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Broadridge Finl Solutions Inc SEC Filings

BR NYSE

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’s disclosures intertwine recurring fee revenues from Investor Communication Solutions with the tech spend that powers global post-trade platforms. Navigating a 10-K that spans outsourcing contracts, SaaS migration costs, and regulatory risk can be daunting. If you’re searching for “Broadridge SEC filings explained simply,� trying to spot “Broadridge insider trading Form 4 transactions,� or typing “Broadridge Form 4 insider transactions real-time� into Google, you’re in the right place.

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Broadridge Financial Solutions, Inc. (BR) â€� Form 4 insider filing

On 2 July 2025, non-employee director Brett Keller received two automatic awards of Broadridge Deferred Stock Units (DSUs) under the company’s 2018 Omnibus Award Plan:

  • 31 DSUs credited as a dividend equivalent on previously issued director DSUs.
  • 14 DSUs credited in lieu of cash within the Director Deferred Compensation Program.

The DSUs vest immediately and will convert into an equal number of common shares only after Keller’s separation from the Board. Following these transactions, Keller’s direct beneficial ownership stands at 15,885 BR shares. No cash consideration was paid (transaction price recorded as $0.00).

The filing represents a routine, non-cash adjustment tied to dividend reinvestment and has no direct impact on Broadridge’s share count, earnings, or cash flow.

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Broadridge Financial Solutions, Inc. (BR) â€� Form 4 insider filing

On 2 July 2025, non-employee director Brett Keller received two automatic awards of Broadridge Deferred Stock Units (DSUs) under the company’s 2018 Omnibus Award Plan:

  • 31 DSUs credited as a dividend equivalent on previously issued director DSUs.
  • 14 DSUs credited in lieu of cash within the Director Deferred Compensation Program.

The DSUs vest immediately and will convert into an equal number of common shares only after Keller’s separation from the Board. Following these transactions, Keller’s direct beneficial ownership stands at 15,885 BR shares. No cash consideration was paid (transaction price recorded as $0.00).

The filing represents a routine, non-cash adjustment tied to dividend reinvestment and has no direct impact on Broadridge’s share count, earnings, or cash flow.

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Entegris, Inc. has filed an automatic shelf registration statement (Form S-3ASR) to keep effective the issuance of up to 67,209 shares of common stock underlying “Adjusted CMC Stock Optionsâ€� assumed in the July 2022 CMC Materials acquisition. The options carry exercise prices of $33.11&²Ô²ú²õ±è;â€�&²Ô²ú²õ±è;$93.85; if fully exercised, Entegris would receive roughly $4.94 million in cash, which the company expects to use for general corporate purposes. The filing replaces the July 2022 shelf (File No. 333-266041) and leverages previously paid SEC fees under Rule 415(a)(6). Because Entegris is a well-known seasoned issuer, the shelf becomes effective upon filing, requires no underwriter and involves only routine legal, accounting and printing costs (estimated total $103,115). With approximately 150 million shares outstanding, the maximum dilution from the registered shares would be about 0.05%, a level unlikely to affect valuation metrics. All other content consists of standard prospectus language, forward-looking statement boilerplate and risk factor cross-references already disclosed in prior 10-K/10-Q filings.

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Broadridge Financial Solutions, Inc. (BR) â€� Form 4 insider filing

On 2 July 2025, non-employee director Brett Keller received two automatic awards of Broadridge Deferred Stock Units (DSUs) under the company’s 2018 Omnibus Award Plan:

  • 31 DSUs credited as a dividend equivalent on previously issued director DSUs.
  • 14 DSUs credited in lieu of cash within the Director Deferred Compensation Program.

The DSUs vest immediately and will convert into an equal number of common shares only after Keller’s separation from the Board. Following these transactions, Keller’s direct beneficial ownership stands at 15,885 BR shares. No cash consideration was paid (transaction price recorded as $0.00).

The filing represents a routine, non-cash adjustment tied to dividend reinvestment and has no direct impact on Broadridge’s share count, earnings, or cash flow.

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Broadridge Financial Solutions, Inc. (BR) â€� Form 4 insider filing

On 2 July 2025, non-employee director Brett Keller received two automatic awards of Broadridge Deferred Stock Units (DSUs) under the company’s 2018 Omnibus Award Plan:

  • 31 DSUs credited as a dividend equivalent on previously issued director DSUs.
  • 14 DSUs credited in lieu of cash within the Director Deferred Compensation Program.

The DSUs vest immediately and will convert into an equal number of common shares only after Keller’s separation from the Board. Following these transactions, Keller’s direct beneficial ownership stands at 15,885 BR shares. No cash consideration was paid (transaction price recorded as $0.00).

The filing represents a routine, non-cash adjustment tied to dividend reinvestment and has no direct impact on Broadridge’s share count, earnings, or cash flow.

