Broadridge VP Thomas P. Carey sells 2,501 shares

The sale covered tax liabilities upon vesting of 5,275 performance based Restricted Stock Units.

Rhea-AI Filing Summary

Thomas P. Carey, Corporate VP of Broadridge Financial Solutions, Inc. (BR), sold 2,501 shares of common stock on October 1, 2026, at $159.76 per share. The shares were sold to cover tax liabilities upon vesting of 5,275 performance based Restricted Stock Units, which converted into an equal number of common shares. Carey directly held 8,800 shares after the transaction; no Rule 10b5-1 plan is reported.

Insider Trade Summary

Net Seller: 2,501 shares

Net Sell 1 txn

Insider Carey Thomas P

Role Corporate VP

Sold 2,501 shs ($400K)

Type	Security	Shares	Price	Value
Sale	Common Stock F1	2,501	$159.76	$400K

Holdings After Transaction: Common Stock — 8,800 shares (Direct)

Footnotes (1)

1. F1. Represents the amount of shares sold to cover tax liabilities upon the vesting of 5,275 performance based Restricted Stock Units that vested and converted into an equal number of shares of common stock on October 1, 2026.

Key Figures

Common shares sold: 2,501 shares Sale price: $159.76 per share Direct common shares held after transaction: 8,800 shares +1 more

4 metrics

Common shares sold 2,501 shares October 1, 2026

Sale price $159.76 per share October 1, 2026

Direct common shares held after transaction 8,800 shares After the October 1, 2026 transaction

Performance based Restricted Stock Units vested 5,275 units Vested and converted into an equal number of common shares on October 1, 2026

Key Terms

performance based Restricted Stock Units, vesting, tax liabilities

3 terms

performance based Restricted Stock Units financial

"vesting of 5,275 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

"that vested and converted into an equal number of shares"

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.

tax liabilities financial

"shares sold to cover tax liabilities"

FAQ

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

How many BR shares did Thomas P. Carey sell, and at what price?

Thomas P. Carey, Broadridge Financial Solutions’ Corporate VP, sold 2,501 common shares on October 1, 2026, at $159.76 per share. The shares were sold to cover tax liabilities upon vesting of 5,275 performance based Restricted Stock Units. No Rule 10b5-1 plan is reported.

How many BR shares did Thomas P. Carey hold after the sale?

Carey directly held 8,800 common shares after the transaction 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 Learn about SEC filing dates

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^*

Carey Thomas P

(Last) (First) (Middle)

605 THIRD AVENUE

(Street)

NEW YORK 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)
	Corporate VP

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)
			Code	V	Amount	(A) or (D)	Price
Common Stock	10/01/2026		S		2,501	D	$159.76(1)	8,800	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. Represents the amount of shares sold to cover tax liabilities upon the vesting of 5,275 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)