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  4. [Form 4] BROADRIDGE FINANCIAL SOLUTIONS, INC. Insider Trading Activity

BR director Amit Zavery awarded 7,870 and 7,884 Deferred Stock Units

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

Rhea-AI Filing Summary

Broadridge Financial Solutions, Inc. director Amit Zavery received awards of 7,870 and 7,884 Deferred Stock Units (DSUs) on 10/02/2025 under the company's 2018 Omnibus Award Plan. These DSUs were granted in connection with Broadridge's regular quarterly dividend on previously issued Deferred Stock Units and carry a reported price of $0.0000. The DSUs vest in full upon grant and are payable in shares of Broadridge common stock when the director separates from service with the company. The Form 4 was filed by a single reporting person and signed via power of attorney on 10/03/2025.

Positive

  • 7,870 and 7,884 Deferred Stock Units awarded, reflecting ongoing director compensation
  • DSUs vest in full upon grant, providing immediate entitlement to the award
  • DSUs will settle in shares at director separation, aligning compensation with equity

Negative

  • None.

Insights

Director received additional dividend-equivalent DSUs that vest immediately and settle at separation.

The filing shows 7,870 and 7,884 Deferred Stock Units awarded on 10/02/2025 as dividend-equivalents under Broadridge's 2018 Omnibus Award Plan. The units carry a reported grant price of $0.0000, indicating they were issued as awards rather than purchased.

The DSUs vest in full upon grant and will convert to common stock upon the director's separation from service, preserving retention value for the director while aligning payout timing with departure. The transaction is routine for director compensation and does not disclose cash flow or dilution magnitude beyond the unit counts shown.

Insider Zavery Amit
Role Director
Type Security Shares Price Value
Grant/Award Common Stock 17 $0.00 --
Grant/Award Common Stock 14 $0.00 --
Holdings After Transaction: Common Stock — 7,870 shares (Direct)
Footnotes (1)
  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. 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.
Form 4 Insider Transactions: What Each Field Means →
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).
1. Name and Address of Reporting Person*
Zavery Amit
(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 17(1) A $0.0000 7,870 D
Common Stock 10/02/2025 A 14(2) A $0.0000 7,884 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 10/03/2025
** 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.
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.

Source: View Original Filing on SEC EDGAR

FAQ

What did Broadridge (BR) director Amit Zavery receive on 10/02/2025?

He received 7,870 and 7,884 Deferred Stock Units awarded as dividend-equivalents under the 2018 Omnibus Award Plan.

Do the Deferred Stock Units (DSUs) vest immediately for Amit Zavery?

Yes, the filing states the DSUs vest in full upon grant.

When will the DSUs settle into Broadridge common stock?

The DSUs will settle in shares of Broadridge common stock upon the director's separation from service with the company.

Was there a purchase price for the awarded DSUs?

No. The reported price for the DSUs is shown as $0.0000.

Who filed the Form 4 and when was it signed?

The Form 4 was filed by one reporting person and filed/signed via Power of Attorney by Maria Allen on 10/03/2025.