Broadridge director Nazareth receives two stock awards

The awarded units vest in full upon grant, with settlement in Broadridge common shares tied to the director’s separation from service.

Rhea-AI Filing Summary

Broadridge Financial Solutions (BR) director Annette L. Nazareth received two additional Deferred Stock Unit awards on October 5, 2026: 22 units tied to common stock underlying DCUs previously issued in lieu of cash compensation under the Director Deferred Compensation Program, and 18 units tied to common stock underlying previously issued Deferred Stock Units. Both awards were made in connection with payment of Broadridge’s regular quarterly dividend.

Insider Trade Summary

Grant/Award: 40 shares

Grant/Award 2 txns

Insider Nazareth Annette L.

Role Director

Type	Security	Shares	Price	Value
Grant/Award	Common Stock F1	22	$0.00	$0.00
Grant/Award	Common Stock F2	18	$0.00	$0.00

Holdings After Transaction: Common Stock — 9,834 shares (Direct)

Footnotes (2)

1. F1. 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.
2. F2. 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.

Key Figures

Deferred Stock Units awarded: 22 Deferred Stock Units Deferred Stock Units awarded: 18 Deferred Stock Units

2 metrics

Deferred Stock Units awarded 22 Deferred Stock Units Awarded October 5, 2026; the amount represents a like number of shares of Broadridge common stock.

Deferred Stock Units awarded 18 Deferred Stock Units Awarded October 5, 2026; the amount represents a like number of shares of Broadridge common stock.

Key Terms

Deferred Stock Units, 2018 Omnibus Award Plan, Director Deferred Compensation Program, DCUs

4 terms

Deferred Stock Units financial

"award of additional Deferred Stock Units"

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

"under Broadridge's 2018 Omnibus Award Plan"

Director Deferred Compensation Program financial

"underlying the 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.

DCUs financial

"the "DCUs""

FAQ

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

How many deferred stock units did BR director Annette L. Nazareth receive?

On October 5, 2026, director Annette L. Nazareth received two awards: 22 additional Deferred Stock Units tied to common stock underlying DCUs previously issued in lieu of cash compensation under the Director Deferred Compensation Program, and 18 additional Deferred Stock Units tied to common stock underlying previously issued Deferred Stock Units.

When will BR director Annette L. Nazareth’s deferred stock units vest and settle?

Both awards vest in full upon grant. The 22-unit award will settle in Broadridge common stock commencing with the director’s separation from service; the 18-unit award will settle in Broadridge common stock upon the director’s separation from service.

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

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Available on EDGAR 10/06/2026 - 11:33 AM Accepted by SEC EDGAR 10/06/2026 - 11:32 AM 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^*

Nazareth Annette L.

(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)

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

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
10/05/2026

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	10/05/2026		A		22(1)	A	$0.0000	9,816	D
Common Stock	10/05/2026		A		18(2)	A	$0.0000	9,834	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 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.

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. 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.

	Maria Allen, Power of Attorney	10/06/2026
	** 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)