8-K

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

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FORM 8-K

CURRENT REPORT

Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934

Date of Report (Date of earliest event reported): August 3, 2017

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BROADRIDGE FINANCIAL SOLUTIONS, INC.

(Exact name of registrant as specified in its charter)

DELAWARE

(State or other jurisdiction of incorporation)

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001-33220	33-1151291
(Commission file number)	(I.R.S. Employer Identification No.)

5 Dakota Drive

Lake Success, New York 11042

(Address of principal executive offices)

Registrant’s telephone number, including area code: (516) 472-5400

N/A

(Former name or former address, if changed since last report)

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Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

[ ] Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

[ ] Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

[ ] Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

[ ] Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

[ ] Emerging growth company

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.

Item 5.02. Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.

(b) On August 3, 2017, the Board of Directors of Broadridge Financial Solutions, Inc. (“Broadridge” or the “Company”) accepted the resignation of Richard J. Daly as President of the Company, effective as of the close of business on September 1, 2017. Mr. Daly will continue in his roles as Chief Executive Officer and a Director of the Company.

(c) In addition, on August 3, 2017, the Broadridge Board of Directors appointed Timothy C. Gokey as President of the Company, which appointment is effective as of the close of business on September 1, 2017. Mr. Gokey will also continue in his role as Chief Operating Officer of the Company. Mr. Gokey is 56 years old, and has served as the Company’s Chief Operating Officer since 2012. 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.

Item 9.01. Financial Statements and Exhibits

Exhibits. The following exhibit is filed herewith:

Exhibit No.	Description
99.1	Press Release dated August 3, 2017.

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

Dated: August 3, 2017

BROADRIDGE FINANCIAL SOLUTIONS, INC.

By: /s/ Adam D. Amsterdam

        Name: Adam D. Amsterdam

        Title: General Counsel

EX-99.1

EXHIBIT 99.1

BROADRIDGE APPOINTS TIM GOKEY PRESIDENT

LAKE SUCCESS, N.Y., August 3, 2017 - Broadridge Financial Solutions, Inc. (NYSE: BR) today announced that Tim Gokey has been appointed President, effective September 1, 2017. Mr. Gokey is assuming the title of President from Broadridge Chief Executive Officer Rich Daly, who remains Chief Executive Officer and a Director of the Company. Mr. Gokey will also continue in his role as Chief Operating Officer.

“Tim has been invaluable to Broadridge’s growth and evolution over the past seven years, and this promotion is a result of his leadership and performance,” said Mr. Daly. “As COO, he has been instrumental in expanding our suite of products and services, both organically and through acquisitions, to drive our growth and enhance our position as a trusted solutions provider. Since the day Tim joined Broadridge, he has helped me and the entire leadership team pursue new opportunities and tackle challenges as a selfless partner.”

Mr. Daly added, “I look forward to continuing to work closely with Tim over the coming years as we position Broadridge to create additional value for all our stakeholders.” Mr. Gokey joined Broadridge in 2010 as Chief Corporate Development Officer and was promoted to Chief Operating Officer in 2012. As COO, Mr. Gokey has been responsible for the overall operation of Broadridge’s business units including both its Investor Communication Solutions and its Global Technology and Operations businesses.

Prior to joining Broadridge, Mr. Gokey was President of the Retail Tax business at H&R Block from 2004. Previously, he spent 13 years at McKinsey and Company, most recently as a partner of the firm. At McKinsey, Mr. Gokey served over two dozen Fortune 500 and 1000 companies, primarily in the financial services industry, and led McKinsey’s North American Financial Services Sales and Marketing Practice.

“I am incredibly proud of Broadridge and its more than 10,000 dedicated associates,” Mr. Gokey said. “The financial services industry continues to need transformation to digital and mutualized solutions and Broadridge will continue to lead this change. I appreciate the vote of confidence from Rich and the Board and look forward to continuing to work with Rich and our team to create new value for Broadridge’s clients, associates, and shareholders.”

About Broadridge

Broadridge Financial Solutions, Inc. (BR) a global fintech leader, provides investor communications and technology-driven solutions for broker-dealers, banks, mutual funds, and corporate issuers globally. Broadridge’s investor communications, securities processing and managed services solutions help clients reduce their capital investments in operations infrastructure, allowing them to increase their focus on core business activities.  With over 50 years of experience, Broadridge’s infrastructure underpins proxy voting services for over 90 percent of public companies and mutual funds in North America, and processes more than $5 trillion in fixed income and equity trades per day.  Broadridge employs over 10,000 full-time associates in 16 countries.

For more information about Broadridge, please visit www.broadridge.com.

Contact:

Investors:

Edings Thibault

Investor Relations

(516) 472-5129

Media:

Gregg Rosenberg

Corporate Communications

(212) 918-6966