BR Form 4: 121 Deferred Stock Units Granted to Director Amit Zavery

Rhea-AI Filing Summary

Amit Zavery, a director of Broadridge Financial Solutions, Inc. (BR), reported a non‑derivative acquisition on 09/17/2025. The filing shows the grant of 121 Deferred Stock Units (DCUs) at a $0.00 price, reflecting a deferral of director cash compensation under Broadridge's 2018 Omnibus Award Plan. The DCUs vest in full upon grant and are recorded as representing a like number of shares of Broadridge common stock; they will settle into shares commencing upon the director's separation from service. After the transaction, the reporting person beneficially owned 7,853 shares. The form was signed by Maria Allen as power of attorney on 09/19/2025.

Positive

• DCUs vest in full upon grant, giving the director immediate economic alignment with shareholders
• Transaction arises from deferral of cash compensation under the 2018 Omnibus Award Plan, indicating structured director pay

Negative

• None.

Insights

Financial Analyst

TL;DR: This is a routine director compensation deferral; immediate vesting but settlement delayed until separation.

The transaction is non‑cash compensation: 121 Deferred Stock Units were granted in exchange for deferral of cash director fees under the company's omnibus plan. The units vest immediately and convert to shares only upon the director's separation from service, so there is no immediate dilution or share issuance. The post‑transaction beneficial ownership of 7,853 shares provides a snapshot of current insider holdings but does not indicate a change in voting control or a market‑moving transfer.

Corporate Governance Expert

TL;DR: Governance practice aligns director compensation with shareholders through deferred stock units that vest immediately.

Granting Deferred Stock Units that vest on grant is a common practice to align directors' long‑term incentives with shareholders while preserving cash. Settlement only upon separation suggests retention and deferred compensation features. The filing identifies the relationship as Director and discloses the mechanics of the DCUs clearly; there are no disclosures of special acceleration, related‑party transactions, or amendments that would raise governance concerns.

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
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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)
09/17/2025

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	09/17/2025		A		121(1)	A	$0.0000	7,853	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 grant of Deferred Stock Units under Broadridge's 2018 Omnibus Award Plan in connection with the director's deferral of cash compensation under the Director Deferred Compensation Program and represents a like number of shares of Broadridge common stock (the "DCUs"). 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	09/19/2025
	** 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.

FAQ

What did Broadridge director Amit Zavery acquire on 09/17/2025 (BR)?

The filing reports a grant of 121 Deferred Stock Units (DCUs) on 09/17/2025, recorded at a $0.00 price.

When do the Deferred Stock Units (DCUs) awarded to Amit Zavery vest and settle?

The DCUs vest in full upon grant and will settle into shares commencing upon the director's separation from service.

How many Broadridge shares did Amit Zavery beneficially own after the reported transaction?

After the transaction the reporting person beneficially owned 7,853 shares.

What was the consideration for the DCUs granted to the director?

The DCUs reflect the director's deferral of cash compensation and were granted at a $0.00 price.

Who signed the Form 4 for Amit Zavery and when?

The Form 4 was signed by Maria Allen, Power of Attorney, on 09/19/2025.