[Form 4] Broadridge Financial Solutions Inc Insider Trading Activity

Rhea-AI Filing Summary

Timothy C. Gokey, CEO of Broadridge Financial Solutions (BR), reported an open-market sale of 5,674 shares on 08/25/2025 under a 10b5-1 trading plan adopted May 14, 2025. The filing shows a weighted-average sale price of $258.3733, with execution prices ranging from $256.24 to $262.46. After the reported dispositions, Mr. Gokey beneficially owned 143,285.0271 shares, held directly. The Form 4 was filed as a single reporting-person filing and was signed by a power of attorney on 08/26/2025. The report includes an undertaking to provide detailed per-price sale information upon request.

Positive

• Transaction executed under a 10b5-1 plan, indicating pre-arranged and compliant insider trading
• Weighted-average price and execution range disclosed, with offer to provide per-price details on request
• Form 4 filed by one reporting person and executed via power of attorney, showing proper procedural compliance

Negative

• CEO reduced direct ownership by 5,674 shares, lowering his stake to 143,285.0271 shares
• Insider sale may be perceived negatively by some investors despite being pre-planned

Insights

Corporate Governance Expert

TL;DR: Routine insider sale under a pre-established 10b5-1 plan; shows compliance and transparency but reduces the CEO's direct stake modestly.

The sale of 5,674 shares was executed pursuant to a 10b5-1 plan, which signals pre-planned disposition rather than opportunistic trading. That supports governance best practices by reducing potential concerns about trading on non-public information. The filing discloses weighted-average price and the range of execution prices and offers to provide per-price details, which is thorough disclosure. The remaining direct beneficial ownership of ~143.3k shares remains significant but is reduced by the sale. Overall, this is procedurally compliant and informational for shareholders.

Securities Analyst

TL;DR: Small-scale, pre-planned insider sale; unlikely to be materially market-moving given the quantity and disclosure.

The transaction quantity (5,674 shares) and the disclosed weighted-average price ($258.3733) indicate a routine disposition. The seller used a 10b5-1 plan adopted May 14, 2025, which typically mitigates timing concerns. The filing reports post-sale direct beneficial ownership of 143,285.0271 shares, which provides context on the CEO's remaining exposure to the company. From a market-impact perspective, this single, disclosed sale is unlikely to change investor valuation materially.

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)
08/25/2025

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	08/25/2025		S(1)		5,674	D	$258.3733(2)	143,285.0271	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 $256.24 - $262.46, 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	08/26/2025
	** 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)?

He reported an open-market sale of 5,674 shares on 08/25/2025 under a 10b5-1 plan.

At what price were the Broadridge (BR) shares sold by the CEO?

The filing lists a weighted-average price of $258.3733, with individual trades ranging from $256.24 to $262.46.

How many Broadridge shares does the CEO own after the sale?

The Form 4 reports 143,285.0271 shares beneficially owned by Timothy C. Gokey following the transaction.

Was the sale pre-planned or ad hoc?

The sale was executed pursuant to a 10b5-1 trading plan adopted May 14, 2025, indicating it was pre-planned.

Who signed the Form 4 for the reporting person?

The filing was signed on behalf of the reporting person by Maria Allen, Power of Attorney on 08/26/2025.