[144] Broadridge Financial Solutions Inc SEC Filing

Rhea-AI Filing Summary

Broadridge Financial Solutions (BR) filed a Form 144 notifying the proposed sale of 39,251 shares of common stock through Morgan Stanley Smith Barney with an aggregate market value of $10,303,387.50. The filing shows those shares were acquired the same day by exercise of stock options and paid in cash. The company reports 117,129,320 shares outstanding, making the proposed sale roughly 0.034% of outstanding shares. The filer states there were no sales in the past three months and makes the standard representation that they are not aware of undisclosed material adverse information.

Insights

Financial Analyst

TL;DR: Small, non-material insider sale following option exercise; unlikely to affect valuation.

The Form 144 reports a proposed sale of 39,251 common shares with an aggregate market value of $10,303,387.50, representing approximately 0.034% of the 117,129,320 shares outstanding. Because the shares were acquired by exercise of stock options and the filer reports no other sales in the past three months, this transaction appears to be a routine liquidity event rather than a signal of company-wide issues. The sale is to be executed through Morgan Stanley Smith Barney, suggesting use of an institutional broker. Impact on market supply and per-share valuation is negligible given the small relative size.

Corporate Governance Expert

TL;DR: Compliance filing documents an insider sale and standard representations; governance implications are minimal.

The notice discloses that the securities were acquired by exercise of stock options and will be sold via a broker, which is consistent with common insider monetization practices. The filer affirms there is no known material nonpublic information and indicates no securities sold in the prior three months. From a governance perspective, the form demonstrates routine compliance with Rule 144 disclosure requirements and does not, on its face, raise concerns about disclosure controls or insider trading patterns. The item is procedurally important but not materially impactful.

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	39251	10303387.50	117129320	08/13/2025	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	08/13/2025	Exercise of Stock Options	Issuer			39251	08/13/2025	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

Date of Plan Adoption or Giving of Instruction, If Relying on Rule 10b5-1

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 Broadridge's Form 144 (BR) report?

The filing reports a proposed sale of 39,251 common shares with an aggregate market value of $10,303,387.50 to be sold through Morgan Stanley Smith Barney.

How were the shares acquired according to the Form 144?

The shares were acquired on 08/13/2025 by exercise of stock options and payment was made in cash.

What portion of Broadridge's outstanding shares does the sale represent?

The filing lists 117,129,320 shares outstanding; the 39,251 shares equal approximately 0.034% of outstanding shares.

Were there any securities sold by the filer in the past three months?

The Form 144 states Nothing to Report for securities sold during the past three months.

Through which broker will the proposed sale be executed?

The proposed sale is to be executed through Morgan Stanley Smith Barney LLC Executive Financial Services, 1 New York Plaza.