Broadridge director Robert N. Duelks receives 146 stock units

The units vest in full upon grant and will settle in Broadridge common stock when the director separates from service.

Rhea-AI Filing Summary

Broadridge Financial Solutions director Robert N. Duelks received 146 Deferred Stock Units on October 5, 2026, under the 2018 Omnibus Award Plan, in connection with the regular quarterly dividend on common stock underlying previously issued units. The units vest in full upon grant and will settle in shares when he separates from service. His reported direct common-stock holdings following the award were 21,231 shares; reported indirect holdings included 4,474 shares in BOMAR II LLC, 17,000 in Mary E. Duelks 2020 Irrevocable Trust and 8,600 in Robert N. Duelks 2007 Revocable Trust.

Insider Trade Summary

Grant/Award: 146 shares

Grant/Award 4 txns

Insider Duelks Robert N

Role Director

Type	Security	Shares	Price	Value
Grant/Award	Common Stock F1	146	$0.00	$0.00
holding	Common Stock	--	--	--
holding	Common Stock	--	--	--
holding	Common Stock	--	--	--

Holdings After Transaction: Common Stock — 21,231 shares (Direct); Common Stock — 4,474 shares (Indirect, BOMAR II LLC); Common Stock — 17,000 shares (Indirect, Mary E. Duelks 2020 Irrevocable Trust); Common Stock — 8,600 shares (Indirect, Robert N. Duelks 2007 Revocable Trust)

Footnotes (1)

1. F1. 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 awarded: 146 Deferred Stock Units Direct common-stock holdings: 21,231 shares BOMAR II LLC indirect holdings: 4,474 shares +2 more

5 metrics

Deferred Stock Units awarded 146 Deferred Stock Units Award on October 5, 2026

Direct common-stock holdings 21,231 shares Reported following the October 5, 2026 award

BOMAR II LLC indirect holdings 4,474 shares Reported October 5, 2026

Mary E. Duelks 2020 Irrevocable Trust indirect holdings 17,000 shares Reported October 5, 2026

Robert N. Duelks 2007 Revocable Trust indirect holdings 8,600 shares Reported October 5, 2026

Key Terms

Deferred Stock Units, Omnibus Award Plan, vest in full upon grant, separation from service

4 terms

Deferred Stock Units financial

"award of additional Deferred Stock Units"

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.

Omnibus Award Plan financial

"under Broadridge's 2018 Omnibus Award Plan"

vest in full upon grant financial

"Deferred Stock Units vest in full upon grant"

separation from service financial

"upon the director's separation from service"

FAQ

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

How many Deferred Stock Units did BR director Robert N. Duelks receive?

Robert N. Duelks, a Broadridge director, received 146 Deferred Stock Units on October 5, 2026. The award was made under Broadridge's 2018 Omnibus Award Plan in connection with the regular quarterly dividend on common stock underlying previously issued units.

How many BR shares did Robert N. Duelks report holding after the award?

After the October 5, 2026 transaction, Robert N. Duelks reported 21,231 shares held directly. Separately reported indirect holdings were 4,474 shares in BOMAR II LLC, 17,000 shares in Mary E. Duelks 2020 Irrevocable Trust, and 8,600 shares in Robert N. Duelks 2007 Revocable Trust.

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

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Available on EDGAR 10/06/2026 - 11:33 AM Accepted by SEC EDGAR 10/06/2026 - 11:32 AM 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^*

Duelks Robert N

(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)
10/05/2026

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	10/05/2026		A		146(1)	A	$0.0000	21,231	D
Common Stock								4,474	I	BOMAR II LLC
Common Stock								17,000	I	Mary E. Duelks 2020 Irrevocable Trust
Common Stock								8,600	I	Robert N. Duelks 2007 Revocable Trust

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	10/06/2026
	** 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)