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[Form 4] Broadridge Financial Solutions Inc Insider Trading Activity

Filing Impact
(High)
Filing Sentiment
(Negative)
Form Type
4
Rhea-AI Filing Summary

Broadridge Financial Solutions (BR) Form 4 summary: Chief Executive Officer Timothy C. Gokey reported an open-market sale of 5,675 shares of Broadridge common stock on 08/18/2025. The transaction was made pursuant to a 10b5-1 trading plan adopted May 14, 2025. The Form 4 shows a weighted-average price of $260.8683 for the shares, with individual sale prices in the range $260.02 to $261.76. After the reported sale, the filing lists 148,959.0271 shares beneficially owned by the reporting person in a direct form. The filer states they will provide, on request, details on the number of shares sold at each price within the stated range.

Riepilogo del Modulo 4 di Broadridge Financial Solutions (BR): Il Chief Executive Officer Timothy C. Gokey ha comunicato una vendita sul mercato aperto di 5.675 azioni di azioni ordinarie Broadridge in data 08/18/2025. L'operazione è stata effettuata ai sensi di un piano di negoziazione 10b5-1 adottato il 14 maggio 2025. Il Modulo 4 indica un prezzo medio ponderato di $260.8683 per azione, con prezzi unitari di vendita compresi tra $260.02 e $261.76. Dopo la vendita segnalata, la dichiarazione riporta 148,959.0271 azioni possedute beneficiariamente dal dichiarante in forma diretta. Il dichiarante precisa che fornirà, su richiesta, i dettagli sul numero di azioni vendute a ciascun prezzo all'interno dell'intervallo indicato.

Resumen del Formulario 4 de Broadridge Financial Solutions (BR): El Director Ejecutivo Timothy C. Gokey informó una venta en el mercado abierto de 5.675 acciones de acciones ordinarias de Broadridge el 08/18/2025. La transacción se realizó en virtud de un plan de negociación 10b5-1 adoptado el 14 de mayo de 2025. El Formulario 4 muestra un precio promedio ponderado de $260.8683 por acción, con precios individuales de venta en el rango de $260.02 a $261.76. Tras la venta informada, la presentación lista 148,959.0271 acciones en propiedad beneficiaria directa del declarante. El presentador indica que, a petición, proporcionará detalles sobre el número de acciones vendidas a cada precio dentro del rango señalado.

Broadridge Financial Solutions (BR) Form 4 요약: 최고경영�(CEO) Timothy C. Gokey가 2025� 08� 18�(08/18/2025)� Broadridge 보통� 5,675�� 공개시장� 매도했다� 보고했습니다. � 거래� 2025� 5� 14� 채택� 10b5-1 거래 계획� 따라 이루어졌습니�. Form 4에는 주당 가중평� 가격이 $260.8683� 기재되어 있으�, 개별 매도 가격은 $260.02에서 $261.76 범위� 있습니다. 보고� 매도 �, 제출서에� 보고인이 직접 보유� 148,959.0271�가 기재되어 있습니다. 제출인은 요청� 있는 경우 해당 범위 � � 가격별� 매도� 주식 수에 대� 세부 정보� 제공하겠다고 밝혔습니�.

Résumé du Formulaire 4 de Broadridge Financial Solutions (BR) : Le directeur général Timothy C. Gokey a déclaré une vente en marché ouvert de 5 675 actions ordinaires Broadridge le 08/18/2025. La transaction a été réalisée en vertu d'un plan de négociation 10b5-1 adopté le 14 mai 2025. Le Formulaire 4 indique un prix moyen pondéré de 260,8683 $ par action, avec des prix de vente individuels compris entre 260,02 $ et 261,76 $. Après la vente signalée, le dépôt mentionne 148,959.0271 actions détenues bénéficiaires en nom propre par la personne déclarante. Le déclarant précise qu'il fournira, sur demande, les détails du nombre d'actions vendues à chaque prix dans la fourchette indiquée.

Zusammenfassung des Formulars 4 von Broadridge Financial Solutions (BR): Chief Executive Officer Timothy C. Gokey meldete am 08/18/2025 einen Verkauf von 5.675 Aktien der Broadridge-Stammaktien im offenen Markt. Die Transaktion erfolgte gemäß einem am 14. Mai 2025 verabschiedeten 10b5-1-Handelsplan. Im Formular 4 wird ein gewichteter Durchschnittspreis von $260.8683 pro Aktie angegeben, mit einzelnen Verkaufspreisen im Bereich von $260.02 bis $261.76. Nach dem gemeldeten Verkauf weist die Meldung 148,959.0271 Aktien aus, die die meldende Person direkt wirtschaftlich besitzt. Der Einreicher erklärt, dass er auf Anfrage Angaben zur Anzahl der zu jedem Preis innerhalb des angegebenen Bereichs verkauften Aktien machen wird.

Positive
  • Transaction executed under a 10b5-1 plan, providing an affirmative defense and pre-planned timing
  • Filer discloses weighted-average price and price range ($260.8683; $260.02�$261.76) and offers to provide per-price sale details on request
  • Reporting person retains substantial direct ownership after the sale (148,959.0271 shares)
Negative
  • None.

Insights

TL;DR: Insider sale executed under a pre-established 10b5-1 plan reduces ambiguity about intent but merits governance monitoring.

The filing documents a routine open-market disposition by the CEO under a 10b5-1 plan adopted May 14, 2025, which provides an affirmative defense to insider trading claims. That procedural protection reduces immediate governance concerns about opportunistic timing. The disclosure that the sale occurred across multiple prices within a stated range and the offer to supply detailed per-price quantities on request aligns with transparent reporting practices. Investors and governance committees may still note that the CEO retains a substantial reported direct holding of 148,959.0271 shares after the sale, preserving continued alignment with shareholders.

