Broadridge (NYSE: BR) director defers cash pay for 177 stock units

Filing Impact

(Neutral)

Filing Sentiment

(Neutral)

Form Type

Rhea-AI Filing Summary

Nazareth Annette L. reported acquisition or exercise transactions in this Form 4 filing.

Broadridge Financial Solutions director Annette L. Nazareth received an award of 177 Deferred Stock Units (DCUs), representing 177 shares of Broadridge common stock. The grant was made under Broadridge's 2018 Omnibus Award Plan in connection with her decision to defer cash compensation under the Director Deferred Compensation Program.

The DCUs vest in full upon grant and will settle in shares of Broadridge common stock after her separation from service with the company. Following this award, she directly holds 9,336 shares of Broadridge common stock.

Insider Trade Summary

1 transaction reported

Mixed 1 txn

Insider Nazareth Annette L.

Role Director

Type	Security	Shares	Price	Value
Grant/Award	Common Stock	177	$0.00	--

Holdings After Transaction: Common Stock — 9,336 shares (Direct)

Footnotes (1)

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Key Figures

Deferred Stock Units granted: 177 units Shares represented by DCUs: 177 shares Total shares after transaction: 9,336 shares +1 more

4 metrics

Deferred Stock Units granted 177 units Grant under 2018 Omnibus Award Plan tied to cash deferral

Shares represented by DCUs 177 shares DCUs represent a like number of Broadridge common shares

Total shares after transaction 9,336 shares Common stock directly held following the award

Transaction price per share $0.00 per share Reported transaction price for the grant

Key Terms

Deferred Stock Units, 2018 Omnibus Award Plan, Director Deferred Compensation Program, separation from service

4 terms

Deferred Stock Units financial

"The reported transaction reflects the grant of Deferred Stock Units under Broadridge's 2018 Omnibus Award Plan"

Deferred stock units are promises from a company to give an employee shares of stock at a future date, often after certain conditions are met or after leaving the company. They function like a form of delayed compensation, allowing employees to earn shares over time. For investors, they represent potential future ownership in the company, but do not provide immediate voting rights or dividends until the shares are actually received.

2018 Omnibus Award Plan financial

"grant of Deferred Stock Units under Broadridge's 2018 Omnibus Award Plan in connection with the director's deferral"

Director Deferred Compensation Program financial

"in connection with the director's deferral of cash compensation under the Director Deferred Compensation Program"

A director deferred compensation program is an arrangement that lets a company delay paying part of a board member’s fees or bonuses until a future date, often at retirement or after leaving the board. It matters to investors because it affects a company’s long‑term cash commitments and executive incentives—like a timed savings plan that can align directors’ decisions with the company’s future performance while creating future liabilities on the balance sheet.

separation from service financial

"The DCUs vest in full upon grant and will settle in shares of Broadridge common stock commencing with the director's separation from service"

Form 4 Insider Transactions: What Each Field Means →

04/08/2026 - 02:00 PM

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).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Nazareth Annette L.

(Last)

(First)

(Middle)

5 DAKOTA DRIVE

(Street)

LAKE SUCCESS

NEW YORK

11042

(City)

(State)

(Zip)

UNITED STATES

(Country)

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)

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
04/07/2026

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

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

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

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)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock	04/07/2026		A		177⁽¹⁾	A	$0.0000	9,336	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)
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)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)

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	04/08/2026
	** 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.
* Form 4: SEC 1474 (03-26)

Source: View Original Filing on SEC EDGAR

FAQ

What did Broadridge (BR) director Annette L. Nazareth receive in this Form 4 filing?

Annette L. Nazareth received 177 Deferred Stock Units, representing 177 shares of Broadridge common stock. The award was granted under the 2018 Omnibus Award Plan as part of her decision to defer director cash compensation under the Director Deferred Compensation Program.

How do the 177 Deferred Stock Units for Broadridge (BR) vest and settle?

The 177 Deferred Stock Units vest in full immediately upon grant. They will later settle in an equal number of Broadridge common shares, with settlement commencing after the director’s separation from service with Broadridge, according to the Director Deferred Compensation Program terms.

Why were these Deferred Stock Units granted to the Broadridge (BR) director?

The Deferred Stock Units were granted because the director chose to defer cash compensation under Broadridge’s Director Deferred Compensation Program. Instead of cash, she received 177 DCUs under the 2018 Omnibus Award Plan, aligning part of her compensation with company equity.

How many Broadridge (BR) shares does Annette L. Nazareth hold after this transaction?

After the grant of 177 Deferred Stock Units representing 177 shares, Annette L. Nazareth directly holds 9,336 shares of Broadridge common stock. This total reflects her position following the reported acquisition shown in the Form 4 filing for the non-derivative common stock entry.

Is this Broadridge (BR) Form 4 transaction an open-market stock purchase or sale?

No, this transaction is not an open-market purchase or sale. It is a grant categorized as a “Grant, award, or other acquisition” of 177 Deferred Stock Units, linked to deferral of director cash compensation, with no transaction price per share reported in the filing.