99M

New?

Yes

No

No

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Co-Investors

Sources

8

3

3

10

10

Broadridge Financial Solutions Portfolio Exits

1 Portfolio Exit

Broadridge Financial Solutions has 1 portfolio exit. Their latest portfolio exit was TwoFour Consulting on October 02, 2017.

Date

Exit

Companies

Valuation
Valuations are submitted by companies, mined from state filings or news, provided by VentureSource, or based on a comparables valuation model.

Acquirer

Sources

10/2/2017

Acquired - II

$99M

1

Date

10/2/2017

Exit

Acquired - II

Companies

Valuation

$99M

Acquirer

Sources

1

Broadridge Financial Solutions Acquisitions

37 Acquisitions

Broadridge Financial Solutions acquired 37 companies. Their latest acquisition was Alpha Omega Financial Systems on August 02, 2021.

Date

Investment Stage

Companies

Valuation
Valuations are submitted by companies, mined from state filings or news, provided by VentureSource, or based on a comparables valuation model.

Total Funding

Note

Sources

8/2/2021

Other

$99M

$2.5M

Acquired

2

7/2/2021

$99M

Acquired Unit

3

6/9/2021

$99M

Acquired

8

3/29/2021

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$99M

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10

1/21/2020

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$99M

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10

Date

8/2/2021

7/2/2021

6/9/2021

3/29/2021

1/21/2020

Investment Stage

Other

Companies

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Valuation

$99M

$99M

$99M

$99M

$99M

Total Funding

$2.5M

Note

Acquired

Acquired Unit

Acquired

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Sources

2

3

8

10

10

Broadridge Financial Solutions Partners & Customers

10 Partners and customers

Broadridge Financial Solutions has 10 strategic partners and customers. Broadridge Financial Solutions recently partnered with Aiviq on May 5, 2023.

Date

Type

Business Partner

Country

News Snippet

Sources

5/4/2023

Partner

United Kingdom

Snappy Kraken Unveils Digital Marketing Solution: Tech Roundup

Broadridge Financial Solutions partnered with Aiviq , a provider of client-level assets under management and asset flow reporting for global asset managers , to enhance the quality and transparency of internal sales reporting data and external market intelligence , the firms said Wednesday .

1

4/21/2023

Client

Switzerland

2

3/14/2023

Licensor

United States

Broadridge and CQC partner to integrate EMS and OMS

Broadridge and CQC partner to integrate EMS and OMS

1

2/2/2023

Vendor

United States

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10

1/18/2023

Client

Canada

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10

Date

5/4/2023

4/21/2023

3/14/2023

2/2/2023

1/18/2023

Type

Partner

Client

Licensor

Vendor

Client

Business Partner

Country

United Kingdom

Switzerland

United States

United States

Canada

News Snippet

Snappy Kraken Unveils Digital Marketing Solution: Tech Roundup

Broadridge Financial Solutions partnered with Aiviq , a provider of client-level assets under management and asset flow reporting for global asset managers , to enhance the quality and transparency of internal sales reporting data and external market intelligence , the firms said Wednesday .

Broadridge and CQC partner to integrate EMS and OMS

Broadridge and CQC partner to integrate EMS and OMS

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Sources

1

2

1

10

10

Broadridge Financial Solutions Team

18 Team Members

Broadridge Financial Solutions has 18 team members, including current Senior Vice President, Betsy L Stephens.

Name

Work History

Title

Status

Betsy L Stephens

H&R Block, and Sprint

Senior Vice President

Current

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Name

Betsy L Stephens

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Work History

H&R Block, and Sprint

Title

Senior Vice President

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Status

Current

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