Broadridge (BR) director corrects trust vs direct ownership in 253-share sale

Rhea-AI Filing Summary

Broadridge Financial Solutions, Inc. director Robert N. Duelks filed an amended insider trading report correcting a prior filing for a sale of 253 shares of common stock on February 6, 2026 at $192.60 per share. The amendment clarifies that the shares were sold from the Robert N. Duelks 2007 Revocable Trust, reported as indirect ownership, rather than from his direct holdings. Following this sale, the trust holds 8,600 shares, and Duelks separately holds 20,815 shares directly.

Insider Trade Summary

Net Seller: 253 shares

Net Sell 2 txns

Insider Duelks Robert N

Role Director

Sold 253 shs ($49K)

Type	Security	Shares	Price	Value
Sale	Common Stock	253	$192.60	$49K
holding	Common Stock	--	--	--

Holdings After Transaction: Common Stock — 8,600 shares (Indirect, Robert N. Duelks 2007 Revocable Trust); Common Stock — 20,815 shares (Direct)

Key Figures

Shares sold: 253 shares Sale price per share: $192.60 per share Indirect holdings after transaction: 8,600 shares +1 more

4 metrics

Shares sold 253 shares Common stock sale on February 6, 2026

Sale price per share $192.60 per share Price for the 253-share common stock sale

Indirect holdings after transaction 8,600 shares Held by Robert N. Duelks 2007 Revocable Trust after sale

Direct holdings after transaction 20,815 shares Directly owned by Robert N. Duelks after reported transactions

Key Terms

indirect ownership, Revocable Trust, Sale in open market or private transaction

3 terms

indirect ownership financial

"reported as indirect ownership, rather than from his direct holdings"

Revocable Trust financial

"from the Robert N. Duelks 2007 Revocable Trust"

A revocable trust is a legal arrangement where the person who creates it keeps control and can change or cancel the trust at any time, while naming who will manage and receive the assets later. Think of it like a flexible folder for your investments and property that can be relabeled or reworked as circumstances change; it matters to investors because it determines how ownership is recorded, how easily assets transfer on incapacity or death, and whether holdings bypass public probate proceedings.

Sale in open market or private transaction financial

"transaction_code_description": "Sale in open market or private transaction"

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Form 4 Insider Transactions: What Each Field Means →

Available on EDGAR 08/10/2026 - 09:48 AM Accepted by SEC EDGAR 08/10/2026 - 09:47 AM Learn about SEC filing dates

FAQ

What insider transaction did Broadridge (BR) report in this amended Form 4?

The amended filing reports a sale of 253 shares of Broadridge common stock on February 6, 2026 at $192.60 per share. This transaction was executed by the Robert N. Duelks 2007 Revocable Trust, associated with director Robert N. Duelks.

Why did Broadridge (BR) director Robert N. Duelks amend his Form 4?

The amendment corrects the earlier report that showed the 253-share sale as coming from Duelks’ direct ownership. It clarifies the sale was actually from the Robert N. Duelks 2007 Revocable Trust, which is reported as indirect ownership.

How many Broadridge (BR) shares does the Duelks trust hold after the transaction?

After the February 6, 2026 transaction, the Robert N. Duelks 2007 Revocable Trust holds 8,600 shares of Broadridge common stock. These shares are reported as indirectly owned by director Robert N. Duelks in the amended Form 4/A.

What is Robert N. Duelks’ direct shareholding in Broadridge (BR) after this amendment?

The amended report lists Robert N. Duelks’ direct ownership at 20,815 shares of Broadridge common stock. The 253-share sale did not reduce this direct amount, as it was executed through his revocable trust instead.

Was the Broadridge (BR) insider sale made on the open market?

The transaction is coded as a sale in open market or private transaction, with 253 shares sold at $192.60 per share on February 6, 2026. The Form 4/A does not distinguish further between open market and private execution.

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^*

Duelks Robert N

(Last) (First) (Middle)

5 DAKOTA DRIVE

(Street)

LAKE SUCCESS NEW YORK 11042

(City) (State) (Zip)

UNITED STATES

(Country)

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)

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
02/06/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)
02/06/2026

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	02/06/2026		S		253	D	$192.6	8,600	I	Robert N. Duelks 2007 Revocable Trust
Common Stock								20,815	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:

Remarks:

This amendment corrects the Form 4 filed on 2/6/26 reporting the sale of 253 shares that was inadvertently reported as a sale from the Registrant's direct ownership instead of from the Robert N. Duelks 2007 Revocable Trust.

	Maria Allen, Power of Attorney	02/06/2026
	** 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.
* Form 4: SEC 1474 (03-26)