BROADRIDGE FINANCIAL SOLUTIONS, INC. (NYSE:BR) Files An 8-K Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

BROADRIDGE FINANCIAL SOLUTIONS, INC. (NYSE:BR) Files An 8-K Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers
Item 5.02.

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.

(b) and (c) On September 11, 2018, the Board of Directors of Broadridge Financial Solutions, Inc. (“Broadridge” or the “Company”) accepted the resignation of Richard J. Daly as Chief Executive Officer of Broadridge, appointed Mr. Daly Executive Chairman of the Board of Directors, and appointed Leslie A. Brun, the current Chairman of the Board, Lead Independent Director of the Board, all effective as of January 2, 2019.

Also, on September 11, 2018, the Board accepted the resignation of Timothy C. Gokey as Chief Operating Officer of Broadridge and appointed Mr. Gokey Chief Executive Officer of Broadridge, both as of January 2, 2019. Mr. Gokey, 57 years old, has served as the Company’s Chief Operating Officer and President since 2012 and 2017, respectively. Mr. Gokey served as the Company’s Senior Vice President, Chief Corporate Development Officer upon joining the Company in 2010 through 2012. Prior to joining Broadridge, Mr. Gokey was President of the Retail Tax business at H&R Block, a position he held for six years, and had spent 13 years at the consulting firm McKinsey and Company.

On September 12, 2018, the Company issued a press release announcing the above leadership changes, a copy of which is furnished as Exhibit 99.1 to this Form 8-K.

Item 9.01.Financial Statements and Exhibits.

Exhibits. The following exhibit is filed herewith:

ExhibitNo.

Description

Broadridge Financial Solutions, Inc. Press Release, dated September 12, 2018.


BROADRIDGE FINANCIAL SOLUTIONS, INC. Exhibit
EX-99.1 2 ex991leadershipannounce.htm EXHIBIT 99.1 Exhibit EXHIBIT 99.1Broadridge Announces Tim Gokey Will be Next CEO; Rich Daly to Become Executive ChairmanEffective on January 2,…
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About BROADRIDGE FINANCIAL SOLUTIONS, INC. (NYSE:BR)

Broadridge Financial Solutions, Inc. (Broadridge) is a provider of investor communications and technology-driven solutions to banks, broker-dealers, mutual funds and corporate issuers. The Company’s segments include Investor Communication Solutions, and Global Technology and Operations. The Company offers Bank/Broker-Dealer Investor Communication Solutions, Customer Communication Solutions, Corporate Issuer Solutions, Advisor Solutions and Mutual Fund and Retirement Solutions through Investor Communication Solutions segment. The Company offers a middle- and back-office securities processing platform for North American and global broker-dealers. Its services include investor and customer communications, securities processing, and data and analytics solutions. The Company delivers a range of solutions that helps its clients serve their retail and institutional customers across the entire investment lifecycle, including pre-trade, trade, and post-trade processing functionality.

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