Timothy Gokey 10b5-1 Sale: 5,675 Broadridge Shares Disposed

Rhea-AI Filing Summary

Broadridge Financial Solutions (BR) Form 4 summary: Chief Executive Officer Timothy C. Gokey reported an open-market sale of 5,675 shares of Broadridge common stock on 08/18/2025. The transaction was made pursuant to a 10b5-1 trading plan adopted May 14, 2025. The Form 4 shows a weighted-average price of $260.8683 for the shares, with individual sale prices in the range $260.02 to $261.76. After the reported sale, the filing lists 148,959.0271 shares beneficially owned by the reporting person in a direct form. The filer states they will provide, on request, details on the number of shares sold at each price within the stated range.

Positive

• Transaction executed under a 10b5-1 plan, providing an affirmative defense and pre-planned timing
• Filer discloses weighted-average price and price range ($260.8683; $260.02–$261.76) and offers to provide per-price sale details on request
• Reporting person retains substantial direct ownership after the sale (148,959.0271 shares)

Negative

• None.

Insights

Corporate Governance Expert

TL;DR: Insider sale executed under a pre-established 10b5-1 plan reduces ambiguity about intent but merits governance monitoring.

The filing documents a routine open-market disposition by the CEO under a 10b5-1 plan adopted May 14, 2025, which provides an affirmative defense to insider trading claims. That procedural protection reduces immediate governance concerns about opportunistic timing. The disclosure that the sale occurred across multiple prices within a stated range and the offer to supply detailed per-price quantities on request aligns with transparent reporting practices. Investors and governance committees may still note that the CEO retains a substantial reported direct holding of 148,959.0271 shares after the sale, preserving continued alignment with shareholders.

Securities Analyst

TL;DR: Transaction is a specified-volume open-market sale under a trading plan, producing no new operational or financial data.

The Form 4 reports a sale of 5,675 shares at a weighted-average price of $260.8683 on 08/18/2025 under a 10b5-1 plan. Such filings disclose insider activity but do not convey company performance information or change financial statements. The explicit price range ($260.02–$261.76) and the reporting person's willingness to provide price-by-price details support completeness of the disclosure. From a market-data perspective, this is a routine insider liquidity event rather than a material corporate development.

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).

X

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^*

Gokey Timothy C

(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)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	CEO

3. Date of Earliest Transaction (Month/Day/Year)
08/18/2025

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	08/18/2025		S(1)		5,675	D	$260.8683(2)	148,959.0271	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 is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person May 14, 2025.

2. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $260.02 - $261.76, inclusive. The reporting person undertakes to provide to Broadridge Financial Solutions, Inc., any shareholder of Broadridge Financial Solutions, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (2) to this Form 4.

	Maria Allen, Power of Attorney	08/18/2025
	** 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

What did Broadridge CEO Timothy Gokey report on Form 4 (BR)?

The Form 4 reports an open-market sale of 5,675 shares by CEO Timothy C. Gokey on 08/18/2025.

Was the Broadridge (BR) sale part of a 10b5-1 plan?

Yes. The filing states the transaction was made pursuant to a 10b5-1 plan adopted May 14, 2025.

At what price were Broadridge (BR) shares sold in the filing?

The Form 4 reports a weighted-average price of $260.8683 with sale prices ranging from $260.02 to $261.76.

How many Broadridge (BR) shares does the reporting person own after the sale?

The filing shows 148,959.0271 shares beneficially owned following the reported transaction.

Will additional details about the sale prices be provided?

Yes. The reporting person undertakes to provide, upon request, the number of shares sold at each separate price within the stated range.