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Broadridge (NYSE: BR) director defers cash pay into stock units

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

Nazareth Annette L. reported acquisition or exercise transactions in this Form 4 filing.

Broadridge Financial Solutions director Annette L. Nazareth received a grant of 206 Deferred Stock Units, representing the same number of common shares, in lieu of cash director compensation. The units vest in full upon grant and will settle in Broadridge common stock after her separation from service, bringing her direct holdings to 9,575 shares.

Positive

  • None.

Negative

  • None.
Insider Nazareth Annette L.
Role null
Type Security Shares Price Value
Grant/Award Common Stock 206 $0.00 --
Holdings After Transaction: Common Stock — 9,575 shares (Direct, null)
Footnotes (1)
  1. [object Object]
Deferred Stock Units granted 206 units Grant of DCUs in lieu of cash director compensation
Transaction price per share $0.00 per share Non-cash grant under compensation and award plans
Shares held after transaction 9,575 shares Total direct holdings following grant
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
"The reported transaction reflects the grant of Deferred Stock Units under Broadridge's 2018 Omnibus Award Plan"
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.
DCUs financial
"represents a like number of shares of Broadridge common stock (the "DCUs")"
separation from service financial
"will settle in shares of Broadridge common stock commencing with the director's separation from service with Broadridge"
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Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4UNITED 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*
Nazareth Annette L.
(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)
XDirector10% Owner
Officer (give title below)Other (specify below)
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
06/10/2026		6. Individual or Joint/Group Filing (Check Applicable Line)
XForm 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)
CodeVAmount(A) or (D)Price
Common Stock06/10/2026A206(1)A$0.00009,575D
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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount 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 Attorney06/11/2026
** Signature of Reporting PersonDate
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 Annette L. Nazareth report on this Form 4?

Annette L. Nazareth reported receiving 206 Deferred Stock Units tied to Broadridge common stock. The grant reflects deferred cash compensation under the company’s director program and increases her directly held and deferred share-based position to a total of 9,575 shares.

How many Broadridge (BR) shares were granted to the director in this filing?

The director received 206 Deferred Stock Units, representing 206 shares of Broadridge common stock. These units are awarded at a transaction price of $0.00 per share as part of her deferred board compensation, not as an open-market stock purchase.

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

The Deferred Stock Units were granted under Broadridge’s 2018 Omnibus Award Plan. They were issued in connection with the Director Deferred Compensation Program, where the director chose to defer cash compensation into stock-based units instead of receiving immediate cash payments.

When do the Broadridge (BR) Deferred Stock Units vest and settle?

The Deferred Stock Units vest in full upon grant, meaning there is no waiting period for vesting. They will settle in shares of Broadridge common stock starting when the director separates from service with the company, aligning payout timing with her board departure.

What are the director’s Broadridge (BR) holdings after this Form 4 transaction?

Following this grant, Annette L. Nazareth holds 9,575 shares of Broadridge common stock directly, including the Deferred Stock Units. This figure reflects her position after the 206-unit award and provides context on the scale of this compensation-related transaction.