Broadridge grants director Nazareth 2,659 stock options

Available on EDGAR 11/12/2026 - 11:35 AM EST Accepted by SEC EDGAR 11/12/2026 - 11:34 AM EST Learn about SEC filing dates

Rhea-AI Filing Summary

Broadridge Financial Solutions, Inc. (BR) director Annette L. Nazareth received grants on November 10, 2026, of 645 deferred stock units and 2,659 stock options. The deferred stock units vested in full upon grant and will settle in Broadridge common shares when the director separates from service; the options vested immediately and expire November 10, 2036. Reported direct common-stock holdings following the grant were 10,479 shares.

Insider Trade Summary

Grant/Award: 3,304 shares

Grant/Award 2 txns

Insider Nazareth Annette L.

Role Director

Type	Security	Shares	Price	Value
Grant/Award	Stock Option (Right to Buy) F2	2,659	$192.96	$513K
Grant/Award	Common Stock F1	645	$0.00	$0.00

Holdings After Transaction: Stock Option (Right to Buy) — 2,659 options (Direct); Common Stock — 10,479 shares (Direct)

Holdings Before and After: Stock Option (Right to Buy), 0 to 2,659 options (Direct); Common Stock, 9,834 to 10,479 shares (Direct)

Footnotes (2)

1. F1. The reported transaction reflects the grant of Deferred Stock Units under Broadridge's 2018 Omnibus Award Plan and 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. F2. Stock options vest immediately upon grant.

Key Figures

Deferred stock units granted: 645 units Stock options granted: 2,659 options Direct common-stock holdings after grant: 10,479 shares +1 more

4 metrics

Deferred stock units granted 645 units Granted November 10, 2026; each represents a like number of Broadridge common shares.

Stock options granted 2,659 options Granted November 10, 2026; vested immediately and expire November 10, 2036.

Direct common-stock holdings after grant 10,479 shares Reported following the November 10, 2026 grant.

Option expiration date November 10, 2036 Expiration date of the granted stock options.

Key Terms

Deferred Stock Units, 2018 Omnibus Award Plan, vest in full upon grant, settle in shares

4 terms

Deferred Stock Units technical

"grant of 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 technical

"Deferred Stock Units under Broadridge's 2018 Omnibus Award Plan"

vest in full upon grant technical

"The Deferred Stock Units vest in full upon grant"

settle in shares technical

"will settle in shares of Broadridge common stock"

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What did the BR director receive on November 10, 2026?

Director Annette L. Nazareth received 645 deferred stock units and 2,659 stock options. The deferred stock units represent a like number of Broadridge common shares, vested in full upon grant, and will settle in shares when the director separates from service. The options vested immediately.

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

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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)

605 THIRD AVENUE

(Street)

NEW YORK NEW YORK 10158

(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)
11/10/2026

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	11/10/2026		A		645(1)	A	$0.0000	10,479	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
Stock Option (Right to Buy)	$0.0000	11/10/2026		A		2,659		11/10/2026(2)	11/10/2036	Common Stock	2,659	$192.96	2,659	D

Explanation of Responses:

1. The reported transaction reflects the grant of Deferred Stock Units under Broadridge's 2018 Omnibus Award Plan and 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. Stock options vest immediately upon grant.

	Maria Allen, Power of Attorney	11/12/2026
	** 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)