Broadridge (BR) director Mosconi receives dividend-linked deferred stock units

Filing Impact

(Neutral)

Filing Sentiment

(Neutral)

Form Type

Rhea-AI Filing Summary

Mosconi Patricia Ann reported acquisition or exercise transactions in this Form 4 filing.

Broadridge Financial Solutions director Patricia Ann Mosconi received an automatic stock-based award tied to her existing deferred units. She was granted 2 additional Deferred Stock Units of common stock on the basis of Broadridge's regular quarterly dividend, increasing her directly held equivalent common stock units to 432 shares. The Deferred Stock Units vest in full upon grant and will be settled in Broadridge common stock when she separates from service as a director, reflecting routine dividend-equivalent compensation rather than an open-market share purchase.

Insider Trade Summary

1 transaction reported

Mixed 1 txn

Insider Mosconi Patricia Ann

Role Director

Type	Security	Shares	Price	Value
Grant/Award	Common Stock	2	$0.00	--

Holdings After Transaction: Common Stock — 432 shares (Direct)

Footnotes (1)

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Key Figures

Deferred Stock Units granted: 2 shares Price per awarded share: $0.00 per share Holdings after transaction: 432 shares +2 more

5 metrics

Deferred Stock Units granted 2 shares Award of additional Deferred Stock Units on 2026-04-08

Price per awarded share $0.00 per share Grant/award acquisition with no cash price

Holdings after transaction 432 shares Total equivalent common shares directly held after award

Transaction code A Grant, award, or other acquisition of common stock

Transaction date 2026-04-08 Date of Deferred Stock Unit award

Key Terms

Deferred Stock Units, 2018 Omnibus Award Plan, regular quarterly dividend, vest in full upon grant, +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

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

regular quarterly dividend financial

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

vest in full upon grant financial

"The Deferred Stock Units vest in full upon grant and will settle in shares"

separation from service financial

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

Form 4 Insider Transactions: What Each Field Means →

04/09/2026 - 02:24 PM

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^*

Mosconi Patricia Ann

(Last)

(First)

(Middle)

C/O BROADRIDGE FINANCIAL SOLUTIONS, INC.

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)
04/08/2026

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)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock	04/08/2026		A		2⁽¹⁾	A	$0.0000	432	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)
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)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)

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	04/09/2026
	** 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)

Source: View Original Filing on SEC EDGAR

FAQ

What did Broadridge (BR) director Patricia Ann Mosconi report in this Form 4?

Patricia Ann Mosconi reported receiving 2 additional Deferred Stock Units of Broadridge common stock. These units were granted as a routine dividend-equivalent award and increased her directly held equivalent common stock units to 432 shares following the transaction.

Was the Broadridge (BR) Form 4 transaction an open-market stock purchase or sale?

The transaction was not an open-market trade. It reflects a grant of 2 Deferred Stock Units awarded in connection with Broadridge’s regular quarterly dividend, under its 2018 Omnibus Award Plan, rather than a discretionary market purchase or sale.

How many Broadridge (BR) shares does Patricia Ann Mosconi hold after this award?

Following the award, Patricia Ann Mosconi beneficially holds the equivalent of 432 shares of Broadridge common stock directly. This figure includes the newly granted 2 Deferred Stock Units that were added to her previously issued deferred stock unit balance.

Why did Broadridge (BR) grant additional Deferred Stock Units to Patricia Ann Mosconi?

The company granted the additional Deferred Stock Units in connection with payment of its regular quarterly dividend. The award provides dividend-equivalent value on the common stock underlying Deferred Stock Units previously issued to Patricia Ann Mosconi under Broadridge’s 2018 Omnibus Award Plan.

When do Patricia Ann Mosconi’s Broadridge (BR) Deferred Stock Units vest and settle?

The Deferred Stock Units vest in full upon grant, meaning there is no additional service requirement. They will settle in shares of Broadridge common stock when Patricia Ann Mosconi separates from service as a director, converting the deferred units into actual shares at that time.

Does the Broadridge (BR) Form 4 indicate any derivative or option exercises?

The Form 4 does not show any derivative or option exercises. It reports only a single non-derivative transaction: the grant or award acquisition of 2 Deferred Stock Units of Broadridge common stock as dividend-equivalent compensation for the reporting director.