BR SEC Filing News — Broadridge Financial Solutions, Inc.

Latest SEC filings for Broadridge Financial Solutions, Inc. (BR) explained in plain English. Covers insider buying and selling (Form 4), proposed insider sales (Form 144), material company events (8-K), and quarterly & annual reports (10-Q / 10-K). StrongBuyAnalytics provides navigation and brief excerpts or summaries; original filings remain at the SEC/source links and were authored by their filers, not StrongBuyAnalytics. Filing dates shown are source dates. Coverage and detection can be delayed or incomplete because of SEC availability, amendments, parsing, caching, or outages. Latest source filing date shown: 2026-10-06.

Broadridge Financial Solutions, Inc. provides investor communications and technology-driven solutions for the financial services industry in the United States and internationally. The company's Investor Communication Solutions segment handles the proxy materials distribution and voting processes for bank, broker-dealer, corporate issuer, and fund clients; provides fund manager; and various other regulatory communication solutions. The segment also offers ProxyEdge, an institutional voting platfo…
Sector: Technology Industry: Information Technology Services Market Cap: $19.8B CIK: 1383312
20
Total Filings
0
Bullish Classifications
1
Bearish Classifications
20
Insider Transactions
0
Material Events (8-K)
0
Periodic Reports
Rule-based classifications for BR currently lean bearish. Of the 20 filing records displayed, 1 carry bearish classifications (such as insider sales or negative 8-K disclosures) versus 0 bullish. This does not necessarily signal fundamental deterioration — insiders sell for many reasons — but it is worth monitoring alongside the company's core financial metrics.
BR Filing Activity Snapshot 2026-08-14 — 2026-10-06
Insider Transactions (Form 4)
0 buys vs 1 sell
Net insider selling in this period — insiders sell for many reasons beyond conviction.
Largest Form 144 Filing
$399.6K
Carey Thomas P (Corporate VP) · 2026-10-05
2,501 shares · Form 4
Insider Transactions 20 · Forms 3, 4 and 5

A Form 4 is filed within two business days of a company insider — an officer, a director, or a holder of more than ten percent of the stock — changing their position in the shares. All 20 filings in this group are Form 4s for Broadridge Financial Solutions, Inc.

The difficulty with reading these filings as a group is that a single form type covers transactions that mean entirely different things. An executive spending their own money to buy stock and an executive having shares withheld to pay tax on a vesting grant both appear as a Form 4. Every filing below is therefore tagged with the nature of the underlying transaction, taken from the transaction code reported on the form itself.

Across the 20 insider filings shown, the breakdown is 14 compensation award, 4 tax withholding, 1 option exercise and 1 open-market sale. 1 of them involved a discretionary open-market trade; the rest are compensation and administrative mechanics.

What each transaction type means

Compensation award ×14
Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.
Tax withholding ×4
Shares were withheld by the company to settle tax due when equity vested. This is an automatic administrative step and not a decision to sell.
Option exercise ×1
The insider converted options into shares. The exercise price was fixed when the options were granted, so the timing usually tracks an expiry schedule.
Open-market sale ×1
The insider sold shares on the open market. Sales may be discretionary or executed automatically under a pre-arranged Rule 10b5-1 trading plan, and a Form 4 does not always make clear which applies.
Form 4 Compensation award Tax / Compensation Filing 2026-10-06

BR insider Form 4 filed for equity award, exercise, or tax withholding

MURRAY EILEEN K (Director) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Transactions reported on this filing
Code Nature Shares Price Value
A Compensation award 20 — —
A Compensation award 18 — —
Filing: Form 4 (Insider Transaction) Insider: MURRAY EILEEN K (Director) Shares: 38
View on SEC EDGAR → Open Filing Document →
Form 4 Compensation award Tax / Compensation Filing 2026-10-06

BR insider Form 4 filed for equity award, exercise, or tax withholding

Zavery Amit (Director) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Transactions reported on this filing
Code Nature Shares Price Value
A Compensation award 34 — —
A Compensation award 27 — —
Filing: Form 4 (Insider Transaction) Insider: Zavery Amit (Director) Shares: 61
View on SEC EDGAR → Open Filing Document →
Form 4 Compensation award Tax / Compensation Filing 2026-10-06

BR insider Form 4 filed for equity award, exercise, or tax withholding

Mosconi Patricia Ann (Director) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Transactions reported on this filing
Code Nature Shares Price Value
A Compensation award 2 — —
A Compensation award 1 — —
Filing: Form 4 (Insider Transaction) Insider: Mosconi Patricia Ann (Director) Shares: 3
View on SEC EDGAR → Open Filing Document →
Form 4 Compensation award Tax / Compensation Filing 2026-10-06

BR insider Form 4 filed for equity award, exercise, or tax withholding

Nazareth Annette L. (Director) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Transactions reported on this filing
Code Nature Shares Price Value
A Compensation award 22 — —
A Compensation award 18 — —
Filing: Form 4 (Insider Transaction) Insider: Nazareth Annette L. (Director) Shares: 40
View on SEC EDGAR → Open Filing Document →
Form 4 Compensation award Tax / Compensation Filing 2026-10-06

