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  4. [Form 4] BROADRIDGE FINANCIAL SOLUTIONS, INC. Insider Trading Activity

BR director Pamela Carter receives 21 DSUs under 2018 plan

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

Broadridge Financial Solutions, Inc. (BR) director Pamela L. Carter received an award of 21 Deferred Stock Units on 10/02/2025 under the company's 2018 Omnibus Award Plan in connection with the payment of the regular quarterly dividend on underlying common stock. The report shows the DSUs vest in full upon grant and will settle into shares of Broadridge common stock when the director separates from service. Following the reported grant, Ms. Carter beneficially owned 7,282 shares or share-equivalents. The transaction was reported on Form 4 and signed by a power of attorney on 10/03/2025.

Positive

  • Director award granted under established 2018 Omnibus Award Plan
  • Deferred Stock Units vest in full upon grant, providing immediate compensation recognition

Negative

  • None.

Insights

Small dividend-linked director award of 21 DSUs recorded; vests immediately and settles at departure.

The filing documents a routine grant of 21 Deferred Stock Units tied to the company dividend policy, awarded under the 2018 Omnibus Award Plan. These units "vest in full upon grant" and convert to common stock only upon the director's separation from service, meaning there is no immediate share issuance.

This is a standard director-compensation mechanism and does not indicate a change in board composition or a material shift in ownership; the director's total reported beneficial ownership is 7,282 shares or equivalents.

Insider Carter Pamela L
Role Director
Type Security Shares Price Value
Grant/Award Common Stock 21 $0.00 --
Holdings After Transaction: Common Stock — 7,282 shares (Direct)
Footnotes (1)
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Form 4 Insider Transactions: What Each Field Means →
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).
1. Name and Address of Reporting Person*
Carter Pamela L
(Last) (First) (Middle)
5 DAKOTA DRIVE
(Street)
LAKE SUCCESS NY 11042
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
BROADRIDGE FINANCIAL SOLUTIONS, INC. [ BR ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
10/02/2025
4. If Amendment, Date of Original Filed (Month/Day/Year)
 6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
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 10/02/2025 A 21(1) A $0.0000 7,282 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 award of additional Deferred Stock Units under Broadridge's 2018 Omnibus Award Plan in connection with the payment of Broadridge's regular quarterly dividend on the common stock underlying the Deferred Stock Units previously issued. This amount represents a like number of shares of Broadridge common stock. The Deferred Stock Units vest in full upon grant and will settle in shares of Broadridge common stock upon the director's separation from service with Broadridge.
Maria Allen, Power of Attorney 10/03/2025
** 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.

Source: View Original Filing on SEC EDGAR

FAQ

What did Broadridge director Pamela L. Carter acquire (Form 4)?

She was awarded 21 Deferred Stock Units on 10/02/2025 tied to dividend payment; units vest in full and will settle into shares upon separation.

How many shares does Pamela L. Carter beneficially own after this transaction?

The Form 4 reports 7,282 shares or share-equivalents beneficially owned following the reported award.

When will the Deferred Stock Units convert into Broadridge common stock?

The filing states the DSUs "will settle in shares of Broadridge common stock upon the director's separation from service."

Under which plan were the DSUs awarded?

They were awarded under Broadridge's 2018 Omnibus Award Plan in connection with the quarterly dividend on underlying common stock.

When was the Form 4 filed or signed?

The signature by power of attorney is dated 10/03/2025, reporting a transaction dated 10/02/2025.