Broadridge Financial Solutions filings document a NYSE-listed financial technology company with common stock registered under the Exchange Act. The company’s Form 8-K disclosures cover operating and financial results, Regulation FD investor presentations, dividend declarations, board composition changes, annual meeting voting results, and other material events.
Broadridge’s regulatory record also includes capital-structure and securities disclosures tied to its public equity and debt activity, along with governance matters such as director elections, executive compensation votes, auditor ratification, committee assignments, and risk-factor language accompanying investor materials and earnings releases.
Broadridge Financial Solutions, Inc. reported board changes, including one upcoming resignation and two new director appointments. On February 2, 2026, director Brett Keller notified the company he will resign from the board effective April 30, 2026, stating his decision was not due to any disagreement with the company, its management, or the board.
On the same date, the board increased its size from eight to 10 members and appointed Trish Mosconi and Christopher Perry as directors, effective immediately. Following these appointments, eight of the 10 directors are independent, including Chairperson Eileen K. Murray. Mosconi, a senior advisor in financial and technology sectors, will serve on the Audit and Compensation Committees and is considered an independent director under New York Stock Exchange and SEC rules.
Perry, Broadridge’s President since 2020, will join the board but will not receive additional compensation or serve on any board committees, which remain composed solely of independent directors. Mosconi is expected to receive standard compensation for independent directors. The company attached a press release announcing these appointments as an exhibit.
Broadridge Financial Solutions director reports small stock-based awards tied to dividends. A company director received two awards of deferred stock units on 01/05/2026 under Broadridge’s 2018 Omnibus Award Plan: one for 19 units and another for 17 units of common stock, each at a grant price of $0.0000. These awards were issued as additional units credited in connection with Broadridge’s regular quarterly dividend on common stock underlying previously issued deferred stock units and director deferred compensation units.
The deferred stock units and director deferred compensation units vest in full immediately upon grant and represent an equivalent number of shares of Broadridge common stock. They will be settled in shares of common stock when the director separates from service with Broadridge. After these transactions, the director’s beneficial ownership in common stock, including these units, is reported as directly held.
Broadridge Financial Solutions, Inc. reported a director’s routine equity compensation update. On 01/05/2026, the director received two small awards of Broadridge common stock in the form of deferred stock units tied to the company’s regular quarterly dividend. One award covered 12 deferred stock units, bringing the director’s beneficial ownership for that line to 9,148 shares of common stock. A second award covered 11 deferred stock units, bringing beneficial ownership for that line to 9,159 shares. These deferred stock units vest in full upon grant and are scheduled to settle in Broadridge common shares after the director’s separation from service.
Broadridge Financial Solutions director reports small equity awards. A company director received two awards of additional deferred stock units on 01/05/2026 under Broadridge's 2018 Omnibus Award Plan. One award covered 11 deferred stock units tied to regular quarterly dividends on previously granted deferred stock units, bringing the director's beneficial ownership in that line to 4,853 shares of common stock. A second award covered 9 deferred stock units related to dividend equivalents on units previously issued in lieu of cash compensation under the Director Deferred Compensation Program, increasing beneficial ownership in that line to 4,862 shares. All these deferred stock units vest in full upon grant and will be settled in Broadridge common stock when the director separates from service.
Broadridge Financial Solutions director reports small stock-based awards linked to dividends. A company director received 62 shares of common stock on 01/05/2026 through Deferred Stock Units granted under Broadridge's 2018 Omnibus Award Plan as dividend equivalents on previously issued Deferred Stock Units. The director also received 21 additional Deferred Stock Units on the same date as dividend equivalents on Deferred Stock Units previously issued in lieu of cash compensation under the Director Deferred Compensation Program. Both types of Deferred Stock Units vest in full upon grant and will be settled in shares of Broadridge common stock when the director separates from service. Following these transactions, the director beneficially owns a total of 32,023.102 shares of Broadridge common stock in direct form.
Broadridge Financial Solutions director reports dividend-based stock awards
A director of Broadridge Financial Solutions reported automatic awards of additional deferred stock units tied to the company’s regular quarterly dividend. On 01/05/2026, the director received 39 shares of common stock-equivalent Deferred Stock Units under Broadridge's 2018 Omnibus Award Plan, increasing beneficial ownership to 16,693 shares held directly. On the same date, the director received an additional 18 Deferred Stock Units in connection with dividend equivalents on units previously issued under the Director Deferred Compensation Program, bringing total directly owned common stock-equivalent units to 16,711.
The deferred stock units vest in full upon grant and will be settled in shares of Broadridge common stock when the director separates from service with the company.
Broadridge Financial Solutions director reports small equity award. A company director filed a Form 4 disclosing the receipt of 11 shares’ worth of Deferred Stock Units of Broadridge common stock on 01/05/2026 at a price of $0.0000 per share. This brought the director’s total beneficial ownership to 2,660 shares of Broadridge common stock.
The new Deferred Stock Units were granted under Broadridge’s 2018 Omnibus Award Plan as a dividend-equivalent award tied to the company’s regular quarterly dividend on previously issued Deferred Stock Units. These units vest in full upon grant and will be settled in shares of Broadridge common stock when the director separates from service with the company.
Broadridge Financial Solutions director reports dividend-equivalent stock award. A director of Broadridge Financial Solutions, Inc. reported receiving 91 shares of common stock in the form of Deferred Stock Units on 01/05/2026 at a price of $0.0000 per share. These units were granted under Broadridge's 2018 Omnibus Award Plan in connection with the regular quarterly dividend on the common stock underlying previously issued Deferred Stock Units.
After this grant, the director beneficially owns 21,068 shares of Broadridge common stock directly. Additional indirect holdings include 4,960 shares through BOMAR II LLC, 17,000 shares through the Mary E. Duelks 2007 Revocable Trust, and 8,853 shares through the Robert N. Duelks 2007 Revocable Trust. The Deferred Stock Units vest in full upon grant and will be settled in shares of Broadridge common stock when the director separates from service.
Broadridge Financial Solutions, Inc. reported an insider equity award for one of its directors. On 12/10/2025 the director received 149 shares of Broadridge common stock in the form of Deferred Stock Units under the company’s 2018 Omnibus Award Plan, tied to the deferral of cash compensation under the Director Deferred Compensation Program.
The Deferred Stock Units vest in full immediately upon grant and will be settled in shares of Broadridge common stock when the director separates from service with the company. Following this grant, the director beneficially owns 9,136 shares, held directly.
Broadridge Financial Solutions reported an equity compensation transaction for one of its directors. On 12/10/2025, the director received 299 shares of common stock in the form of Deferred Stock Units under Broadridge's 2018 Omnibus Award Plan, linked to the deferral of cash compensation under the Director Deferred Compensation Program. These units vest in full upon grant and will be settled in shares of Broadridge common stock when the director separates from service. After this grant, the director beneficially owns 4,842 shares of Broadridge common stock held directly.