Welcome to our dedicated page for Broadridge Finl Solutions SEC filings (Ticker: BR), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
This page provides access to U.S. Securities and Exchange Commission filings for Broadridge Financial Solutions, Inc. (NYSE: BR), a global Fintech and technology company serving the financial services industry. Broadridge’s filings offer detailed insight into its technology and operations platforms that power investing, governance, and communications, support post-trade processing and asset servicing, and underpin the daily average trading of more than $15 trillion in securities globally.
Through Broadridge’s annual reports on Form 10-K and quarterly reports on Form 10-Q, investors can review discussions of its business model, segment performance, risk factors, and financial condition. The company’s definitive proxy statement on Schedule 14A describes corporate governance practices, Board composition, executive compensation, and matters submitted to stockholder vote, including the election of directors, advisory votes on executive pay, and ratification of independent auditors.
Broadridge also files frequent current reports on Form 8-K that disclose material events such as dividend declarations, earnings releases, financing arrangements like term credit agreements, investor presentations, and results of stockholder meetings. These filings can include information on the company’s capital allocation approach, including recurring cash dividends, as well as updates on its growth strategy and operational priorities.
In addition, investors can monitor Forms 3, 4, and 5 for information on insider share ownership and changes in holdings by directors and officers, and Schedule 13 filings for significant beneficial ownership by large shareholders, where applicable. Together, these documents provide a regulatory record of Broadridge’s activities as a public company listed on the New York Stock Exchange.
On Stock Titan, Broadridge’s SEC filings are supplemented with AI-powered summaries that highlight key points from lengthy documents, helping users quickly understand major themes in 10-K and 10-Q reports, the implications of 8-K disclosures, and notable aspects of proxy materials. Real-time updates from EDGAR, combined with simplified explanations, support investors, analysts, and researchers who want to follow BR’s governance, risk disclosures, capital structure, and corporate actions in a structured and accessible way.
Broadridge Financial Solutions director Robert N. Duelks reported indirect movements of company Common Stock tied to family trusts. A bona fide gift moved 17,000 shares on March 2, 2026 from the Mary E. Duelks 2007 Revocable Trust to the Mary E. Duelks 2020 Irrevocable Trust at a stated price of $0.00 per share. As of that date, filings show 20,815 shares held directly, plus indirect holdings of 4,474 shares through BOMAR II LLC and 8,853 shares through the Robert N. Duelks 2007 Revocable Trust.
Broadridge Financial Solutions director reports issuer share disposition
On February 25, 2026, an entity identified as BOMAR II LLC, associated with director Robert N. Duelks, disposed of 486 shares of Broadridge common stock to the issuer at $177.035 per share. After this transaction, BOMAR II LLC held 4,474 shares indirectly. As of the same date, Duelks also reported 20,815 shares held directly and additional indirect holdings of 17,000 shares in the Mary E. Duelks 2007 Revocable Trust and 8,853 shares in the Robert N. Duelks 2007 Revocable Trust.
Robert N. Duelks 2007 Revocable Trust reported a proposed sale of 486 common shares under Rule 144 tied to restricted stock vesting. The filing also shows the trust sold 253 common shares on 02/06/2026.
This is a routine Rule 144 notice of a trustee-held block of common stock being offered for sale; timing and proceeds details are not included in the excerpt.
BROADRIDGE FINANCIAL SOLUTIONS, INC. director Patricia Ann Mosconi filed an amended ownership report showing she held 10 shares of Broadridge common stock as of February 2, 2026. This Form 3/A does not describe a new purchase or sale, but updates her reported holdings.
Broadridge Financial Solutions, Inc. director Patricia Ann Mosconi filed an initial statement of beneficial ownership (Form 3) as of 02/02/2026. The filing reports that she has no securities beneficially owned in the company, and there are no listed non-derivative or derivative holdings.
State Street Corporation has filed a Schedule 13G reporting beneficial ownership of 5,995,200 shares of Broadridge Financial Solutions Inc. common stock, representing 5.1% of the class as of the event date. State Street reports shared voting power over 3,674,915 shares and shared dispositive power over 5,994,841 shares, with no sole voting or dispositive power. The securities are certified as held in the ordinary course of business and not for the purpose of changing or influencing control of Broadridge.
Broadridge Financial Solutions used this update to share its February 2026 investor presentation and highlight recent performance and outlook. For the second quarter of fiscal 2026, Recurring revenues rose to $1,070 million, up 9%, and total revenues reached $1,714 million, up 8% year over year. GAAP diluted EPS more than doubled to $2.42 from $1.20, helped by non‑recurring items, while Adjusted EPS increased more modestly to $1.59 from $1.56. Adjusted Operating income was $265 million with a 15.5% margin, slightly below 16.6% a year earlier. Closed sales were $57 million, up 24%, supporting future Recurring revenue. Broadridge reaffirmed its fiscal 2026 Recurring revenue growth outlook of 5–7% in constant currency and Adjusted Operating income margin of 20–21%, and raised its Adjusted EPS growth guidance to 9–12%, keeping it on track with its three‑year financial objectives.
BR filed a Rule 144 notice for a planned sale of restricted common stock. The filing covers the potential sale of 253 common shares through Morgan Stanley Smith Barney LLC, with an aggregate market value of $48,727.80 on the NYSE.
The shares were acquired on 06/05/2024 through restricted stock vesting under a registered plan with the issuer. As context, 116,748,715 common shares were outstanding. The approximate sale date indicated is 02/06/2026, and the seller represents they are unaware of undisclosed material adverse information about the issuer.
Tharimmune, Inc. received a beneficial ownership report from Broadridge Financial Solutions, Inc., which now reports control over 4,187,548 shares of Tharimmune common stock through warrants exercisable within sixty days. This represents 9.99% of Tharimmune’s common stock, calculated using 37,729,847 shares outstanding as of January 17, 2026 plus the warrant shares.
The warrants are subject to a 9.99% ownership blocker in a Subscription Agreement, so an additional 13,070,680 shares issuable under the warrants are not counted in Broadridge’s beneficial ownership. The securities are owned of record by Broadridge Securities Processing Solutions, LLC, with Broadridge Financial Solutions, Inc. holding voting and dispositive power, and the filing states the stake is held on a passive, non‑control basis.
Broadridge Financial Solutions director Robert N. Duelks reported a small sale of company stock. On February 6, 2026, he sold 253 shares of common stock at $192.6 per share, and held 20,815 shares directly afterward.
He also reported indirect ownership of Broadridge common stock, including 4,960 shares through BOMAR II LLC, 17,000 shares through the Mary E. Duelks 2007 Revocable Trust, and 8,853 shares through the Robert N. Duelks 2007 Revocable Trust.