BR insider Form 4 filed for equity award, exercise, or tax withholding

Markus Maura A. (Director) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Transactions reported on this filing
Code Nature Shares Price Value
A Compensation award 100 — —
A Compensation award 37 — —
Filing: Form 4 (Insider Transaction) Insider: Markus Maura A. (Director) Shares: 137
View on SEC EDGAR → Open Filing Document →
Form 4 Compensation award Tax / Compensation Filing 2026-10-06

BR insider Form 4 filed for equity award, exercise, or tax withholding

FLOWERS MELVIN L (Director) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Transactions reported on this filing
Code Nature Shares Price Value
A Compensation award 18 — —
Filing: Form 4 (Insider Transaction) Insider: FLOWERS MELVIN L (Director) Shares: 18
View on SEC EDGAR → Open Filing Document →
Form 4 Compensation award Tax / Compensation Filing 2026-10-06

BR insider Form 4 filed for equity award, exercise, or tax withholding

Duelks Robert N (Director) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Transactions reported on this filing
Code Nature Shares Price Value
A Compensation award 146 — —
Filing: Form 4 (Insider Transaction) Insider: Duelks Robert N (Director) Shares: 146
View on SEC EDGAR → Open Filing Document →
Form 4 Open-market sale Insider Selling 2026-10-05

BR insider Carey Thomas P (Corporate VP) sold 2,501 shares (~$399.6K)

Carey Thomas P, listed as Corporate VP at BROADRIDGE FINANCIAL SOLUTIONS, INC., reported an open-market sale of 2,501 BR shares in a Form 4 filing. This is a confirmed insider sale, not just a proposed sale notice.

The insider sold shares on the open market. Sales may be discretionary or executed automatically under a pre-arranged Rule 10b5-1 trading plan, and a Form 4 does not always make clear which applies.

Transactions reported on this filing
Code Nature Shares Price Value
S Open-market sale 2,501 $159.76 $399.6K
Filing: Form 4 (Insider Transaction) Insider: Carey Thomas P (Corporate VP) Shares: 2,501 Est. Value: $399.6K
View on SEC EDGAR → Open Filing Document →
Form 4 Tax withholding Tax / Compensation Filing 2026-10-05

BR insider Form 4 filed for equity award, exercise, or tax withholding

Stingi Richard John (Corporate VP and CHRO) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were withheld by the company to settle tax due when equity vested. This is an automatic administrative step and not a decision to sell.

Transactions reported on this filing
Code Nature Shares Price Value
F Tax withholding on vested shares 1,109 $161.15 $178.7K
Filing: Form 4 (Insider Transaction) Insider: Stingi Richard John (Corporate VP and CHRO) Shares: 1,109
View on SEC EDGAR → Open Filing Document →
Form 4 Tax withholding Tax / Compensation Filing 2026-10-05

BR insider Form 4 filed for equity award, exercise, or tax withholding

PERRY CHRISTOPHER JOHN (Director, President) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were withheld by the company to settle tax due when equity vested. This is an automatic administrative step and not a decision to sell.

Transactions reported on this filing
Code Nature Shares Price Value
F Tax withholding on vested shares 4,752 $161.15 $765.8K
Filing: Form 4 (Insider Transaction) Insider: PERRY CHRISTOPHER JOHN (Director, President) Shares: 4,752
View on SEC EDGAR → Open Filing Document →
Form 4 Tax withholding Tax / Compensation Filing 2026-10-05

BR insider Form 4 filed for equity award, exercise, or tax withholding

Gokey Timothy C (Director, CEO) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were withheld by the company to settle tax due when equity vested. This is an automatic administrative step and not a decision to sell.

Transactions reported on this filing
Code Nature Shares Price Value
F Tax withholding on vested shares 16,982 $161.15 $2.74M
Filing: Form 4 (Insider Transaction) Insider: Gokey Timothy C (Director, CEO) Shares: 16,982
View on SEC EDGAR → Open Filing Document →
Form 4 Tax withholding Tax / Compensation Filing 2026-10-05

BR insider Form 4 filed for equity award, exercise, or tax withholding

DESCHUTTER DOUGLAS RICHARD (Co-President ICS) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were withheld by the company to settle tax due when equity vested. This is an automatic administrative step and not a decision to sell.

Transactions reported on this filing
Code Nature Shares Price Value
F Tax withholding on vested shares 911 $161.15 $146.8K
Filing: Form 4 (Insider Transaction) Insider: DESCHUTTER DOUGLAS RICHARD (Co-President ICS) Shares: 911
View on SEC EDGAR → Open Filing Document →
Form 4 Option exercise Tax / Compensation Filing 2026-10-05

BR insider Form 4 filed for equity award, exercise, or tax withholding

Ghei Ashima (CFO) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

The insider converted options into shares. The exercise price was fixed when the options were granted, so the timing usually tracks an expiry schedule.

