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[Form 4] Broadridge Financial Solutions Inc Insider Trading Activity

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(Low)
Filing Sentiment
(Neutral)
Form Type
4
Rhea-AI Filing Summary

Entegris, Inc. has filed an automatic shelf registration statement (Form S-3ASR) to keep effective the issuance of up to 67,209 shares of common stock underlying “Adjusted CMC Stock Optionsâ€� assumed in the July 2022 CMC Materials acquisition. The options carry exercise prices of $33.11&²Ô²ú²õ±è;â€�&²Ô²ú²õ±è;$93.85; if fully exercised, Entegris would receive roughly $4.94 million in cash, which the company expects to use for general corporate purposes. The filing replaces the July 2022 shelf (File No. 333-266041) and leverages previously paid SEC fees under Rule 415(a)(6). Because Entegris is a well-known seasoned issuer, the shelf becomes effective upon filing, requires no underwriter and involves only routine legal, accounting and printing costs (estimated total $103,115). With approximately 150 million shares outstanding, the maximum dilution from the registered shares would be about 0.05%, a level unlikely to affect valuation metrics. All other content consists of standard prospectus language, forward-looking statement boilerplate and risk factor cross-references already disclosed in prior 10-K/10-Q filings.

Entegris, Inc. ha presentato una dichiarazione automatica di registrazione a scaffale (Modulo S-3ASR) per mantenere valida l'emissione di fino a 67.209 azioni ordinarie sottostanti le “Opzioni Azionarie CMC Regolate� assunte nell'acquisizione di CMC Materials del luglio 2022. Le opzioni hanno prezzi di esercizio compresi tra 33,11 e 93,85 dollari; se esercitate completamente, Entegris riceverebbe circa 4,94 milioni di dollari in contanti, che la società prevede di utilizzare per scopi aziendali generali. La registrazione sostituisce quella di luglio 2022 (File No. 333-266041) e sfrutta le commissioni SEC già pagate ai sensi della Regola 415(a)(6). Poiché Entegris è un emittente noto e consolidato, la registrazione diventa efficace al momento della presentazione, non richiede un sottoscrittore e comporta solo costi legali, contabili e di stampa di routine (costo totale stimato di 103.115 dollari). Con circa 150 milioni di azioni in circolazione, la massima diluizione derivante dalle azioni registrate sarebbe circa lo 0,05%, un livello improbabile da influenzare le metriche di valutazione. Tutti gli altri contenuti consistono in linguaggio standard del prospetto, dichiarazioni previsionali e riferimenti ai fattori di rischio già divulgati nei precedenti documenti 10-K/10-Q.

Entegris, Inc. ha presentado una declaración automática de registro en estantería (Formulario S-3ASR) para mantener vigente la emisión de hasta 67,209 acciones comunes subyacentes a las “Opciones de Acciones Ajustadas de CMC� asumidas en la adquisición de CMC Materials en julio de 2022. Las opciones tienen precios de ejercicio de $33.11 a $93.85; si se ejercieran completamente, Entegris recibiría aproximadamente $4.94 millones en efectivo, que la compañía espera usar para fines corporativos generales. La presentación reemplaza el estante de julio de 2022 (Archivo No. 333-266041) y aprovecha las tarifas de la SEC previamente pagadas bajo la Regla 415(a)(6). Dado que Entegris es un emisor conocido y consolidado, el estante se vuelve efectivo al momento de la presentación, no requiere suscriptor y solo implica costos legales, contables e impresos rutinarios (costos totales estimados de $103,115). Con aproximadamente 150 millones de acciones en circulación, la máxima dilución por las acciones registradas sería aproximadamente 0.05%, un nivel poco probable que afecte las métricas de valoración. Todo el contenido restante consiste en lenguaje estándar del prospecto, declaraciones prospectivas y referencias cruzadas a factores de riesgo ya divulgados en presentaciones anteriores 10-K/10-Q.

