BR Form 4: Director awarded 51 dividend-equivalent DSUs on 10/02/2025

Rhea-AI Filing Summary

Brett Keller, a director of Broadridge Financial Solutions, Inc. (BR), reported on a Form 4 that on 10/02/2025 he was awarded additional Deferred Stock Units (DSUs) tied to Broadridge common stock as dividend equivalents. The filing shows two non‑cash acquisitions: 35 DSUs under the 2018 Omnibus Award Plan (regular quarterly dividend on underlying DSUs) and 16 DSUs in lieu of cash compensation under the Director Deferred Compensation Program (DCUs). Both awards vest in full upon grant and will settle into Broadridge common stock when the director separates from service.

After these transactions Mr. Keller beneficially owned 16,057 shares in total. The reported price per acquired unit is $0.0000, reflecting issuance as dividend equivalents rather than cash purchases. The Form 4 was signed via power of attorney on 10/03/2025.

Positive

• Director increased beneficial ownership by 51 Deferred Stock Units to a total of 16,057 shares
• Awards vest in full upon grant and will settle into common stock on separation, aligning director compensation with shareholder outcomes

Negative

• None.

Insights

Corporate Governance Analyst

Director received 51 dividend-equivalent DSUs, increasing holdings to 16,057 shares.

This Form 4 records routine equity-based compensation for a director: 35 DSUs under the 2018 Omnibus Plan and 16 DCUs awarded as dividend equivalents on 10/02/2025. Both awards vest immediately and will convert to common stock upon the director's separation from service, which means these are deferred, non-cash grants tied to long-term service.

The transactions are reported at a $0.0000 price because they are issued as dividend equivalents rather than purchased shares. For investors, this is a governance/compensation disclosure rather than a trading signal; it documents an increase in an insider's deferred equity position to 16,057 shares.

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

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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

1. Name and Address of Reporting Person^*

keller brett

(Last) (First) (Middle)

5 DAKOTA DRIVE

(Street)

LAKE SUCCESS NY 11042

(City) (State) (Zip)

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)

3. Date of Earliest Transaction (Month/Day/Year)
10/02/2025

4. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

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	10/02/2025		A		35(1)	A	$0.0000	16,041	D
Common Stock	10/02/2025		A		16(2)	A	$0.0000	16,057	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	10/03/2025
	** 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.
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FAQ

What did Broadridge director Brett Keller report on Form 4 (BR)?

On 10/02/2025 Brett Keller reported acquisition of 35 DSUs and 16 DCUs (total 51 units) awarded as dividend equivalents, increasing his beneficial ownership to 16,057 shares.

Were the shares purchased or granted for free in the Form 4 for BR?

The transactions show a reported price of $0.0000, indicating these were granted as dividend-equivalent Deferred Stock Units, not cash purchases.

When do the Deferred Stock Units reported by BR vest and settle?

The filing states the DSUs and DCUs vest in full upon grant and will settle into Broadridge common stock upon the director's separation from service.

What is the effective date of the reported transactions on the Form 4 for BR?

The transaction date is 10/02/2025, and the Form 4 was signed via power of attorney on 10/03/2025.

Does the Form 4 indicate any sale or disposal of Broadridge stock by the director?

No. The Form 4 reports only acquisitions (awards) of Deferred Stock Units; there are no disposals reported.