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BR Form 4: CEO Gokey Exercises 146,392 Options, Sells 134,822 Shares

Filing Impact
(Very High)
Filing Sentiment
(Very Negative)
Form Type
4

Rhea-AI Filing Summary

Broadridge Financial Solutions (BR) insider transactions summary: The company's CEO, Timothy C. Gokey, executed stock option exercises and sold common shares under a pre-established 10b5-1 plan. On 08/13/2025 he exercised options to acquire 46,561 shares at an exercise price of $93.88 and sold 39,251 shares at a weighted average price of $262.4552. On 08/14/2025 he exercised options to acquire 99,831 shares at $98.31 and sold 84,571 shares at a weighted average price of $259.5296. On 08/15/2025 he sold an additional 11,000 shares at a weighted average price of $259.2871. After these reported transactions the filing shows 154,634.0271 shares beneficially owned.

Positive

  • None.

Negative

  • None.

Insights

TL;DR: Insider engaged in planned option exercises and systematic share sales under a 10b5-1 plan; activity appears routine and prearranged.

This Form 4 discloses the CEO's exercise of two stock option tranches (46,561 and 99,831 options) and multiple open-market sales executed pursuant to a 10b5-1 plan adopted May 14, 2025. The sales were executed at weighted average prices in the $258.72–$263.99 ranges as disclosed. The transactions are explicitly identified as planned (10b5-1), which limits informational surprise to the market. The filing reports the reporting person retains 154,634.0271 shares following the activity.

TL;DR: Use of a 10b5-1 plan indicates compliance with insider trading controls; disclosures are detailed and include price ranges.

The filing clearly states the transactions were executed pursuant to a 10b5-1 plan adopted May 14, 2025, and provides weighted average prices plus ranges for the multiple sales. Footnotes commit the reporting person to provide detailed per-trade pricing on request, which enhances transparency. The pattern—option exercises followed by sales—matches common post-exercise liquidity actions by executives and was reported with required specificity.

Insider Gokey Timothy C
Role CEO
Sold 134,822 shs ($35.10M)
Type Security Shares Price Value
Sale Common Stock 11,000 $259.2871 $2.85M
Exercise Stock Option (Right to Buy) 99,831 $0.00 --
Exercise Common Stock 99,831 $98.31 $9.81M
Sale Common Stock 84,571 $259.5296 $21.95M
Exercise Stock Option (Right to Buy) 46,561 $93.88 $4.37M
Exercise Common Stock 46,561 $93.88 $4.37M
Sale Common Stock 39,251 $262.4552 $10.30M
Holdings After Transaction: Common Stock — 154,634.027 shares (Direct); Stock Option (Right to Buy) — 0 shares (Direct)
Footnotes (1)
  1. The reported transaction is a stock option exercise pursuant to a 10b5-1 plan adopted by the reporting person on May 14, 2025. The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person May 14, 2025. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $261.4100 - $263.9900, 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 (3) to this Form 4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $258.72 - $260.73, 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 (4) to this Form 4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $257.12 - $260.53, 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 (5) to this Form 4.
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Form 4 Insider Transactions: What Each Field Means →
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)
08/13/2025
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 08/13/2025 M(1) 46,561 A $93.88 189,625.0271 D
Common Stock 08/13/2025 S(2) 39,251 D $262.4552(3) 150,374.0271 D
Common Stock 08/14/2025 M(1) 99,831 A $98.31 250,205.0271 D
Common Stock 08/14/2025 S(2) 84,571 D $259.5296(4) 165,634.0271 D
Common Stock 08/15/2025 S(2) 11,000 D $259.2871(5) 154,634.0271 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
Stock Option (Right to Buy) $93.88 08/13/2025 M(1) 46,561 02/12/2019 02/12/2028 Common Stock 46,561 $93.88 0.0000 D
Stock Option (Right to Buy) $98.31 08/14/2025 M(1) 99,831 02/11/2020 02/11/2029 Common Stock 99,831 $0.0000 0.0000 D
Explanation of Responses:
1. The reported transaction is a stock option exercise pursuant to a 10b5-1 plan adopted by the reporting person on May 14, 2025.
2. The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person May 14, 2025.
3. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $261.4100 - $263.9900, 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 (3) to this Form 4.
4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $258.72 - $260.73, 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 (4) to this Form 4.
5. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $257.12 - $260.53, 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 (5) to this Form 4.
Maria Allen, Power of Attorney 08/15/2025
** 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.

Source: View Original Filing on SEC EDGAR

FAQ

What transactions did Broadridge CEO Timothy C. Gokey report on Form 4?

The CEO reported exercising options for 46,561 shares on 08/13/2025 and 99,831 shares on 08/14/2025, and selling 39,251, 84,571, and 11,000 shares on 08/13–08/15/2025 under a 10b5-1 plan.

Were the sales and exercises part of a prearranged trading plan?

Yes. The filing states the option exercises and open-market sales were made pursuant to a 10b5-1 plan adopted May 14, 2025.

What prices were reported for the sales and option exercises?

Option exercise prices were $93.88 and $98.31. Weighted average sale prices reported were $262.4552, $259.5296, and $259.2871, with footnoted ranges for each sale tranche.

How many shares does the reporting person beneficially own after these transactions?

The Form 4 reports 154,634.0271 shares beneficially owned following the reported transactions.

Does the filing provide per-trade prices for the sales?

The filing provides weighted average prices and discloses the per-trade price ranges; the reporting person offers to supply exact per-trade details on request.