Entegris, Inc.ëŠ� 2022ë…� 7ì›� CMC Materials ì¸ìˆ˜ ì‹� ì¸ìˆ˜í•� 'ì¡°ì •ë� CMC ì£¼ì‹ ì˜µì…˜'ì—� 해당하는 최대 67,209ì£�ì� 보통ì£� 발행ì� 유지하기 위해 ìžë™ ì„ ë°˜ ë“±ë¡ ëª…ì„¸ì„�(Form S-3ASR)ë¥� 제출했습니다. 옵션ì� í–‰ì‚¬ê°€ê²©ì€ $33.11~$93.85ì´ë©°, ì „ë¶€ 행사ë� 경우 EntegrisëŠ� ì•� $4.94백만ì� 현금ì� 받게 ë˜ë©°, 회사ëŠ� ì´ë¥¼ ì¼ë°˜ 기업 목ì ì—� 사용í•� 예정입니ë‹�. ì� ì œì¶œì€ 2022ë…� 7ì›� ì„ ë°˜ 등ë¡(File No. 333-266041)ì� 대체하ë©� Rule 415(a)(6)ì—� ë”°ë¼ ì´ì „ì—� ë‚©ë¶€í•� SEC 수수료를 활용합니ë‹�. EntegrisëŠ� ìž� 알려ì§� 숙련ë� 발행ì¸ì´ë¯€ë¡�, 등ë¡ì€ 제출 즉시 효력ì� ë°œìƒí•˜ë©° ì¸ìˆ˜ì¸ì´ í•„ìš” 없고, 법률, 회계 ë°� ì¸ì‡„ 비용 ë“� ì¼ìƒì ì¸ 비용ë§� ë°œìƒí•©ë‹ˆë‹�(ì´� ì˜ˆìƒ ë¹„ìš© $103,115). ì•� 1ì–� 5천만 주가 발행ë� ìƒíƒœì—서 등ë¡ë� 주ì‹ìœ¼ë¡œ ì¸í•œ 최대 í¬ì„ì€ ì•� 0.05%ë¡�, í‰ê°€ ì§€í‘œì— ì˜í–¥ì� 미칠 ê°€ëŠ¥ì„±ì€ ë‚®ìŠµë‹ˆë‹¤. 나머지 ë‚´ìš©ì€ í‘œì¤€ 투ìžì„¤ëª…ì„� 문구, 미래 예측 진술 ë°� ì´ì „ 10-K/10-Q 제출ì—서 ì´ë¯¸ 공개ë� 위험 ìš”ì¸ êµì°¨ 참조ë¡� 구성ë˜ì–´ 있습니다.

Entegris, Inc. a déposé une déclaration d'enregistrement automatique sur étagère (Formulaire S-3ASR) pour maintenir en vigueur l'émission pouvant aller jusqu'à 67 209 actions ordinaires sous-jacentes aux « Options d'actions CMC ajustées » assumées lors de l'acquisition de CMC Materials en juillet 2022. Les options ont des prix d'exercice allant de 33,11 $ à 93,85 $ ; si elles sont entièrement exercées, Entegris recevrait environ 4,94 millions de dollars en espèces, que la société prévoit d'utiliser à des fins générales d'entreprise. Le dépôt remplace l'étagère de juillet 2022 (Dossier n° 333-266041) et utilise les frais SEC déjà payés conformément à la règle 415(a)(6). Étant donné qu'Entegris est un émetteur bien connu et expérimenté, l'étagère devient effective dès le dépôt, ne nécessite pas de souscripteur et n'implique que des coûts juridiques, comptables et d'impression de routine (coût total estimé à 103 115 $). Avec environ 150 millions d'actions en circulation, la dilution maximale des actions enregistrées serait d'environ 0,05 %, un niveau peu susceptible d'affecter les indicateurs de valorisation. Le reste du contenu comprend un langage standard du prospectus, des déclarations prospectives et des renvois aux facteurs de risque déjà divulgués dans les dépôts 10-K/10-Q précédents.

