Broadridge CFO Ashima Ghei acquires 406 shares

Q: How many BR shares did CFO Ashima Ghei acquire from RSUs?

Ashima Ghei acquired 406 Broadridge common shares when 406 restricted stock units vested and converted on October 1, 2026.

Q: How many BR shares were withheld in Ashima Ghei's October 2026 transactions?

The reported transactions include 147 shares delivered or withheld for payment of exercise price or tax liability at $161.15 per share, plus 168 shares withheld for tax liabilities upon vesting of 466 performance-based RSUs on October 1, 2026.

The withholding component includes 168 shares tied to vesting of 466 performance-based RSUs.

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Form Type

Rhea-AI Filing Summary

Broadridge Financial Solutions, Inc. (BR) CFO Ashima Ghei reported that 406 restricted stock units vested and converted into 406 common shares on October 1, 2026. The transactions also include 147 common shares delivered or withheld for payment of exercise price or tax liability at $161.15 per share, and 168 shares withheld for tax liabilities upon vesting of 466 performance-based RSUs on that date.

Insider Trade Summary

406 shares exercised/converted

Exercise 4 txns

Insider Ghei Ashima

Role CFO

Type	Security	Shares	Price	Value
Exercise	FY2024 RSUs October 2023 ^F1	406	$0.00	$0.00
Exercise	Common Stock ^F1	406	$0.00	$0.00
Exercise Price or Tax Liability	Common Stock	147	$161.15	$24K
Tax Withholding	Common Stock ^F2	168	$161.15	$27K

Holdings After Transaction: FY2024 RSUs October 2023 — 0 contracts (Direct); Common Stock — 6,118 shares (Direct)

Footnotes (2)

F1. Each Restricted Stock Unit represented one share of Broadridge common stock and on October 1, 2026 406 Restricted Stock Units vested and converted into an equal number of shares of common stock.
F2. Represents the amount of shares withheld to cover tax liabilities upon the vesting of 466 performance based Restricted Stock Units that vested and converted into an equal number of shares of common stock on October 1, 2026.

Key Figures

Restricted stock units vested: 406 RSUs Common shares acquired on conversion: 406 shares Shares delivered or withheld: 147 shares +3 more

6 metrics

Restricted stock units vested 406 RSUs October 1, 2026

Common shares acquired on conversion 406 shares October 1, 2026

Shares delivered or withheld 147 shares For payment of exercise price or tax liability

Price per share $161.15 per share Reported for the 147-share and 168-share transactions on October 1, 2026

Shares withheld for tax liabilities 168 shares Upon vesting of performance-based RSUs on October 1, 2026

Performance-based RSUs vested 466 RSUs October 1, 2026

Key Terms

Restricted Stock Unit, performance based Restricted Stock Units, vesting

3 terms

Restricted Stock Unit financial

"Each Restricted Stock Unit represented one share"

A restricted stock unit is a promise from a company to give an employee shares of stock after certain conditions are met, like staying with the company for a set amount of time. It’s like earning a bonus that turns into company stock once you’ve proven your commitment, making it a way to motivate and reward employees.

performance based Restricted Stock Units financial

"vesting of 466 performance based Restricted Stock Units"

Performance-based restricted stock units are a form of employee pay where shares are promised but only delivered if the company meets specific performance targets over time. Like a trophy awarded to a team after hitting certain goals, they align employee incentives with business results and can affect future share counts and earnings—so investors watch them for signals about management’s motivation, potential dilution, and the likelihood of meeting growth or profit targets.

vesting financial

"upon the vesting of 466 performance based Restricted Stock Units"

Vesting is the process by which you earn full ownership of something, like company stock or a retirement benefit, over time. It’s like earning the right to keep a gift piece by piece the longer you stay with a company, making sure employees stay committed before they receive all the benefits.

FAQ

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

How many BR shares did CFO Ashima Ghei acquire from RSUs?

Ashima Ghei acquired 406 Broadridge common shares when 406 restricted stock units vested and converted on October 1, 2026.

How many BR shares were withheld in Ashima Ghei's October 2026 transactions?

The reported transactions include 147 shares delivered or withheld for payment of exercise price or tax liability at $161.15 per share, plus 168 shares withheld for tax liabilities upon vesting of 466 performance-based RSUs on October 1, 2026.

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

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Available on EDGAR 10/05/2026 - 05:24 PM Accepted by SEC EDGAR 10/05/2026 - 05:24 PM

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^*

Ghei Ashima

(Last)

(First)

(Middle)

605 THIRD AVENUE

(Street)

NEW YORK

10158

(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)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
	CFO

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
10/01/2026

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)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock	10/01/2026		M		406	A	$0.0000⁽¹⁾	6,433	D
Common Stock	10/01/2026		F		147	D	$161.15	6,286	D
Common Stock	10/01/2026		F		168	D	$161.15⁽²⁾	6,118	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)
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)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
FY2024 RSUs October 2023	$0.0000⁽¹⁾	10/01/2026		M			406	⁽¹⁾	⁽¹⁾	Common Stock	406	$0.0000⁽¹⁾	0.0000	D

Explanation of Responses:

1. Each Restricted Stock Unit represented one share of Broadridge common stock and on October 1, 2026 406 Restricted Stock Units vested and converted into an equal number of shares of common stock.

2. Represents the amount of shares withheld to cover tax liabilities upon the vesting of 466 performance based Restricted Stock Units that vested and converted into an equal number of shares of common stock on October 1, 2026.

	Maria Allen, Power of Attorney	10/05/2026
	** 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)

Source: View Original Filing on SEC EDGAR