Form 144: BR insider exercised options and plans sale of 7,036 shares

Rhea-AI Filing Summary

Broadridge Financial Solutions (BR) filed a Form 144 reporting an intended sale of 7,036 common shares through Morgan Stanley Smith Barney LLC on the NYSE with an aggregate market value of $1,848,493.70. The filing lists total shares outstanding as 117,129,320 and gives an approximate sale date of 08/12/2025.

The shares were acquired on 08/12/2025 by exercising options under a registered plan from the issuer and the payment method is listed as cash. The notice states there were no securities sold by the person in the past three months and includes the standard representation that the seller is not aware of any undisclosed material adverse information about the issuer.

Insights

Securities Analyst

TL;DR: Small insider sale via option exercise; appears routine and likely immaterial to market valuation.

The Form 144 reports an intended sale of 7,036 common shares valued at $1,848,493.70 executed through Morgan Stanley Smith Barney LLC on the NYSE, with an approximate sale date of 08/12/2025. The shares were acquired the same day by exercising options under a registered plan and paid in cash. The filing also confirms no sales by the person in the prior three months. Given the issuer's stated outstanding shares of 117,129,320, this transaction is modest in absolute terms and lacks indicators of distress or unusual timing.

Corporate Governance Expert

TL;DR: Documentation and disclosures are standard; transaction follows registered-plan exercise and brokered sale procedures.

The notice documents a routine option exercise and planned brokered sale, names the executing broker and exchange, and includes the customary seller representation about material information. Absence of recent prior sales and the recorded cash payment at acquisition date point to compliance with Rule 144 reporting mechanics. This filing raises no immediate governance or disclosure red flags based on the available data.

Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK
Filer CCC
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer

SEC File Number

Address of Issuer

Phone

Name of Person for Whose Account the Securities are To Be Sold

See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.

Relationship to Issuer

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Common	Morgan Stanley Smith Barney LLC Executive Financial Services 1 New York Plaza 8th Floor New York NY 10004	7036	1848493.70	117129320	08/12/2025	NYSE

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Common	08/12/2025	Exercise of options under a registered plan	Issuer			7036	08/12/2025	Cash

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Nothing to Report

144: Remarks and Signature

Remarks

Date of Notice

ATTENTION:

The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.

Signature

ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)

FAQ

What does the Form 144 for Broadridge (BR) report?

The Form 144 reports an intended sale of 7,036 common shares through Morgan Stanley Smith Barney LLC on the NYSE, valued at $1,848,493.70.

When is the proposed sale date listed in the filing (BR)?

The filing lists the approximate sale date as 08/12/2025.

How were the shares acquired according to the Form 144?

The shares were acquired on 08/12/2025 by exercise of options under a registered plan from the issuer, with payment in cash.

Does the filer report any securities sold in the past three months (BR)?

The filing states Nothing to Report for securities sold during the past three months by the person for whose account the securities are to be sold.

How many shares outstanding does the filing list for the issuer?

The filing lists 117,129,320 shares outstanding for the issuer.