Entegris, Inc. hat eine automatische Shelf-Registrierungserklärung (Formular S-3ASR) eingereicht, um die Ausgabe von bis zu 67.209 Aktien Stammaktien aufrechtzuerhalten, die den „Angepassten CMC-Aktienoptionen� zugrunde liegen, die bei der Übernahme von CMC Materials im Juli 2022 übernommen wurden. Die Optionen haben Ausübungspreise von 33,11 bis 93,85 US-Dollar; wenn sie vollständig ausgeübt werden, würde Entegris etwa 4,94 Millionen US-Dollar in bar erhalten, die das Unternehmen voraussichtlich für allgemeine Unternehmenszwecke verwenden wird. Die Einreichung ersetzt das Juli 2022 Shelf (Aktenzeichen 333-266041) und nutzt zuvor gezahlte SEC-Gebühren gemäß Regel 415(a)(6). Da Entegris ein bekannter, etablierter Emittent ist, wird das Shelf mit der Einreichung wirksam, erfordert keinen Underwriter und verursacht nur routinemäßige Rechts-, Buchhaltungs- und Druckkosten (geschätzte Gesamtkosten von 103.115 US-Dollar). Bei etwa 150 Millionen ausstehenden Aktien würde die maximale Verwässerung durch die registrierten Aktien etwa 0,05% betragen, ein Niveau, das wahrscheinlich keine Auswirkungen auf Bewertungskennzahlen hat. Alle anderen Inhalte bestehen aus standardmäßiger Prospektsprache, zukunftsgerichteten Aussagen und Querverweisen auf Risikofaktoren, die bereits in früheren 10-K/10-Q-Einreichungen offengelegt wurden.

Positive
  • Cash inflow potential: Full option exercise would add approximately $4.94 million of equity capital without underwriting costs.
  • Regulatory housekeeping: Updating the shelf maintains compliance and demonstrates effective corporate governance for a well-known seasoned issuer.
Negative
  • Minor dilution: Issuance of 67,209 shares represents about 0.05% of outstanding stock, incrementally diluting existing shareholders.
  • Administrative expenses: Estimated filing-related costs of roughly $103,000, though immaterial, slightly reduce net proceeds.

Insights

TL;DR â€� Routine shelf keeps 67k option shares registered; immaterial dilution and ~$5 m cash potential—neutral for valuation.

This Form S-3ASR simply refreshes an existing shelf tied to CMC options that were assumed in the 2022 merger. The aggregate proceeds, if every option is exercised, represent less than 0.1% of FY-2024 sales and negligible EPS impact. Dilution of ~0.05% is de-minimis relative to Entegrisâ€� ~150 million share count. Because the underlying options are already outstanding and fully vested, investors have long been aware of this overhang, and the filing does not increase share-based compensation expense. The automatic shelf status underscores Entegrisâ€� WKSI standing, which supports future capital-market flexibility but, in this instance, involves no new financing initiative. Overall valuation drivers—semiconductor end-market demand, balance-sheet deleveraging post-CMC and margin trends—remain unchanged.

TL;DR � Administrative update ensures legal compliance with option issuances; no governance red flags detected.

The company is maintaining proper SEC compliance by rolling the unsold securities from the 2022 shelf into the present filing, avoiding additional fees under Rule 415(a)(6). The prospectus incorporates current risk disclosures, provides detailed indemnification language and preserves shareholder protections such as Section 203 anti-takeover provisions. From a governance standpoint, the action is housekeeping: it neither alters board composition nor introduces shareholder-unfriendly terms. The modest proceeds will be booked as equity upon exercise, enhancing transparency in capital-structure reporting. Impact on voting power is negligible, and option holders were previously disclosed; thus, there is no surprise element for existing investors.

Entegris, Inc. ha presentato una dichiarazione automatica di registrazione a scaffale (Modulo S-3ASR) per mantenere valida l'emissione di fino a 67.209 azioni ordinarie sottostanti le “Opzioni Azionarie CMC Regolate� assunte nell'acquisizione di CMC Materials del luglio 2022. Le opzioni hanno prezzi di esercizio compresi tra 33,11 e 93,85 dollari; se esercitate completamente, Entegris riceverebbe circa 4,94 milioni di dollari in contanti, che la società prevede di utilizzare per scopi aziendali generali. La registrazione sostituisce quella di luglio 2022 (File No. 333-266041) e sfrutta le commissioni SEC già pagate ai sensi della Regola 415(a)(6). Poiché Entegris è un emittente noto e consolidato, la registrazione diventa efficace al momento della presentazione, non richiede un sottoscrittore e comporta solo costi legali, contabili e di stampa di routine (costo totale stimato di 103.115 dollari). Con circa 150 milioni di azioni in circolazione, la massima diluizione derivante dalle azioni registrate sarebbe circa lo 0,05%, un livello improbabile da influenzare le metriche di valutazione. Tutti gli altri contenuti consistono in linguaggio standard del prospetto, dichiarazioni previsionali e riferimenti ai fattori di rischio già divulgati nei precedenti documenti 10-K/10-Q.

