BROADRIDGE FINANCIAL SOLUTIONS, INC. SEC Filings

Broadridge Financial Solutions, Inc. (BR) director Pamela L. Carter received an award of 21 Deferred Stock Units on 10/02/2025 under the company's 2018 Omnibus Award Plan in connection with the payment of the regular quarterly dividend on underlying common stock. The report shows the DSUs vest in full upon grant and will settle into shares of Broadridge common stock when the director separates from service. Following the reported grant, Ms. Carter beneficially owned 7,282 shares or share-equivalents. The transaction was reported on Form 4 and signed by a power of attorney on 10/03/2025.

Broadridge Financial Solutions filed its 2025 definitive proxy stating stockholders of record as of September 18, 2025 may vote at the virtual annual meeting on November 13, 2025. The Board supports retaining Deloitte & Touche LLP as independent auditors for fiscal 2026. Directors attended 100% of Board meetings and 99% of committee meetings in 2025. Executive pay is largely performance-based, using metrics including Compensation Adjusted Fee-Based Revenue, Adjusted EBT, Closed Sales, Client Onboarding, Client Satisfaction, and Strategic/Leadership goals; long-term awards rely on Adjusted EPS and PRSU metrics. The CEO pay ratio was approximately 216:1 (CEO total comp $17,212,066; median employee $79,503). Governance features include stock ownership guidelines, clawback policy, insider trading windows and a Change in Control severance plan providing 150% of current total annual compensation and accelerated vesting. A Form 4 filing related to dividend DSUs was late and subsequently filed on January 10, 2025.

Markus Maura A., a director of Broadridge Financial Solutions, Inc. (BR), received a grant of Deferred Stock Units (DCUs) on 09/17/2025 under the company's 2018 Omnibus Award Plan in connection with deferral of cash compensation. The filing reports the DCUs vest in full upon grant and will settle into shares of Broadridge common stock beginning when the director separates from service. Following the reported transaction the filing shows 31,245.102 shares as the amount of common stock beneficially owned by the reporting person. The transaction was reported on Form 4 and executed by power of attorney on 09/19/2025.

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.

Annette L. Nazareth, a director of Broadridge Financial Solutions (BR), reported a non-derivative acquisition on 09/17/2025. The filing shows receipt of 121 Deferred Stock Units (DCUs) granted under Broadridge's 2018 Omnibus Award Plan as a deferral of director cash compensation. The DCUs vest in full on grant, carry a reported acquisition price of $0.00, and will settle into shares of Broadridge common stock when the director separates from service. After the transaction Nazareth beneficially owned 8,509 shares. The Form 4 was executed by Maria Allen as power of attorney on 09/19/2025.

Broadridge Financial Solutions director Eileen K. Murray received 167 Deferred Stock Units (DCUs) on 09/17/2025 as reported on a Form 4. The DCUs were granted under Broadridge's 2018 Omnibus Award Plan in connection with her deferral of cash compensation under the Director Deferred Compensation Program. The units vest in full upon grant and will be settled into shares of Broadridge common stock beginning when the director separates from service. Following the grant, Ms. Murray is reported to beneficially own 3,698 shares of common stock. The Form 4 was signed by Maria Allen by power of attorney on 09/19/2025.

Brett Keller, a director of Broadridge Financial Solutions, Inc. (BR), was granted 121 Deferred Stock Units (DCUs) on 09/17/2025 under the 2018 Omnibus Award Plan in connection with his deferral of cash compensation. The DCUs vest in full upon grant, are recorded at a price of $0.0000, and will settle into shares of Broadridge common stock beginning when the director separates from service. After the reported transaction, Mr. Keller beneficially owns 16,006 shares. The grant was reported on Form 4 and signed via power of attorney.

Broadridge Financial Solutions, Inc. furnished an update that its September 2025 investor presentation has been posted on its website and attached as Exhibit 99.1. The information is provided as a Regulation FD disclosure and is not deemed filed under the securities laws.

The company reiterates that the presentation may contain forward-looking statements based on management’s expectations and assumptions, and highlights multiple risk factors, including regulatory changes, client concentration, cybersecurity threats, market activity, technology change, competition, personnel retention, and the impact of acquisitions and divestitures, all of which could cause actual results to differ materially.

Timothy C. Gokey, CEO of Broadridge Financial Solutions (BR), reported an open-market sale of 5,674 shares on 08/25/2025 under a 10b5-1 trading plan adopted May 14, 2025. The filing shows a weighted-average sale price of $258.3733, with execution prices ranging from $256.24 to $262.46. After the reported dispositions, Mr. Gokey beneficially owned 143,285.0271 shares, held directly. The Form 4 was filed as a single reporting-person filing and was signed by a power of attorney on 08/26/2025. The report includes an undertaking to provide detailed per-price sale information upon request.