BR

SEC source: 0001225208-22-002261 · doc4.xml · derivative · entry 1

DALY RICHARD J · CIK 0001198860 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,117

Underlying: Common Stock · 4,117 shares

Expires 2032-02-14

F1 · derivative.exercise_date: Stock options vest equally over 4 years beginning February 14, 2023.

SEC source: 0001225208-22-002272 · doc4.xml · derivative · entry 2

Tae Michael S · CIK 0001663476 · Corporate VP, CTO, ICS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,312

Underlying: Common Stock · 6,862 shares

Expires 2032-02-14

F1 · derivative.exercise_date: Stock options vest equally over 4 years beginning February 14, 2023.

SEC source: 0001225208-22-002272 · doc4.xml · derivative · entry 1

Tae Michael S · CIK 0001663476 · Corporate VP, CTO, ICS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,450

Underlying: Common Stock · 27,450 shares

Expires 2032-02-14

F1 · derivative.exercise_date: Stock options vest equally over 4 years beginning February 14, 2023.

SEC source: 0001225208-22-002271 · doc4.xml · derivative · entry 1

Stingi Richard John · CIK 0001846577 · Corporate VP and CHRO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,235

Underlying: Common Stock · 8,235 shares

Expires 2032-02-14

F1 · derivative.exercise_date: Stock options vest equally over 4 years beginning February 14, 2023.

SEC source: 0001225208-22-002269 · doc4.xml · derivative · entry 1

Reese Edmund · CIK 0001833903 · Corporate VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,018

Underlying: Common Stock · 24,018 shares

Expires 2032-02-14

F1 · derivative.exercise_date: Stock options vest equally over 4 years beginning February 14, 2023.

SEC source: 0001225208-22-002260 · doc4.xml · derivative · entry 1

Carey Thomas P · CIK 0001731499 · Corporate VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,068

Underlying: Common Stock · 14,068 shares

Expires 2032-02-14

F1 · derivative.exercise_date: Stock options vest equally over 4 years beginning February 14, 2023.

SEC source: 0001225208-22-002268 · doc4.xml · derivative · entry 1

PERRY CHRISTOPHER JOHN · CIK 0001619128 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,195

Underlying: Common Stock · 30,195 shares

Expires 2032-02-14

F1 · derivative.exercise_date: Stock options vest equally over 4 years beginning February 14, 2023.

SEC source: 0001225208-22-002264 · doc4.xml · derivative · entry 1

Gumbs Keir D · CIK 0001876435 · CVP and Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,607

Underlying: Common Stock · 16,607 shares

Expires 2032-02-14

F1 · derivative.exercise_date: Stock options vest equally over 4 years beginning February 14, 2023.

SEC source: 0001225208-22-002262 · doc4.xml · derivative · entry 1

DESCHUTTER DOUGLAS RICHARD · CIK 0001391093 · Corporate Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,313

Underlying: Common Stock · 6,313 shares

Expires 2032-02-14

F1 · derivative.exercise_date: Stock options vest equally over 4 years beginning February 14, 2023.

SEC source: 0001225208-22-002259 · doc4.xml · derivative · entry 2

KALENKA ROBERT F · CIK 0001391091 · Corporate Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,107

Underlying: Common Stock · 6,107 shares

Expires 2032-02-14

F2 · derivative.exercise_date: Stock options vest equally over 4 years beginning February 14, 2023.

SEC source: 0001225208-22-002259 · doc4.xml · nonDerivative · entry 1

KALENKA ROBERT F · CIK 0001391091 · Corporate Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,355.4097

F1 · price: The reported disposition represents a bona fide charitable gift made by the reporting person.

SEC source: 0001225208-22-001272 · doc4.xml · derivative · entry 6

Reese Edmund · CIK 0001833903 · Corporate VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,721

Underlying: Common Stock · 1,943 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each Restricted Stock Unit represented one share of Broadridge common stock and on February 1, 2022 1,943 Restricted Stock Units vested and converted into an equal number of shares of common stock.

F2 · price: Each Restricted Stock Unit represented one share of Broadridge common stock and on February 1, 2022 1,943 Restricted Stock Units vested and converted into an equal number of shares of common stock.

F2 · derivative.exercise_date: Each Restricted Stock Unit represented one share of Broadridge common stock and on February 1, 2022 1,943 Restricted Stock Units vested and converted into an equal number of shares of common stock.

F2 · derivative.expiration_date: Each Restricted Stock Unit represented one share of Broadridge common stock and on February 1, 2022 1,943 Restricted Stock Units vested and converted into an equal number of shares of common stock.

SEC source: 0001225208-22-001272 · doc4.xml · nonDerivative · entry 4

Reese Edmund · CIK 0001833903 · Corporate VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,912

SEC source: 0001225208-22-001272 · doc4.xml · nonDerivative · entry 3

Reese Edmund · CIK 0001833903 · Corporate VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,987

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · price: Each Restricted Stock Unit represented one share of Broadridge common stock and on February 1, 2022 1,943 Restricted Stock Units vested and converted into an equal number of shares of common stock.

SEC source: 0001225208-22-001272 · doc4.xml · derivative · entry 5

Reese Edmund · CIK 0001833903 · Corporate VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,664

Underlying: Common Stock · 3,021 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each Restricted Stock Unit represented one share of Broadridge common stock and on January 31, 2022 3,021 Restricted Stock Units vested and converted into an equal number of shares of common stock.

