Broadridge director granted dividend-linked stock units

Markus Maura A. reported acquisition or exercise transactions in this Form 4 filing.

Rhea-AI Filing Summary

Markus Maura A. reported acquisition or exercise transactions in this Form 4 filing.

Broadridge Financial Solutions director Markus Maura A. reported two awards of additional Deferred Stock Units, in amounts of 57 and 19 units of common stock, granted in connection with Broadridge's regular quarterly dividend under the 2018 Omnibus Award Plan and related director compensation programs. These units vest in full upon grant and will settle in Broadridge common stock upon the director's separation from service. Following the reported awards, the director directly holds 31,321.102 shares of Broadridge common stock.

Insights

Corporate Governance Specialist

Director received dividend-related Deferred Stock Units that vest immediately and convert to shares on separation.

The Form 4 discloses two separate dividend-related awards of Deferred Stock Units: 57 units under the 2018 Omnibus Award Plan and 19 units tied to DCUs, both awarded on 10/02/2025. The filing specifies a $0.0000 price and immediate vesting upon grant.

This means the director's compensation is being delivered in stock units that increase direct beneficial ownership and will convert to common shares only upon separation from service; the disclosure is routine for dividend-equivalent awards and consistent with the company’s plans.

Securities Compliance Analyst

Form 4 properly reports Section 16 activity and uses a power of attorney signature.

The filing notes it was filed by one reporting person and signed by Maria Allen as power of attorney on 10/03/2025. Transaction codes and explanatory footnotes identify the awards as dividend-equivalent Deferred Stock Units and state settlement terms.

From a compliance perspective, the Form 4 provides the required transaction details (dates, codes, amounts, price) and explains the award mechanics; no corrective amendment or missing information is indicated in the filing.

Insider Trade Summary

Grant/Award: 76 shares

Grant/Award 2 txns

Insider Markus Maura A.

Role Director

Type	Security	Shares	Price	Value
Grant/Award	Common Stock	57	$0.00	$0.00
Grant/Award	Common Stock	19	$0.00	$0.00

Holdings After Transaction: Common Stock — 31,321.102 shares (Direct)

Footnotes (2)

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.
2. F2. 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.

Key Figures

Deferred stock units granted: 57 Deferred stock units granted: 19 Common stock held after transaction: 31,321.102 shares +1 more

4 metrics

Deferred stock units granted 57 Additional Deferred Stock Units awarded in connection with regular quarterly dividend

Deferred stock units granted 19 Additional Deferred Stock Units tied to director deferred compensation units

Common stock held after transaction 31,321.102 shares Direct holdings of Broadridge common stock following reported awards

Grant price per share $0.0000 Reported per-share price for Deferred Stock Unit awards

Key Terms

Deferred Stock Units, 2018 Omnibus Award Plan, Director Deferred Compensation Program, regular quarterly dividend

4 terms

Deferred Stock Units financial

"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

"under Broadridge's 2018 Omnibus Award Plan in connection with the payment"

Director Deferred Compensation Program financial

"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.

regular quarterly dividend financial

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

FAQ

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

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

Broadridge reported that director Markus Maura A. received two awards of additional Deferred Stock Units, tied to its regular quarterly dividend and director compensation programs, which vest immediately and will settle in common stock when the director separates from service.

How many Deferred Stock Units did Broadridge (BR) grant in this Form 4?

The filing shows awards of 57 and 19 additional Deferred Stock Units, each representing an equivalent number of Broadridge common shares, granted as dividend-related credits on previously issued deferred stock and director deferred compensation units.

Under what plan were the Broadridge (BR) Deferred Stock Units granted?

The additional Deferred Stock Units were granted under Broadridge's 2018 Omnibus Award Plan, in connection with payment of its regular quarterly dividend on common stock underlying previously issued deferred stock and director deferred compensation units.

How do Broadridge (BR) Deferred Stock Units from this filing vest and settle?

The Deferred Stock Units vest in full upon grant and will settle in shares of Broadridge common stock when the director separates from service, with Director Deferred Compensation Program units settling commencing with that separation event.

How many Broadridge (BR) shares does Markus Maura A. hold after these awards?

After the reported awards, director Markus Maura A. directly holds 31,321.102 shares of Broadridge common stock, as the reported post-transaction common stock position in the filing's holdings data.

Were the Broadridge (BR) Deferred Stock Units granted at a cash purchase price?

No cash purchase was reported; the Form 4 shows a $0.0000 per-share price for the Deferred Stock Unit awards, indicating they were granted as equity compensation rather than acquired through an open-market purchase.

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

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Accepted by SEC EDGAR 10/03/2025 - 10:35 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).

1. Name and Address of Reporting Person^*

Markus Maura A.

(Last) (First) (Middle)

5 DAKOTA DRIVE

(Street)

LAKE SUCCESS NY 11042

(City) (State) (Zip)

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)

3. Date of Earliest Transaction (Month/Day/Year)
10/02/2025

4. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

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	10/02/2025		A		57(1)	A	$0.0000	31,302.102	D
Common Stock	10/02/2025		A		19(2)	A	$0.0000	31,321.102	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 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.

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 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.

	Maria Allen, Power of Attorney	10/03/2025
	** 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).
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