Broadridge (BR) Corporate VP receives 5,275 performance-based RSUs in equity grant

Rhea-AI Filing Summary

Broadridge Financial Solutions, Inc. reported that Corporate VP Thomas P. Carey acquired 5,275 shares of common stock through a grant of Restricted Stock Units under Broadridge's 2018 Omnibus Award Plan, tied to a three-year performance period. These RSUs will vest and convert into shares of common stock on October 1, 2026, bringing Carey's directly held common stock position to 11,301 shares following the award.

Insider Trade Summary

Net Buyer: 5,275 shares

Net Buy 1 txn

Insider Carey Thomas P

Role Corporate VP

Type	Security	Shares	Price	Value
Grant/Award	Common Stock F1	5,275	$0.00	$0.00

Holdings After Transaction: Common Stock — 11,301 shares (Direct)

Footnotes (1)

1. F1. The reported transaction reflects the amount of Restricted Stock Units granted under Broadridge's 2018 Omnibus Award Plan as determined at the end of a three-year performance period and represent a like number ofshares of Broadridge common stock. The Restricted Stock Units will vest and convert into shares of Broadridge common stock on October 1, 2026.

Key Figures

RSUs granted: 5,275 shares Shares owned after transaction: 11,301 shares Vesting date: October 1, 2026 +1 more

4 metrics

RSUs granted 5,275 shares Restricted Stock Units granted under 2018 Omnibus Award Plan after three-year performance period

Shares owned after transaction 11,301 shares Directly owned Broadridge common stock following the RSU award

Vesting date October 1, 2026 Date RSUs will vest and convert into Broadridge common stock

Transaction price per share $0.0000 Awarded RSUs reported with no cash price per share

Key Terms

Restricted Stock Units, 2018 Omnibus Award Plan, three-year performance period

3 terms

Restricted Stock Units financial

"The reported transaction reflects the amount of Restricted Stock Units granted under Broadridge's 2018"

Restricted stock units are a type of company reward where employees are promised shares of stock, but they only fully own these shares after meeting certain conditions, like staying with the company for a set time. They matter because they can become valuable assets and are often used to motivate employees to help the company succeed.

2018 Omnibus Award Plan financial

"Units granted under Broadridge's 2018 Omnibus Award Plan as determined at the end of a three-year"

three-year performance period financial

"granted under Broadridge's 2018 Omnibus Award Plan as determined at the end of a three-year performance"

FAQ

What did Broadridge (BR) insider Thomas P. Carey report in this Form 4?

Corporate VP Thomas P. Carey reported a grant of 5,275 Restricted Stock Units, representing an equal number of Broadridge common shares, awarded under the 2018 Omnibus Award Plan after a three-year performance period.

How many Broadridge (BR) shares does Thomas P. Carey hold after this transaction?

After the reported award, Thomas P. Carey directly holds 11,301 shares of Broadridge common stock. This total reflects the addition of the 5,275 shares associated with the newly granted Restricted Stock Units.

What type of transaction was reported in Broadridge (BR) insider Thomas P. Carey’s Form 4?

The transaction is coded “A”, indicating a grant, award, or other acquisition of common stock. Specifically, it reflects Restricted Stock Units granted as equity compensation, not an open-market purchase or sale.

When will Thomas P. Carey’s Broadridge (BR) Restricted Stock Units vest?

The Restricted Stock Units granted to Thomas P. Carey are scheduled to vest and convert on October 1, 2026. At that time, they will convert into an equal number of Broadridge common stock shares, assuming vesting conditions are met.

Are Thomas P. Carey’s Broadridge (BR) RSUs tied to performance?

Yes. The filing states the award amount was determined at the end of a three-year performance period. The 5,275 Restricted Stock Units were granted under Broadridge’s 2018 Omnibus Award Plan based on that performance assessment.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Form 4 Insider Transactions: What Each Field Means →

Available on EDGAR 08/14/2026 - 10:09 AM Accepted by SEC EDGAR 08/14/2026 - 10:08 AM Learn about SEC filing dates

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Carey Thomas P

(Last) (First) (Middle)

5 DAKOTA DRIVE

(Street)

LAKE SUCCESS NEW YORK 11042

(City) (State) (Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
BROADRIDGE FINANCIAL SOLUTIONS, INC. [ BR ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	Corporate VP

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
08/12/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Common Stock	08/12/2026(1)		A		5,275	A	$0.0000	11,301	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

1. The reported transaction reflects the amount of Restricted Stock Units granted under Broadridge's 2018 Omnibus Award Plan as determined at the end of a three-year performance period and represent a like number ofshares of Broadridge common stock. The Restricted Stock Units will vest and convert into shares of Broadridge common stock on October 1, 2026.

	Maria Allen, Power of Attorney	08/13/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)