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

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

Rhea-AI Filing Summary

Broadridge Financial Solutions director Markus Maura A. reported acquiring small additional amounts of common stock through two awards of Deferred Stock Units on July 2, 2026. The awards, for 36 and 98 units, were granted under Broadridge’s 2018 Omnibus Award Plan as dividend equivalents on previously issued deferred stock.

The Deferred Stock Units vest in full immediately and will be settled in shares of Broadridge common stock when the director separates from service, reflecting routine, compensation-related equity accrual rather than open-market purchases.

Positive

  • None.

Negative

  • None.
Insider Markus Maura A.
Role null
Type Security Shares Price Value
Grant/Award Common Stock 98 $0.00 --
Grant/Award Common Stock 36 $0.00 --
Holdings After Transaction: Common Stock — 32,682.102 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. 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. 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.
Deferred Stock Units grant 1 36 shares Common Stock award on July 2, 2026
Deferred Stock Units grant 2 98 shares Common Stock award on July 2, 2026
Number of acquisition transactions 2 transactions Both coded as A (grant/award acquisition)
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
"award of additional Deferred Stock Units under Broadridge's 2018 Omnibus Award Plan in connection with the payment of Broadridge's regular quarterly dividend"
Director Deferred Compensation Program financial
"Deferred Stock Units previously issued in lieu of cash compensation under the Director Deferred Compensation Program (the "DCUs ")"
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.
DCUs financial
"in lieu of cash compensation under the Director Deferred Compensation Program (the "DCUs ")"
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Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4UNITED 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*
Markus Maura A.
(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)
XDirector10% 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)
XForm 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)
CodeVAmount(A) or (D)Price
Common Stock07/02/2026A98(1)A$0.000032,682.102D
Common Stock07/02/2026A36(2)A$0.000032,718.102D
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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount 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.
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 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.
Maria Allen, Power of Attorney07/06/2026
** Signature of Reporting PersonDate
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)

Source: View Original Filing on SEC EDGAR

FAQ

What insider transaction did Broadridge (BR) director Markus Maura A. report?

Director Markus Maura A. reported receiving two awards of Deferred Stock Units in Broadridge common stock. These grants were made as dividend equivalents on previously issued deferred stock, increasing his equity-based compensation without any open-market buying or selling.

How many Broadridge (BR) shares were involved in the latest Form 4 filing?

The Form 4 shows awards tied to 36 and 98 Deferred Stock Units, each equal to one share of Broadridge common stock. These are incremental additions to the director’s existing deferred equity position, granted at no cash cost to him.

Were the Broadridge (BR) Deferred Stock Units granted to the director immediately vested?

Yes. The filing states that both the Deferred Stock Units and DCUs vest in full upon grant. Although they vest immediately, they will only be settled in Broadridge common shares when the director separates from service with the company.

Why did Broadridge (BR) grant additional Deferred Stock Units to the director?

The additional Deferred Stock Units were issued in connection with Broadridge’s regular quarterly dividend. Instead of receiving cash, the director received dividend-equivalent units on previously issued deferred stock and DCUs, consistent with the company’s director compensation programs.

What is the Broadridge (BR) 2018 Omnibus Award Plan mentioned in the Form 4?

The 2018 Omnibus Award Plan is Broadridge’s equity compensation program under which the Deferred Stock Units were granted. It allows the company to issue stock-based awards, including the dividend-equivalent units reported for the director in this Form 4 filing.

When will the Broadridge (BR) Deferred Stock Units settle into common shares?

According to the filing, the Deferred Stock Units and DCUs will settle in shares of Broadridge common stock upon, or commencing with, the director’s separation from service. Until then, they remain as deferred, fully vested units recorded in his equity compensation.