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Entegris, Inc. has filed an automatic shelf registration statement (Form S-3ASR) to keep effective the issuance of up to 67,209 shares of common stock underlying “Adjusted CMC Stock Optionsâ€� assumed in the July 2022 CMC Materials acquisition. The options carry exercise prices of $33.11&²Ô²ú²õ±è;â€�&²Ô²ú²õ±è;$93.85; if fully exercised, Entegris would receive roughly $4.94 million in cash, which the company expects to use for general corporate purposes. The filing replaces the July 2022 shelf (File No. 333-266041) and leverages previously paid SEC fees under Rule 415(a)(6). Because Entegris is a well-known seasoned issuer, the shelf becomes effective upon filing, requires no underwriter and involves only routine legal, accounting and printing costs (estimated total $103,115). With approximately 150 million shares outstanding, the maximum dilution from the registered shares would be about 0.05%, a level unlikely to affect valuation metrics. All other content consists of standard prospectus language, forward-looking statement boilerplate and risk factor cross-references already disclosed in prior 10-K/10-Q filings.

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Rhea-AI Summary

Entegris, Inc. has filed an automatic shelf registration statement (Form S-3ASR) to keep effective the issuance of up to 67,209 shares of common stock underlying “Adjusted CMC Stock Optionsâ€� assumed in the July 2022 CMC Materials acquisition. The options carry exercise prices of $33.11&²Ô²ú²õ±è;â€�&²Ô²ú²õ±è;$93.85; if fully exercised, Entegris would receive roughly $4.94 million in cash, which the company expects to use for general corporate purposes. The filing replaces the July 2022 shelf (File No. 333-266041) and leverages previously paid SEC fees under Rule 415(a)(6). Because Entegris is a well-known seasoned issuer, the shelf becomes effective upon filing, requires no underwriter and involves only routine legal, accounting and printing costs (estimated total $103,115). With approximately 150 million shares outstanding, the maximum dilution from the registered shares would be about 0.05%, a level unlikely to affect valuation metrics. All other content consists of standard prospectus language, forward-looking statement boilerplate and risk factor cross-references already disclosed in prior 10-K/10-Q filings.

Rhea-AI Impact
Rhea-AI Sentiment
End-of-Day
-- %
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Rhea-AI Summary

Entegris, Inc. has filed an automatic shelf registration statement (Form S-3ASR) to keep effective the issuance of up to 67,209 shares of common stock underlying “Adjusted CMC Stock Optionsâ€� assumed in the July 2022 CMC Materials acquisition. The options carry exercise prices of $33.11&²Ô²ú²õ±è;â€�&²Ô²ú²õ±è;$93.85; if fully exercised, Entegris would receive roughly $4.94 million in cash, which the company expects to use for general corporate purposes. The filing replaces the July 2022 shelf (File No. 333-266041) and leverages previously paid SEC fees under Rule 415(a)(6). Because Entegris is a well-known seasoned issuer, the shelf becomes effective upon filing, requires no underwriter and involves only routine legal, accounting and printing costs (estimated total $103,115). With approximately 150 million shares outstanding, the maximum dilution from the registered shares would be about 0.05%, a level unlikely to affect valuation metrics. All other content consists of standard prospectus language, forward-looking statement boilerplate and risk factor cross-references already disclosed in prior 10-K/10-Q filings.

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FAQ

What is the current stock price of Broadridge Finl Solutions (BR)?

The current stock price of Broadridge Finl Solutions (BR) is $242.13 as of July 3, 2025.

What is the market cap of Broadridge Finl Solutions (BR)?

The market cap of Broadridge Finl Solutions (BR) is approximately 28.1B.

What is the primary business of Broadridge Financial Solutions Inc.?

Broadridge Financial Solutions Inc. specializes in investor communications and technology-driven solutions that support financial institutions in wealth management, asset management, and capital markets.

Which segments does Broadridge operate in?

The company operates primarily through two segments: Investor Communication Solutions (ICS) and Global Technology & Operations (GTO), both designed to streamline communications and improve operational efficiency for its clients.

How does Broadridge support financial institutions?

Broadridge provides integrated platforms that enhance digital communications, optimize trading processes, assist in regulatory reporting, and offer advanced data analytics, all aimed at reducing risk and improving efficiency.

What technological innovations are integrated into Broadridge's platform?

Its platforms incorporate advanced data analytics, SaaS solutions, distributed ledger technology, and modular deployment capabilities to support the digitization and efficiency of financial operations.

How does Broadridge differentiate itself from competitors?

Broadridge differentiates itself through its comprehensive, scalable technology solutions and deep industry insights, which are informed by extensive interactions with both market participants and regulators.

What role does Broadridge play in risk management and regulatory compliance?

The company’s solutions are designed to support robust risk management frameworks and compliant operational systems, helping clients to navigate complex regulatory landscapes while minimizing operational risks.

Who are the typical clients of Broadridge Financial Solutions Inc.?

Broadridge serves a wide range of clients including banks, broker-dealers, asset managers, wealth managers, and corporate issuers, all of whom benefit from its advanced operational and communication solutions.

What market trends influence Broadridge's service offerings?

Key trends include the digitization of communications, the growing need for interoperability in trading systems, and the increasing importance of data analytics and regulatory compliance within financial services.
Broadridge Finl Solutions Inc

NYSE:BR

BR Rankings

BR Stock Data

28.09B
116.81M
0.65%
92.47%
0.81%
Information Technology Services
Services-business Services, Nec
United States
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