Transactions reported on this filing
Code Nature Shares Price Value
M Option exercise 406 — —
F Tax withholding on vested shares 147 $161.15 $23.7K
F Tax withholding on vested shares 168 $161.15 $27.1K
M Option exercise derivative · FY2024 RSUs October 2023 406 — —
Filing: Form 4 (Insider Transaction) Insider: Ghei Ashima (CFO) Shares: 721
View on SEC EDGAR → Open Filing Document →
Form 4 Compensation award Tax / Compensation Filing 2026-09-28

BR insider Form 4 filed for equity award, exercise, or tax withholding

Nazareth Annette L. (Director) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Transactions reported on this filing
Code Nature Shares Price Value
A Compensation award 180 — —
Filing: Form 4 (Insider Transaction) Insider: Nazareth Annette L. (Director) Shares: 180
View on SEC EDGAR → Open Filing Document →
Form 4 Compensation award Tax / Compensation Filing 2026-09-28

BR insider Form 4 filed for equity award, exercise, or tax withholding

MURRAY EILEEN K (Director) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Transactions reported on this filing
Code Nature Shares Price Value
A Compensation award 389 — —
Filing: Form 4 (Insider Transaction) Insider: MURRAY EILEEN K (Director) Shares: 389
View on SEC EDGAR → Open Filing Document →
Form 4 Compensation award Tax / Compensation Filing 2026-09-28

BR insider Form 4 filed for equity award, exercise, or tax withholding

Zavery Amit (Director) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Transactions reported on this filing
Code Nature Shares Price Value
A Compensation award 180 — —
Filing: Form 4 (Insider Transaction) Insider: Zavery Amit (Director) Shares: 180
View on SEC EDGAR → Open Filing Document →
Form 4 Compensation award Tax / Compensation Filing 2026-09-28

BR insider Form 4 filed for equity award, exercise, or tax withholding

Mosconi Patricia Ann (Director) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Transactions reported on this filing
Code Nature Shares Price Value
A Compensation award 180 — —
Filing: Form 4 (Insider Transaction) Insider: Mosconi Patricia Ann (Director) Shares: 180
View on SEC EDGAR → Open Filing Document →
Form 4 Compensation award Tax / Compensation Filing 2026-09-28

BR insider Form 4 filed for equity award, exercise, or tax withholding

Markus Maura A. (Director) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Transactions reported on this filing
Code Nature Shares Price Value
A Compensation award 209 — —
Filing: Form 4 (Insider Transaction) Insider: Markus Maura A. (Director) Shares: 209
View on SEC EDGAR → Open Filing Document →
Form 4 Compensation award Tax / Compensation Filing 2026-08-14

BR insider Form 4 filed for equity award, exercise, or tax withholding

Stingi Richard John (Corporate VP and CHRO) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Transactions reported on this filing
Code Nature Shares Price Value
A Compensation award 2,172 — —
Filing: Form 4 (Insider Transaction) Insider: Stingi Richard John (Corporate VP and CHRO) Shares: 2,172
View on SEC EDGAR → Open Filing Document →
Form 4 Compensation award Tax / Compensation Filing 2026-08-14

BR insider Form 4 filed for equity award, exercise, or tax withholding

PERRY CHRISTOPHER JOHN (Director, President) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Transactions reported on this filing
Code Nature Shares Price Value
A Compensation award 9,308 — —
Filing: Form 4 (Insider Transaction) Insider: PERRY CHRISTOPHER JOHN (Director, President) Shares: 9,308
View on SEC EDGAR → Open Filing Document →

How we classify Broadridge Financial Solutions, Inc.'s filings

Straight from EDGAR

Each displayed record links to an original source document. StrongBuyAnalytics provides navigation and brief excerpts or summaries, not the filing itself. Parsing may omit context or contain errors, so read the original document in full.

Transaction codes, not guesswork

The nature shown on each insider filing comes from the transaction code the filer entered on the form itself — P for an open-market purchase, A for a compensation award, F for shares withheld to pay tax, M for an option exercise. Where one filing contains several codes, the transaction table lists them line by line.

Why the distinction matters

Insider activity is routinely summarised as buying or selling, which flattens together decisions that mean very different things. Shares withheld for tax on a vesting grant are an automatic administrative step; shares bought on the open market are someone committing their own money at the current price.

What this page does not tell you

A filing records what happened, not why. Form 4 does not always disclose whether a sale was executed under a pre-arranged Rule 10b5-1 plan, and no single filing is a basis for a decision on BR. Read these alongside the fundamentals rather than in isolation.

Frequently Asked Questions — BR SEC Filings

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Publisher, sources & limitations — September 15, 2026. StrongBuyAnalytics provides navigation and brief excerpts or summaries for educational use. Original filings remain at SEC EDGAR or other displayed source links; StrongBuyAnalytics does not author them. Filing dates are source dates, not publication dates for this page. Coverage can be delayed, incomplete, amended, or unavailable because of SEC/source availability, parsing, caching, or outages. Verify every material statement in the original filing.
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