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Broadridge (NYSE: BR) CFO gains shares after RSUs vest and taxes withheld

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

Rhea-AI Filing Summary

Broadridge Financial Solutions CFO Ashima Ghei had FY2024 RSUs vest and convert into common stock, with part of the shares withheld for taxes. On June 27, 2026, 2,509 Restricted Stock Units vested and became an equal number of common shares. To cover tax liabilities on this vesting, 905 of those shares were withheld, based on a price of $137.93 per share. The transactions reflect routine equity compensation mechanics rather than open‑market trading, and Ghei ended the day holding 5,561 shares of Broadridge common stock directly.

Positive

  • None.

Negative

  • None.
Insider Ghei Ashima
Role CFO
Type Security Shares Price Value
Exercise FY2024 RSUs June 2024 2,509 $0.00 --
Exercise Common Stock 2,509 $0.00 --
Tax Withholding Common Stock 905 $137.93 $125K
Holdings After Transaction: FY2024 RSUs June 2024 — 0 shares (Direct, null); Common Stock — 6,466 shares (Direct, null)
Footnotes (1)
  1. Each Restricted Stock Unit represented one share of Broadridge common stock and on June 27, 2026 2,509 Restricted Stock Units vested and converted into an equal number of shares of common stock. Represents the amount of shares withheld to cover tax liabilities upon the vesting of 2,509 Restricted Stock Units that vested and converted into an equal number of shares of common stock on June 27, 2026.
RSUs vested 2,509 shares Restricted Stock Units converted to common stock on June 27, 2026
Shares withheld for taxes 905 shares Withheld to cover tax liabilities on RSU vesting
Tax withholding reference price $137.93 per share Price used for 905-share tax-withholding disposition
Shares owned after transactions 5,561 shares Direct holdings of common stock following June 27, 2026 events
RSU derivative position remaining 0 RSUs FY2024 RSUs June 2024 award fully converted; no remaining derivative units
Restricted Stock Unit financial
"Each Restricted Stock Unit represented one share of Broadridge common stock and on June 27, 2026 2,509 Restricted Stock Units vested..."
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.
vested and converted financial
"2,509 Restricted Stock Units vested and converted into an equal number of shares of common stock."
tax liabilities financial
"Represents the amount of shares withheld to cover tax liabilities upon the vesting of 2,509 Restricted Stock Units..."
tax-withholding disposition financial
"transaction_action": "tax-withholding disposition""
A tax-withholding disposition is an event or transaction—such as selling or transferring securities, exercising options, or receiving compensation—that triggers a requirement to hold back part of the payment and remit it to tax authorities. It matters to investors because it reduces the cash they receive immediately and can change the timing and amount of taxable income, like a cashier taking a portion of your sale proceeds to pay taxes before you get the rest.
derivative exercise/conversion financial
"transaction_action": "derivative exercise/conversion""
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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*
Ghei Ashima
(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)
Director10% Owner
XOfficer (give title below)Other (specify below)
CFO
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
06/27/2026		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 Stock06/27/2026M2,509A$0.0000(1)6,466D
Common Stock06/27/2026F905D$137.93(2)5,561D
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
FY2024 RSUs June 2024$0.0000(1)06/27/2026M2,509 (1) (1)Common Stock2,509$0.0000(1)0.0000D
Explanation of Responses:
1. Each Restricted Stock Unit represented one share of Broadridge common stock and on June 27, 2026 2,509 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 2,509 Restricted Stock Units that vested and converted into an equal number of shares of common stock on June 27, 2026.
Maria Allen, Power of Attorney06/29/2026
** 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) CFO Ashima Ghei report in this Form 4?

Broadridge CFO Ashima Ghei reported vesting of 2,509 Restricted Stock Units that converted into the same number of common shares. A portion of these shares was withheld to satisfy tax liabilities tied to the vesting event, a standard equity compensation practice.

How many Broadridge (BR) RSUs vested for the CFO and when?

A total of 2,509 Restricted Stock Units vested for the CFO on June 27, 2026. Each unit represented one share of Broadridge common stock, so 2,509 common shares were issued upon vesting, consistent with the terms of the FY2024 RSUs June 2024 grant.

How many Broadridge (BR) shares were withheld for taxes in this filing?

The filing shows 905 common shares were withheld to cover tax liabilities related to the RSU vesting. These withheld shares are treated as a tax-withholding disposition rather than an open-market sale and are tied directly to the 2,509 vested RSUs.

What is the CFO’s Broadridge (BR) share ownership after these transactions?

After these transactions, CFO Ashima Ghei directly owns 5,561 shares of Broadridge common stock. This figure reflects the RSU vesting, the related tax-withholding of 905 shares, and the resulting net increase in her directly held common share position.

Were any of the Broadridge (BR) CFO’s transactions open-market buys or sells?

None of the reported transactions were open-market purchases or sales. The Form 4 shows an RSU conversion to common stock and a tax-withholding disposition, both classified as compensation-related and not indicative of discretionary market trading activity.