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Broadridge (NYSE: BR) director receives dividend-linked stock unit awards

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

Rhea-AI Filing Summary

Broadridge Financial Solutions director Annette L. Nazareth reported two awards of common stock on April 8. She received 17 shares and 16 shares of common stock at a stated price of $0.00 per share, both classified as grant or award acquisitions.

Footnotes explain these represent additional Deferred Stock Units (DSUs) credited under Broadridge's 2018 Omnibus Award Plan in connection with regular quarterly dividends on previously issued deferred units. The DSUs vest in full upon grant and will be settled in shares of Broadridge common stock when the director separates from service. Following these awards, her directly held common stock position reported in this filing is 9,369 shares.

Positive

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Insider Nazareth Annette L.
Role Director
Type Security Shares Price Value
Grant/Award Common Stock 17 $0.00 --
Grant/Award Common Stock 16 $0.00 --
Holdings After Transaction: Common Stock — 9,353 shares (Direct)
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.
Stock award 1 17 shares Grant/award acquisition of common stock on April 8
Stock award 2 16 shares Second grant/award acquisition of common stock on April 8
Total shares after transactions 9,369 shares Direct common stock holdings reported following second transaction
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
"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"
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.
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*
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)
XDirector10% Owner
Officer (give title below)Other (specify below)
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
04/08/2026		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 Stock04/08/2026A17(1)A$0.00009,353D
Common Stock04/08/2026A16(2)A$0.00009,369D
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 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 Attorney04/09/2026
** 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 did Broadridge (BR) director Annette Nazareth report in this Form 4?

Annette Nazareth reported two stock awards totaling 33 shares of Broadridge common stock. These are Deferred Stock Units granted as compensation, not open-market purchases, and are tied to regular quarterly dividends on previously issued deferred units.

How many Broadridge (BR) shares were granted to the director in this filing?

The filing shows grants of 17 shares and 16 shares of Broadridge common stock, for a total of 33 shares. Both entries are recorded at a price of $0.00 per share as stock-based compensation awards, not cash purchases in the market.

What are the Deferred Stock Units mentioned in the Broadridge (BR) Form 4?

The Deferred Stock Units are compensation units credited under Broadridge's 2018 Omnibus Award Plan. They mirror a like number of Broadridge common shares, vest in full upon grant, and will be settled in actual shares when the director leaves Broadridge’s board service.

Why did Annette Nazareth receive additional units under Broadridge’s (BR) plans?

The additional units were granted in connection with payment of Broadridge’s regular quarterly dividend. They are credited on the common stock underlying previously issued deferred units, effectively reinvesting dividends into additional Deferred Stock Units rather than paying cash.

What is the director’s reported Broadridge (BR) shareholding after these transactions?

After the reported grants, Annette Nazareth’s directly held common stock position in Broadridge is 9,369 shares. This figure reflects the total non-derivative common stock reported following the second award transaction recorded in the Form 4.

When will the Broadridge (BR) Deferred Stock Units for the director be settled?

The Deferred Stock Units vest in full immediately upon grant but do not settle right away. According to the footnotes, they will settle in shares of Broadridge common stock beginning when the director separates from service with the company.