Entegris, Inc. ha presentado una declaración automática de registro en estantería (Formulario S-3ASR) para mantener vigente la emisión de hasta 67,209 acciones comunes subyacentes a las “Opciones de Acciones Ajustadas de CMC� asumidas en la adquisición de CMC Materials en julio de 2022. Las opciones tienen precios de ejercicio de $33.11 a $93.85; si se ejercieran completamente, Entegris recibiría aproximadamente $4.94 millones en efectivo, que la compañía espera usar para fines corporativos generales. La presentación reemplaza el estante de julio de 2022 (Archivo No. 333-266041) y aprovecha las tarifas de la SEC previamente pagadas bajo la Regla 415(a)(6). Dado que Entegris es un emisor conocido y consolidado, el estante se vuelve efectivo al momento de la presentación, no requiere suscriptor y solo implica costos legales, contables e impresos rutinarios (costos totales estimados de $103,115). Con aproximadamente 150 millones de acciones en circulación, la máxima dilución por las acciones registradas sería aproximadamente 0.05%, un nivel poco probable que afecte las métricas de valoración. Todo el contenido restante consiste en lenguaje estándar del prospecto, declaraciones prospectivas y referencias cruzadas a factores de riesgo ya divulgados en presentaciones anteriores 10-K/10-Q.

Entegris, Inc.ëŠ� 2022ë…� 7ì›� CMC Materials ì¸ìˆ˜ ì‹� ì¸ìˆ˜í•� 'ì¡°ì •ë� CMC ì£¼ì‹ ì˜µì…˜'ì—� 해당하는 최대 67,209ì£�ì� 보통ì£� 발행ì� 유지하기 위해 ìžë™ ì„ ë°˜ ë“±ë¡ ëª…ì„¸ì„�(Form S-3ASR)ë¥� 제출했습니다. 옵션ì� í–‰ì‚¬ê°€ê²©ì€ $33.11~$93.85ì´ë©°, ì „ë¶€ 행사ë� 경우 EntegrisëŠ� ì•� $4.94백만ì� 현금ì� 받게 ë˜ë©°, 회사ëŠ� ì´ë¥¼ ì¼ë°˜ 기업 목ì ì—� 사용í•� 예정입니ë‹�. ì� ì œì¶œì€ 2022ë…� 7ì›� ì„ ë°˜ 등ë¡(File No. 333-266041)ì� 대체하ë©� Rule 415(a)(6)ì—� ë”°ë¼ ì´ì „ì—� ë‚©ë¶€í•� SEC 수수료를 활용합니ë‹�. EntegrisëŠ� ìž� 알려ì§� 숙련ë� 발행ì¸ì´ë¯€ë¡�, 등ë¡ì€ 제출 즉시 효력ì� ë°œìƒí•˜ë©° ì¸ìˆ˜ì¸ì´ í•„ìš” 없고, 법률, 회계 ë°� ì¸ì‡„ 비용 ë“� ì¼ìƒì ì¸ 비용ë§� ë°œìƒí•©ë‹ˆë‹�(ì´� ì˜ˆìƒ ë¹„ìš© $103,115). ì•� 1ì–� 5천만 주가 발행ë� ìƒíƒœì—서 등ë¡ë� 주ì‹ìœ¼ë¡œ ì¸í•œ 최대 í¬ì„ì€ ì•� 0.05%ë¡�, í‰ê°€ ì§€í‘œì— ì˜í–¥ì� 미칠 ê°€ëŠ¥ì„±ì€ ë‚®ìŠµë‹ˆë‹¤. 나머지 ë‚´ìš©ì€ í‘œì¤€ 투ìžì„¤ëª…ì„� 문구, 미래 예측 진술 ë°� ì´ì „ 10-K/10-Q 제출ì—서 ì´ë¯¸ 공개ë� 위험 ìš”ì¸ êµì°¨ 참조ë¡� 구성ë˜ì–´ 있습니다.

