Broadridge (NYSE: BR) director gets 206 deferred stock units in grant

Rhea-AI Filing Summary

Broadridge Financial Solutions director Markus A. Maura received an equity award rather than cash fees. On the reported date, he acquired 206 shares of common stock in the form of Deferred Stock Units granted under Broadridge's 2018 Omnibus Award Plan in connection with the Director Deferred Compensation Program.

The Deferred Stock Units vest in full immediately upon grant and represent an equivalent number of Broadridge common shares. They will be settled in shares of common stock when the director separates from service with the company. Following this grant, Maura directly holds 32,229.102 shares of Broadridge common stock.

Insider Trade Summary

1 transaction reported

Mixed 1 txn

Insider Markus Maura A.

Role Director

Type	Security	Shares	Price	Value
Grant/Award	Common Stock	206	$0.00	--

Holdings After Transaction: Common Stock — 32,229.102 shares (Direct)

Footnotes (1)

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Key Figures

Deferred Stock Units granted: 206 units Shares held after transaction: 32,229.102 shares Transaction price per share: $0.0000 per share +1 more

4 metrics

Deferred Stock Units granted 206 units Grant under 2018 Omnibus Award Plan for deferred director cash compensation

Shares held after transaction 32,229.102 shares Total direct holdings of Broadridge common stock after the grant

Transaction price per share $0.0000 per share Equity award, not an open-market purchase or sale

Transaction date 2026-04-07 Date of grant of Deferred Stock Units to the director

Key Terms

Deferred Stock Units, 2018 Omnibus Award Plan, Director Deferred Compensation Program, separation from service

4 terms

Deferred Stock Units financial

"The reported transaction reflects the 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 financial

"grant of Deferred Stock Units under Broadridge's 2018 Omnibus Award Plan in connection with the director's deferral"

Director Deferred Compensation Program financial

"in connection with the director's deferral 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.

separation from service financial

"The DCUs vest in full upon grant and will settle in shares ... commencing with the director's separation from service"

Form 4 Insider Transactions: What Each Field Means →

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^*

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)

X	Director		10% Owner
	Officer (give title below)		Other (specify below)

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
04/07/2026

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	04/07/2026		A		206(1)	A	$0.0000	32,229.102	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

Explanation of Responses:

1. The reported transaction reflects the grant of Deferred Stock Units under Broadridge's 2018 Omnibus Award Plan in connection with the director's deferral of cash compensation under the Director Deferred Compensation Program and represents a like number of shares of Broadridge common stock (the "DCUs"). 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 Attorney	04/08/2026
	** 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)

FAQ

What did Broadridge (BR) director Markus A. Maura report in this Form 4?

Director Markus A. Maura reported receiving 206 Deferred Stock Units tied to Broadridge common stock. These units were granted under the company’s 2018 Omnibus Award Plan in connection with deferring director cash compensation, and they vest in full immediately upon grant.

How many Broadridge (BR) shares does Markus A. Maura hold after this transaction?

After the transaction, Markus A. Maura directly holds 32,229.102 shares of Broadridge common stock. This total reflects his position following the grant of 206 Deferred Stock Units, which are structured to settle in shares at separation from service.

What are the Deferred Stock Units granted to the Broadridge (BR) director?

The Deferred Stock Units are equity awards that mirror 206 shares of Broadridge common stock. They were issued under the 2018 Omnibus Award Plan, vest in full at grant, and will convert into actual shares when the director leaves Broadridge service.

Why did the Broadridge (BR) director receive Deferred Stock Units instead of cash?

The director received Deferred Stock Units in connection with deferring his cash compensation under Broadridge’s Director Deferred Compensation Program. This program lets directors convert cash fees into equity-based units that settle later in shares of common stock.

When will the Broadridge (BR) director’s Deferred Stock Units be settled into shares?

The Deferred Stock Units granted to the director will settle in Broadridge common stock when he separates from service with the company. Until that time, the units remain as deferred equity representing an equal number of underlying common shares.