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.
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.
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.
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.
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.
Broadridge Financial Solutions reported strong quarterly growth for the three months ended December 31, 2025. Revenues rose to $1,713.9 million from $1,589.2 million, while net earnings doubled to $284.6 million from $142.4 million. Diluted earnings per share increased to $2.42 from $1.20.
Growth was broad-based: Investor Communication Solutions revenue reached $1,233.3 million and Global Technology and Operations recurring revenues were $480.6 million. Results were also boosted by digital asset activity, with $188.0 million of other non-operating income in the quarter and Canton Coin holdings valued at $214.8 million.
Operating cash flows improved to $367.1 million for the six-month period, supporting dividends of $216.9 million and $152.5 million of share repurchases. Total assets were $8,639.5 million and total debt was $3,185.1 million, with 116.7 million common shares outstanding as of December 31, 2025.
Broadridge Financial Solutions, Inc. furnished an update on its business performance by issuing a press release and posting an earnings webcast presentation covering the second quarter of fiscal 2026, which ended on December 31, 2025. Both documents were released on February 3, 2026 and are available through the company’s investor relations website.
The materials, attached as Exhibits 99.1 and 99.2, are furnished rather than filed, limiting their exposure to certain Exchange Act liabilities. The company also included extensive cautionary language on forward-looking statements, directing investors to its June 30, 2025 Form 10-K risk factors for additional detail.
Broadridge Financial Solutions, Inc. reported board changes, including one upcoming resignation and two new director appointments. On February 2, 2026, director Brett Keller notified the company he will resign from the board effective April 30, 2026, stating his decision was not due to any disagreement with the company, its management, or the board.
On the same date, the board increased its size from eight to 10 members and appointed Trish Mosconi and Christopher Perry as directors, effective immediately. Following these appointments, eight of the 10 directors are independent, including Chairperson Eileen K. Murray. Mosconi, a senior advisor in financial and technology sectors, will serve on the Audit and Compensation Committees and is considered an independent director under New York Stock Exchange and SEC rules.
Perry, Broadridge’s President since 2020, will join the board but will not receive additional compensation or serve on any board committees, which remain composed solely of independent directors. Mosconi is expected to receive standard compensation for independent directors. The company attached a press release announcing these appointments as an exhibit.
Broadridge Financial Solutions, Inc. reported board changes, including one upcoming resignation and two new director appointments. On February 2, 2026, director Brett Keller notified the company he will resign from the board effective April 30, 2026, stating his decision was not due to any disagreement with the company, its management, or the board.
On the same date, the board increased its size from eight to 10 members and appointed Trish Mosconi and Christopher Perry as directors, effective immediately. Following these appointments, eight of the 10 directors are independent, including Chairperson Eileen K. Murray. Mosconi, a senior advisor in financial and technology sectors, will serve on the Audit and Compensation Committees and is considered an independent director under New York Stock Exchange and SEC rules.
Perry, Broadridge’s President since 2020, will join the board but will not receive additional compensation or serve on any board committees, which remain composed solely of independent directors. Mosconi is expected to receive standard compensation for independent directors. The company attached a press release announcing these appointments as an exhibit.
Broadridge Financial Solutions director reports small stock-based awards tied to dividends. A company director received two awards of deferred stock units on 01/05/2026 under Broadridge’s 2018 Omnibus Award Plan: one for 19 units and another for 17 units of common stock, each at a grant price of $0.0000. These awards were issued as additional units credited in connection with Broadridge’s regular quarterly dividend on common stock underlying previously issued deferred stock units and director deferred compensation units.
The deferred stock units and director deferred compensation units vest in full immediately upon grant and represent an equivalent number of shares of Broadridge common stock. They will be settled in shares of common stock when the director separates from service with Broadridge. After these transactions, the director’s beneficial ownership in common stock, including these units, is reported as directly held.
Broadridge Financial Solutions, Inc. reported a director’s routine equity compensation update. On 01/05/2026, the director received two small awards of Broadridge common stock in the form of deferred stock units tied to the company’s regular quarterly dividend. One award covered 12 deferred stock units, bringing the director’s beneficial ownership for that line to 9,148 shares of common stock. A second award covered 11 deferred stock units, bringing beneficial ownership for that line to 9,159 shares. These deferred stock units vest in full upon grant and are scheduled to settle in Broadridge common shares after the director’s separation from service.
Broadridge Financial Solutions director reports small equity awards. A company director received two awards of additional deferred stock units on 01/05/2026 under Broadridge's 2018 Omnibus Award Plan. One award covered 11 deferred stock units tied to regular quarterly dividends on previously granted deferred stock units, bringing the director's beneficial ownership in that line to 4,853 shares of common stock. A second award covered 9 deferred stock units related to dividend equivalents on units previously issued in lieu of cash compensation under the Director Deferred Compensation Program, increasing beneficial ownership in that line to 4,862 shares. All these deferred stock units vest in full upon grant and will be settled in Broadridge common stock when the director separates from service.
Broadridge Financial Solutions director reports small stock-based awards linked to dividends. A company director received 62 shares of common stock on 01/05/2026 through Deferred Stock Units granted under Broadridge's 2018 Omnibus Award Plan as dividend equivalents on previously issued Deferred Stock Units. The director also received 21 additional Deferred Stock Units on the same date as dividend equivalents on Deferred Stock Units previously issued in lieu of cash compensation under the Director Deferred Compensation Program. Both types of Deferred Stock Units vest in full upon grant and will be settled in shares of Broadridge common stock when the director separates from service. Following these transactions, the director beneficially owns a total of 32,023.102 shares of Broadridge common stock in direct form.