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.
Broadridge Financial Solutions filings document a NYSE-listed financial technology company with common stock registered under the Exchange Act. The company’s Form 8-K disclosures cover operating and financial results, Regulation FD investor presentations, dividend declarations, board composition changes, annual meeting voting results, and other material events.
Broadridge’s regulatory record also includes capital-structure and securities disclosures tied to its public equity and debt activity, along with governance matters such as director elections, executive compensation votes, auditor ratification, committee assignments, and risk-factor language accompanying investor materials and earnings releases.
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.
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.
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.