TL;DR: Transaction is a specified-volume open-market sale under a trading plan, producing no new operational or financial data.

The Form 4 reports a sale of 5,675 shares at a weighted-average price of $260.8683 on 08/18/2025 under a 10b5-1 plan. Such filings disclose insider activity but do not convey company performance information or change financial statements. The explicit price range ($260.02�$261.76) and the reporting person's willingness to provide price-by-price details support completeness of the disclosure. From a market-data perspective, this is a routine insider liquidity event rather than a material corporate development.

Riepilogo del Modulo 4 di Broadridge Financial Solutions (BR): Il Chief Executive Officer Timothy C. Gokey ha comunicato una vendita sul mercato aperto di 5.675 azioni di azioni ordinarie Broadridge in data 08/18/2025. L'operazione è stata effettuata ai sensi di un piano di negoziazione 10b5-1 adottato il 14 maggio 2025. Il Modulo 4 indica un prezzo medio ponderato di $260.8683 per azione, con prezzi unitari di vendita compresi tra $260.02 e $261.76. Dopo la vendita segnalata, la dichiarazione riporta 148,959.0271 azioni possedute beneficiariamente dal dichiarante in forma diretta. Il dichiarante precisa che fornirà, su richiesta, i dettagli sul numero di azioni vendute a ciascun prezzo all'interno dell'intervallo indicato.

Resumen del Formulario 4 de Broadridge Financial Solutions (BR): El Director Ejecutivo Timothy C. Gokey informó una venta en el mercado abierto de 5.675 acciones de acciones ordinarias de Broadridge el 08/18/2025. La transacción se realizó en virtud de un plan de negociación 10b5-1 adoptado el 14 de mayo de 2025. El Formulario 4 muestra un precio promedio ponderado de $260.8683 por acción, con precios individuales de venta en el rango de $260.02 a $261.76. Tras la venta informada, la presentación lista 148,959.0271 acciones en propiedad beneficiaria directa del declarante. El presentador indica que, a petición, proporcionará detalles sobre el número de acciones vendidas a cada precio dentro del rango señalado.

Broadridge Financial Solutions (BR) Form 4 요약: 최고경영�(CEO) Timothy C. Gokey가 2025� 08� 18�(08/18/2025)� Broadridge 보통� 5,675�� 공개시장� 매도했다� 보고했습니다. � 거래� 2025� 5� 14� 채택� 10b5-1 거래 계획� 따라 이루어졌습니�. Form 4에는 주당 가중평� 가격이 $260.8683� 기재되어 있으�, 개별 매도 가격은 $260.02에서 $261.76 범위� 있습니다. 보고� 매도 �, 제출서에� 보고인이 직접 보유� 148,959.0271�가 기재되어 있습니다. 제출인은 요청� 있는 경우 해당 범위 � � 가격별� 매도� 주식 수에 대� 세부 정보� 제공하겠다고 밝혔습니�.

Résumé du Formulaire 4 de Broadridge Financial Solutions (BR) : Le directeur général Timothy C. Gokey a déclaré une vente en marché ouvert de 5 675 actions ordinaires Broadridge le 08/18/2025. La transaction a été réalisée en vertu d'un plan de négociation 10b5-1 adopté le 14 mai 2025. Le Formulaire 4 indique un prix moyen pondéré de 260,8683 $ par action, avec des prix de vente individuels compris entre 260,02 $ et 261,76 $. Après la vente signalée, le dépôt mentionne 148,959.0271 actions détenues bénéficiaires en nom propre par la personne déclarante. Le déclarant précise qu'il fournira, sur demande, les détails du nombre d'actions vendues à chaque prix dans la fourchette indiquée.

Zusammenfassung des Formulars 4 von Broadridge Financial Solutions (BR): Chief Executive Officer Timothy C. Gokey meldete am 08/18/2025 einen Verkauf von 5.675 Aktien der Broadridge-Stammaktien im offenen Markt. Die Transaktion erfolgte gemäß einem am 14. Mai 2025 verabschiedeten 10b5-1-Handelsplan. Im Formular 4 wird ein gewichteter Durchschnittspreis von $260.8683 pro Aktie angegeben, mit einzelnen Verkaufspreisen im Bereich von $260.02 bis $261.76. Nach dem gemeldeten Verkauf weist die Meldung 148,959.0271 Aktien aus, die die meldende Person direkt wirtschaftlich besitzt. Der Einreicher erklärt, dass er auf Anfrage Angaben zur Anzahl der zu jedem Preis innerhalb des angegebenen Bereichs verkauften Aktien machen wird.

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)
08/18/2025
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 08/18/2025 S(1) 5,675 D $260.8683(2) 148,959.0271 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 $260.02 - $261.76, 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 08/18/2025
** 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)?

The Form 4 reports an open-market sale of 5,675 shares by CEO Timothy C. Gokey on 08/18/2025.

Was the Broadridge (BR) sale part of a 10b5-1 plan?

Yes. The filing states the transaction was made pursuant to a 10b5-1 plan adopted May 14, 2025.

At what price were Broadridge (BR) shares sold in the filing?

The Form 4 reports a weighted-average price of $260.8683 with sale prices ranging from $260.02 to $261.76.

How many Broadridge (BR) shares does the reporting person own after the sale?

The filing shows 148,959.0271 shares beneficially owned following the reported transaction.

Will additional details about the sale prices be provided?

Yes. The reporting person undertakes to provide, upon request, the number of shares sold at each separate price within the stated range.
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