BR Form 4: Director Awarded Dividend-Linked Deferred Stock Units

Rhea-AI Filing Summary

Markus Maura A., a Director of Broadridge Financial Solutions, Inc. (BR), reported two awards of additional Deferred Stock Units on 10/02/2025. The Form 4 shows an award of 57 Deferred Stock Units under the company's 2018 Omnibus Award Plan tied to the regular quarterly dividend and an award of 19 Deferred Stock Units tied to dividends on Deferred Stock Units issued in lieu of director cash compensation (DCUs). Both awards were recorded at a price of $0.0000, vest in full upon grant, and will settle in shares of Broadridge common stock upon the director's separation from service. The report lists beneficial ownership following the transactions as 31,302.102 and 31,321.102 shares (direct), and the Form 4 was signed by a power of attorney on 10/03/2025.

Positive

• Immediate vesting of the awarded Deferred Stock Units on grant increases clarity on director entitlement
• Awards tied to dividends are documented under the 2018 Omnibus Award Plan, showing consistent compensation policy

Negative

• None.

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.

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).
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.

FAQ

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

The Form 4 reports awards of 57 and 19 Deferred Stock Units on 10/02/2025, each recorded at $0.0000, that vest in full upon grant and settle into shares on separation.

Why were the Deferred Stock Units issued to the director?

The filing states the units were awarded in connection with Broadridge's regular quarterly dividend and as dividend equivalents on DCUs issued in lieu of cash compensation.

How many shares does the director report owning after these transactions?

The Form 4 shows beneficial ownership following the reported transactions as 31,302.102 and 31,321.102 shares (direct) for the respective lines reported.

When was the Form 4 filed and who signed it?

The transaction date is 10/02/2025 and the Form 4 shows a power of attorney, Maria Allen, signed the document on 10/03/2025.

Do the Deferred Stock Units have a purchase price?

The reported price for both awards is listed as $0.0000 in the Form 4.