Broadridge Financial Solutions, Inc.

The full register, from 13F filings

The Register tab above is hand research: a dozen holders, each traced to the filing it came from. This asks the same question of the whole market for the quarter ended 31-mar-2026, where 1,040 managers reported a position. Broad where the research is deep, and shallow in the ways a 13F always is.

Built from 13F filings, which report US listed, long, US custodied positions only. A register from this source is a floor rather than a level: a holder's true position can be far larger, as BlackRock's ASML stake shows at 1.28m shares in a 13F against 26.3m in its 13G/A. Holdings held through derivatives, outside US custody, or below a manager's reporting obligation do not appear. Where a holder is marked as a family, its total sums several separate filing entities and describes something no single filing describes; the constituent entities and their share counts are listed so the total can be checked. That roll-up can legitimately exceed the family's own Schedule 13G, because a 13G is filed by one legal entity: Vanguard reports Alphabet through ten advisory entities, and The Vanguard Group Inc itself reported zero after its January 2026 disaggregation.

What a reader needs to know to read these numbers

• Client securities are explicitly excluded. Broadridge's core business is investor communications (proxy distribution, ProxyEdge, regulatory disclosure) and securities processing/clearing technology performed on behalf of banks, broker-dealers, asset managers and issuers. Any securities Broadridge processes, votes, transmits, or holds in a custodial/agency capacity for clients are client property, not Broadridge assets, and are excluded from holdings here exactly as this project excludes PNC's, Ameriprise's, T. Rowe Price's and Apollo's client books. The FY2026 10-K's 'Investments' note and its 'Digital Assets' note (Note 2.U) were both read in full; nothing in either describes client-held securities as a Broadridge equity position.
• Former-parent check (Automatic Data Processing, Inc. / ADP), verified both directions. Broadridge was spun off from ADP in 2007; the FY2026 10-K and the current DEF 14A (filed 2 Oct 2025) were both searched for 'Automatic Data Processing' and 'ADP'. The only hits are biographical: director/officer bios noting service at ADP's Brokerage Services Group before the spin-off. Neither filing lists ADP as a current shareholder, related party, or counterparty. The proxy's own 'Five Percent Owners of Common Stock' table (stale, based on Dec 2023/Jan 2024 Schedule 13G/A filings) names only The Vanguard Group, Inc. (11.91%) and BlackRock, Inc. (8.33%); ADP does not appear. ADP is itself a large operating company, not an investment manager, and files no 13F, so a 13F-based absence check is not applicable; the SEC-filing absence (no 13D/13G, no proxy mention, no related-party disclosure) is the evidence used here. Conclusion: no evidence ADP retains any Broadridge stake nearly two decades after the spin-off; this is a sourced absence finding per the brief's Keysight-not-Delta standard, not an assumption.
• Holdings side is a single named position. The FY2026 10-K (period 30 Jun 2026, filed 4 Aug 2026, the most current filing, fresher than any 10-Q per the brief's fiscal-year-end rule) was searched for 'equity method', 'unconsolidated', 'joint venture', 'non-marketable', 'strategic investment' and 'noncontrolling interest' ('noncontrolling interest' returned 0 hits under that exact spelling; 'variable interest entity' and 'VIE' were also searched). Two equity-type items exist outside client processing: (1) Canton Strategic Holdings, Inc. (CNTN), a named, publicly traded Nasdaq company in which Broadridge holds 6.1 million common shares (from warrant exercise) plus 11.2 million unexercised pre-funded warrants ($31.6 million fair value, 30 Jun 2026), entered as the one holdings row; and (2) an UNNAMED equity-method investment in a variable interest entity, carrying value $24.4 million as of 30 Jun 2026, plus a future funding commitment of $20.2 million to 'other investees' (also unnamed, plural). Neither the VIE nor the 'other investees' are named anywhere in the 10-K text searched, so per the brief's rule for unnamed investees, NO holdings row was created for them; they are recorded here and in unknowns instead, with the combined/unattributable figures kept out of any per-company row.
• Broadridge has a single class of common stock ($0.01 par value, one vote per share); no dual-class or founder-control structure. No stock split, forward split or reverse split was found in the FY2026 10-K (searched 'stock split', 'forward split', 'reverse split': 0 hits each).
• Fiscal periods used. Broadridge's fiscal year ends 30 June. The FY2026 10-K (filed 4 Aug 2026, period 30 Jun 2026) is the source for company financials, the equity-method/investments notes and shares outstanding; it postdates Broadridge's last 10-Q (filed 30 Apr 2026, period 31 Mar 2026), so per the brief's fiscal-year-end rule the 10-K was used rather than the stale 10-Q. The DEF 14A used for the register (filed 2 Oct 2025, record date 31 Jul 2025) is the most recent proxy as of this research date; Broadridge's next annual meeting and proxy would normally follow in autumn 2026, after this research date.
• Register: 15 rows (11 filed_13f institutional rows individually re-verified against Q2 2026 [30 Jun 2026] 13F-HR info tables, 1 institutional row [Janus Henderson] carried forward from this project's pre-built Q1 2026 register because no Q2 2026 13F-HR was found on EDGAR for it as of 18 Aug 2026, 1 CEO row rolled into the officer/director aggregate, and 1 officer/director aggregate group). Self-gate computed from this final file with the chart's own formula (aggregate reduced to its residual of 1,325,075 minus Gokey's 701,213 = 623,862; every other row at full value): total shares 54,345,493, against 114,021,798 shares outstanding, = 47.66%. This sits slightly above the brief's typical 25-45% band but inside the 15-55% tolerance, driven by the large Vanguard family sweep (13.06%) and BlackRock (9.44%) together accounting for over a fifth of the company.
• Vanguard family: 8 entities summed (2 refreshed to Q2 2026, 6 carried at Q1 2026 from this project's own pre-built 13F register), per the parent-13F-NT branch of the Vanguard rule; see the Vanguard row's method_note for the full entity/CIK list and both vintages.
• Capital Group was checked and is NOT a Broadridge holder of any size found: none of Capital World Investors, Capital International Investors or Capital Research Global Investors appear in this project's pre-built 13F register for BR (40 holders down to roughly the 500-share range), so no Capital Group row is included; this is a checked absence, not an unchecked gap.