Entegris, Inc. a déposé une déclaration d'enregistrement automatique sur étagère (Formulaire S-3ASR) pour maintenir en vigueur l'émission pouvant aller jusqu'à 67 209 actions ordinaires sous-jacentes aux « Options d'actions CMC ajustées » assumées lors de l'acquisition de CMC Materials en juillet 2022. Les options ont des prix d'exercice allant de 33,11 $ à 93,85 $ ; si elles sont entièrement exercées, Entegris recevrait environ 4,94 millions de dollars en espèces, que la société prévoit d'utiliser à des fins générales d'entreprise. Le dépôt remplace l'étagère de juillet 2022 (Dossier n° 333-266041) et utilise les frais SEC déjà payés conformément à la règle 415(a)(6). Étant donné qu'Entegris est un émetteur bien connu et expérimenté, l'étagère devient effective dès le dépôt, ne nécessite pas de souscripteur et n'implique que des coûts juridiques, comptables et d'impression de routine (coût total estimé à 103 115 $). Avec environ 150 millions d'actions en circulation, la dilution maximale des actions enregistrées serait d'environ 0,05 %, un niveau peu susceptible d'affecter les indicateurs de valorisation. Le reste du contenu comprend un langage standard du prospectus, des déclarations prospectives et des renvois aux facteurs de risque déjà divulgués dans les dépôts 10-K/10-Q précédents.

Entegris, Inc. hat eine automatische Shelf-Registrierungserklärung (Formular S-3ASR) eingereicht, um die Ausgabe von bis zu 67.209 Aktien Stammaktien aufrechtzuerhalten, die den „Angepassten CMC-Aktienoptionen� zugrunde liegen, die bei der Übernahme von CMC Materials im Juli 2022 übernommen wurden. Die Optionen haben Ausübungspreise von 33,11 bis 93,85 US-Dollar; wenn sie vollständig ausgeübt werden, würde Entegris etwa 4,94 Millionen US-Dollar in bar erhalten, die das Unternehmen voraussichtlich für allgemeine Unternehmenszwecke verwenden wird. Die Einreichung ersetzt das Juli 2022 Shelf (Aktenzeichen 333-266041) und nutzt zuvor gezahlte SEC-Gebühren gemäß Regel 415(a)(6). Da Entegris ein bekannter, etablierter Emittent ist, wird das Shelf mit der Einreichung wirksam, erfordert keinen Underwriter und verursacht nur routinemäßige Rechts-, Buchhaltungs- und Druckkosten (geschätzte Gesamtkosten von 103.115 US-Dollar). Bei etwa 150 Millionen ausstehenden Aktien würde die maximale Verwässerung durch die registrierten Aktien etwa 0,05% betragen, ein Niveau, das wahrscheinlich keine Auswirkungen auf Bewertungskennzahlen hat. Alle anderen Inhalte bestehen aus standardmäßiger Prospektsprache, zukunftsgerichteten Aussagen und Querverweisen auf Risikofaktoren, die bereits in früheren 10-K/10-Q-Einreichungen offengelegt wurden.

SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
Carter Pamela L

(Last) (First) (Middle)
5 DAKOTA DRIVE

(Street)
LAKE SUCCESS NY 11042

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
BROADRIDGE FINANCIAL SOLUTIONS, INC. [ BR ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
07/02/2025
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 07/02/2025 A 19(1) A $0.0000 7,261 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Explanation of Responses:
1. The reported transaction reflects the award of additional Deferred Stock Units under Broadridge's 2018 Omnibus Award Plan in connection with the payment of Broadridge's regular quarterly dividend on the common stock underlying the Deferred Stock Units previously issued. This amount represents a like number of shares of Broadridge common stock. The Deferred Stock Units vest in full upon grant and will settle in shares of Broadridge common stock upon the director's separation from service with Broadridge.
Maria Allen, Power of Attorney 07/03/2025
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.

FAQ

Why did Entegris (ENTG) file a new Form S-3 on July 3 2025?

To keep effective the registration of up to 67,209 shares issuable under CMC stock options that remain outstanding.

How many shares could be issued under the Adjusted CMC Stock Options?

A maximum of 67,209 shares of Entegris common stock.

What is the potential cash proceeds to Entegris if all options are exercised?

Approximately $4.94 million, based on exercise prices of $33.11 to $93.85 per share.

Will the filing materially dilute existing ENTG shareholders?

No. The maximum dilution is roughly 0.05% of current shares outstanding.

Does the Form S-3 introduce new securities or underwriters?

No. It simply renews a 2022 shelf; the company is offering shares directly to existing option holders without an underwriter.
Broadridge Finl Solutions Inc

NYSE:BR

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28.09B
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Information Technology Services
Services-business Services, Nec
United States
LAKE SUCCESS