Broadridge (BR) director receives additional deferred stock units as dividend-based awards

Rhea-AI Filing Summary

Nazareth Annette L. reported acquisition or exercise transactions in this Form 4 filing.

Broadridge Financial Solutions director Annette L. Nazareth reported routine equity awards rather than open-market trades. She received two grants of Deferred Stock Units tied to Broadridge’s regular quarterly dividend, covering 18 and 21 units, each representing the same number of shares of common stock.

The Deferred Stock Units vest in full upon grant and will settle in Broadridge common shares when she separates from service as a director. These awards function as non-cash compensation and do not involve any purchase or sale of stock in the market.

Insider Trade Summary

2 transactions reported

Mixed 2 txns

Insider Nazareth Annette L.

Role null

Type	Security	Shares	Price	Value
Grant/Award	Common Stock	21	$0.00	--
Grant/Award	Common Stock	18	$0.00	--

Holdings After Transaction: Common Stock — 9,596 shares (Direct, null)

Footnotes (1)

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 in lieu of cash compensation under the Director Deferred Compensation Program (the "DCUs "). This amount represents a like number of shares of Broadridge common stock. The DCUs vest in full upon grant and will settle in shares of Broadridge common stock commencing with the director's separation from service with Broadridge. 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.

Key Figures

Deferred Stock Units grant 1: 18 units Deferred Stock Units grant 2: 21 units Total new Deferred Stock Units: 39 units +2 more

5 metrics

Deferred Stock Units grant 1 18 units Award of additional Deferred Stock Units linked to regular quarterly dividend

Deferred Stock Units grant 2 21 units Second award of additional Deferred Stock Units linked to regular quarterly dividend

Total new Deferred Stock Units 39 units Sum of reported awards granted on the same date

Transaction price per unit $0.00 Non-cash grant/award acquisition of common stock equivalents

Transaction date 2026-07-02 Grant date for the two Deferred Stock Unit awards

Key Terms

Deferred Stock Units, 2018 Omnibus Award Plan, Director Deferred Compensation Program, regular quarterly dividend, +1 more

5 terms

Deferred Stock Units financial

"The reported transaction reflects the award of additional Deferred Stock Units under Broadridge's 2018 Omnibus Award Plan"

Deferred stock units are promises from a company to give an employee shares of stock at a future date, often after certain conditions are met or after leaving the company. They function like a form of delayed compensation, allowing employees to earn shares over time. For investors, they represent potential future ownership in the company, but do not provide immediate voting rights or dividends until the shares are actually received.

2018 Omnibus Award Plan financial

"The reported transaction reflects the award of additional Deferred Stock Units under Broadridge's 2018 Omnibus Award Plan"

Director Deferred Compensation Program financial

"Deferred Stock Units previously issued in lieu of cash compensation under the Director Deferred Compensation Program"

A director deferred compensation program is an arrangement that lets a company delay paying part of a board member’s fees or bonuses until a future date, often at retirement or after leaving the board. It matters to investors because it affects a company’s long‑term cash commitments and executive incentives—like a timed savings plan that can align directors’ decisions with the company’s future performance while creating future liabilities on the balance sheet.

regular quarterly dividend financial

"in connection with the payment of Broadridge's regular quarterly dividend on the common stock underlying the Deferred Stock Units"

separation from service financial

"will settle in shares of Broadridge common stock commencing with the director's separation from service with Broadridge"

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Form 4 Insider Transactions: What Each Field Means →

Available on EDGAR 07/06/2026 - 12:29 PM Accepted by SEC EDGAR 07/06/2026 - 12:29 PM 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^*

Nazareth Annette L.

(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)

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

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
07/02/2026

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	07/02/2026		A		21(1)	A	$0.0000	9,596	D
Common Stock	07/02/2026		A		18(2)	A	$0.0000	9,614	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 in lieu of cash compensation under the Director Deferred Compensation Program (the "DCUs "). This amount represents a like number of shares of Broadridge common stock. The DCUs vest in full upon grant and will settle in shares of Broadridge common stock commencing with the director's separation from service with Broadridge.

2. 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	07/06/2026
	** 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)

FAQ

What insider transaction did Broadridge (BR) director Annette L. Nazareth report?

Annette L. Nazareth reported receiving Deferred Stock Units as compensation. The Form 4 shows two awards of Deferred Stock Units linked to Broadridge’s regular quarterly dividend, representing additional common stock to be delivered after her service as director ends.

How many Broadridge (BR) Deferred Stock Units were granted to the director?

The director received 39 Deferred Stock Units in total. One transaction reflects 18 units and another 21 units. Each Deferred Stock Unit corresponds to one share of Broadridge common stock to be delivered in the future after separation from service.

Were Broadridge (BR) shares bought or sold in this Form 4 filing?

No Broadridge shares were bought or sold on the open market. The filing reports non-cash compensation awards of Deferred Stock Units at a price of zero, rather than discretionary purchases or sales of existing common stock.

When do the Broadridge (BR) Deferred Stock Units reported in this filing vest?

The reported Deferred Stock Units vest in full upon grant. According to the footnotes, these units are fully vested immediately and will later settle in Broadridge common stock once the director separates from service with the company.

What Broadridge (BR) plan governs the Deferred Stock Unit awards in this Form 4?

The awards are granted under Broadridge’s 2018 Omnibus Award Plan. Footnotes explain that additional Deferred Stock Units were issued in connection with regular quarterly dividends on previously issued director compensation units under this plan.

How are Broadridge (BR) director Deferred Stock Units related to cash compensation?

The Deferred Stock Units are issued in lieu of or linked to director compensation. Footnotes note prior Deferred Stock Units issued instead of cash under the Director Deferred Compensation Program, with new units granted when regular quarterly dividends are paid on underlying shares.