Broadridge (BR) director Brett Keller receives additional deferred stock unit awards

Rhea-AI Filing Summary

keller brett reported acquisition or exercise transactions in this Form 4 filing.

BROADDRIDGE FINANCIAL SOLUTIONS, INC. director Brett Keller received equity-based compensation in the form of additional Deferred Stock Units tied to the company’s regular quarterly dividend. The awards cover 54 shares and 26 shares of common stock equivalents under Broadridge’s 2018 Omnibus Award Plan.

The footnotes explain that both Deferred Stock Unit grants vest in full upon grant and will settle in shares of Broadridge common stock when the director separates from service. Following these routine compensation-related awards, Keller holds 16,968 shares of common stock directly.

Insights

Equity compensation analyst

Director received routine dividend-linked stock unit awards, not open-market purchases.

Director Brett Keller was awarded additional Deferred Stock Units representing 54 and 26 shares of Broadridge common stock. These arise from the company’s regular quarterly dividend applied to previously granted deferred units under the 2018 Omnibus Award Plan and the Director Deferred Compensation Program.

Because the awards vest immediately but settle only upon separation from service, they extend Keller’s long-term equity exposure rather than reflecting a trading decision. There were no open-market buys or sells, and post-transaction direct holdings are 16,968 shares, suggesting a routine compensation update rather than a thesis-changing event.

Insider Trade Summary

2 transactions reported

Mixed 2 txns

Insider keller brett

Role Director

Type	Security	Shares	Price	Value
Grant/Award	Common Stock	54	$0.00	--
Grant/Award	Common Stock	26	$0.00	--

Holdings After Transaction: Common Stock — 16,942 shares (Direct)

Footnotes (1)

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. 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 Unit grant 1: 54 shares Deferred Stock Unit grant 2: 26 shares Post-transaction holdings: 16,968 shares +2 more

5 metrics

Deferred Stock Unit grant 1 54 shares Additional Deferred Stock Units tied to regular quarterly dividend

Deferred Stock Unit grant 2 26 shares Additional Deferred Stock Units under Director Deferred Compensation Program

Post-transaction holdings 16,968 shares Common stock directly held after reported awards

Transaction price per share $0.0000 per share Compensation-related awards, not open-market purchases

Transaction code A Grant, award, or other acquisition of non-derivative common stock

Key Terms

Deferred Stock Units, 2018 Omnibus Award Plan, regular quarterly dividend, Director Deferred Compensation Program, +1 more

5 terms

Deferred Stock Units financial

"The reported transaction reflects the 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

"award of additional Deferred Stock Units under Broadridge's 2018 Omnibus Award Plan in connection with the payment"

regular quarterly dividend financial

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

Director Deferred Compensation Program financial

"Deferred Stock Units 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.

vest in full upon grant financial

"The Deferred Stock Units vest in full upon grant and will settle in shares"

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^*

keller brett

(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)
04/08/2026

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	04/08/2026		A		54(1)	A	$0.0000	16,942	D
Common Stock	04/08/2026		A		26(2)	A	$0.0000	16,968	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	04/09/2026
	** 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 Brett Keller acquire in Broadridge (BR) according to this Form 4?

Brett Keller received two grants of Deferred Stock Units representing 54 and 26 shares of Broadridge common stock. These units are dividend-related awards under the 2018 Omnibus Award Plan and increase his equity-based compensation rather than reflecting an open-market share purchase or sale.

Is Brett Keller buying or selling Broadridge (BR) shares in this filing?

This filing does not show open-market buying or selling. Instead, Keller acquired additional Deferred Stock Units as compensation, tied to Broadridge’s regular quarterly dividend on previously issued units, which will later settle in shares when he leaves board service.

How many Broadridge (BR) shares does Brett Keller hold after these transactions?

After the reported Deferred Stock Unit awards, Brett Keller directly holds 16,968 shares of Broadridge common stock. This figure reflects his position following the two compensation-related acquisitions recorded in the Form 4, not including any other potential deferred or derivative interests outside this filing.

What are Deferred Stock Units in the Broadridge (BR) director compensation context?

Deferred Stock Units are share-based awards that mirror Broadridge common stock but pay out later. For directors, the units typically vest immediately and convert into actual shares only when the director separates from service, aligning compensation with long-term shareholder value and deferring receipt of stock.

Why did Broadridge (BR) grant additional Deferred Stock Units to Brett Keller?

The additional Deferred Stock Units were granted in connection with payment of Broadridge’s regular quarterly dividend on common stock underlying previously issued deferred units, including those issued in lieu of cash under the Director Deferred Compensation Program, effectively reinvesting dividends into more stock units.

Do the Deferred Stock Units granted to Brett Keller vest immediately?

Yes, the footnotes state that both types of Deferred Stock Units vest in full upon grant. However, they will only settle and convert into shares of Broadridge common stock when Brett Keller separates from service as a director, deferring actual share delivery until that time.