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.

As previously reported, on September 11, 2018, the Board of Directors (the “Board”) of Broadridge Financial Solutions, Inc. (the “Company”) appointed Timothy C. Gokey, the Company’s current President and Chief Operating Officer, to the role of Chief Executive Officer of the Company, effective January 2, 2019. On December 12, 2018, the Board also appointed Mr. Gokey as a director of the Company, effective January 2, 2019, to fill a vacancy on the Board created by the retirement of Richard J. Haviland, to serve until such time as his successor is elected and qualified, or until his earlier death, resignation or removal.

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 the Company, 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.

There are no arrangements or understandings between Mr. Gokey and any other persons to which he was selected as an officer or director. Mr. Gokey has no direct or indirect material interest in any transaction required to be disclosed to Item 404(a) of Regulation S-K.

Mr. Gokey will not receive any additional compensation as a result of his appointment to the Board. Mr. Gokey will not serve as a member of any of the Company’s three standing Board committees, which are comprised solely of independent directors.

Item 8.01.Other Events

On December 13, 2018, the Company issued a press release announcing Mr. Gokey’s appointment to the Board. A copy of the press release is attached as Exhibit 99.1 to this Form 8-K and is incorporated herein by reference.

Item 9.01 Financial Statements and Exhibits.

Exhibits. The following exhibit is filed herewith:

BROADRIDGE FINANCIAL SOLUTIONS, INC. Exhibit
EX-99.1 2 exhibit991prregokeychange.htm EXHIBIT 99.1 Exhibit EXHIBIT 99.1Tim Gokey Elected to the Board of Directors of BroadridgeNEW YORK,…
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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.