Broadridge (BR) director reports dividend-based deferred stock unit grants

Rhea-AI Filing Summary

Broadridge Financial Solutions director reports small stock-based awards tied to dividends. A company director received two awards of deferred stock units on 01/05/2026 under Broadridge’s 2018 Omnibus Award Plan: one for 19 units and another for 17 units of common stock, each at a grant price of $0.0000. These awards were issued as additional units credited in connection with Broadridge’s regular quarterly dividend on common stock underlying previously issued deferred stock units and director deferred compensation units.

The deferred stock units and director deferred compensation units vest in full immediately upon grant and represent an equivalent number of shares of Broadridge common stock. They will be settled in shares of common stock when the director separates from service with Broadridge. After these transactions, the director’s beneficial ownership in common stock, including these units, is reported as directly held.

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

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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^*

Zavery Amit

(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)
01/05/2026

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	01/05/2026		A		19(1)	A	$0.0000	8,500	D
Common Stock	01/05/2026		A		17(2)	A	$0.0000	8,517	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 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.

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. 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	01/06/2026
	** 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).
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FAQ

What insider transaction did Broadridge Financial Solutions (BR) report?

A director of Broadridge Financial Solutions reported receiving two small dividend-related awards of deferred stock units on 01/05/2026 under the company’s 2018 Omnibus Award Plan.

How many deferred stock units were granted to the Broadridge director?

The director received 19 deferred stock units in one transaction and 17 deferred stock units in another, each effectively representing the right to receive the same number of Broadridge common shares in the future.

Why were these Broadridge deferred stock units (BR) granted at this time?

The filing states the grants reflect awards of additional deferred stock units made in connection with payment of Broadridge’s regular quarterly dividend on the common stock underlying previously issued deferred stock and director deferred compensation units.

Do the Broadridge deferred stock units reported here vest immediately?

Yes. Both the director deferred compensation units and the deferred stock units described in the report vest in full upon grant, according to the explanation of responses.

When will the Broadridge director receive actual shares for these deferred stock units?

The reported deferred stock units and director deferred compensation units will settle in shares of Broadridge common stock when the director separates from service with Broadridge.

Were these Broadridge insider awards paid in cash or stock units?

The awards were made as deferred stock units with a listed grant price of $0.0000, issued instead of cash in connection with dividend equivalents under the director compensation and award programs.