F1 · price: Each Restricted Stock Unit represented one share of Broadridge common stock and on January 31, 2022 3,021 Restricted Stock Units vested and converted into an equal number of shares of common stock.

F1 · derivative.exercise_date: Each Restricted Stock Unit represented one share of Broadridge common stock and on January 31, 2022 3,021 Restricted Stock Units vested and converted into an equal number of shares of common stock.

F1 · derivative.expiration_date: Each Restricted Stock Unit represented one share of Broadridge common stock and on January 31, 2022 3,021 Restricted Stock Units vested and converted into an equal number of shares of common stock.

SEC source: 0001225208-22-001272 · doc4.xml · nonDerivative · entry 2

Reese Edmund · CIK 0001833903 · Corporate VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,044

SEC source: 0001225208-22-001272 · doc4.xml · nonDerivative · entry 1

Reese Edmund · CIK 0001833903 · Corporate VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,744

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each Restricted Stock Unit represented one share of Broadridge common stock and on January 31, 2022 3,021 Restricted Stock Units vested and converted into an equal number of shares of common stock.

SEC source: 0001225208-22-009544 · doc5.xml · nonDerivative · entry 3

Reese Edmund · CIK 0001833903 · Corporate VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,742.21

F1 · shares: Represents shares of Broadridge common stock acquired through dividend reinvestment during the fiscal year.

SEC source: 0001225208-22-000577 · doc4.xml · nonDerivative · entry 1

Duelks Robert N · CIK 0001477044 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,302

F1 · shares: 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.

SEC source: 0001225208-22-000582 · doc4.xml · nonDerivative · entry 1

PERNA THOMAS J · CIK 0001209487 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,170

F1 · shares: 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.

SEC source: 0001225208-22-000578 · doc4.xml · nonDerivative · entry 1

FLOWERS MELVIN L · CIK 0001196490 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 486

F1 · shares: 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.

SEC source: 0001225208-22-000579 · doc4.xml · nonDerivative · entry 2

KELLER BRETT · CIK 0001214608 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,950

F2 · shares: 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.

SEC source: 0001225208-22-000579 · doc4.xml · nonDerivative · entry 1

KELLER BRETT · CIK 0001214608 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,945

F1 · shares: 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.

SEC source: 0001225208-22-000575 · doc4.xml · nonDerivative · entry 1

BRUN LESLIE A · CIK 0001217068 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,493

F1 · shares: 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.

SEC source: 0001225208-22-000583 · doc4.xml · nonDerivative · entry 2

Zavery Amit · CIK 0001781064 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,654

F2 · shares: 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.

SEC source: 0001225208-22-000583 · doc4.xml · nonDerivative · entry 1

Zavery Amit · CIK 0001781064 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,648

F1 · shares: 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.

SEC source: 0001225208-22-000581 · doc4.xml · nonDerivative · entry 1

Nazareth Annette L. · CIK 0001846828 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 648

F1 · shares: 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.

SEC source: 0001225208-22-000580 · doc4.xml · nonDerivative · entry 2

Markus Maura A. · CIK 0001571545 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,919.102

F2 · shares: 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.

SEC source: 0001225208-22-000580 · doc4.xml · nonDerivative · entry 1

Markus Maura A. · CIK 0001571545 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,909.102

F1 · shares: 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.

SEC source: 0001225208-22-000576 · doc4.xml · nonDerivative · entry 1

Carter Pamela L · CIK 0001396958 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,314

F1 · shares: 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.

SEC source: 0001225208-21-015251 · doc4.xml · derivative · entry 3

PERRY CHRISTOPHER JOHN · CIK 0001619128 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,239

Underlying: Common Stock · 466 shares

Expires 2029-02-11

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The reported transaction is a stock option exercise pursuant to a 10b5-1 plan adopted by the reporting person on May 11, 2021.

SEC source: 0001225208-21-015251 · doc4.xml · nonDerivative · entry 2

PERRY CHRISTOPHER JOHN · CIK 0001619128 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,639.528

F2 · kind: The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person on May 11, 2021.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $185.00 - $185.08, inclusive. The reporting person undertakes to provide to Broadridge Financial Solutions, Inc., any shareholder of Broadridge Financial Solutions, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (3) to this Form 4.

SEC source: 0001225208-21-015251 · doc4.xml · nonDerivative · entry 1

PERRY CHRISTOPHER JOHN · CIK 0001619128 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,054.528

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The reported transaction is a stock option exercise pursuant to a 10b5-1 plan adopted by the reporting person on May 11, 2021.

SEC source: 0001225208-21-015089 · doc4.xml · derivative · entry 3

Gumbs Keir D · CIK 0001876435 · CVP and Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,057

Underlying: Common Stock · 8,079 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each Restricted Stock Unit represented one share of Broadridge common stock and on December 15, 2021 8,079 Restricted Stock Units vested and converted into an equal number of shares of common stock.

F1 · price: Each Restricted Stock Unit represented one share of Broadridge common stock and on December 15, 2021 8,079 Restricted Stock Units vested and converted into an equal number of shares of common stock.

F1 · derivative.exercise_date: Each Restricted Stock Unit represented one share of Broadridge common stock and on December 15, 2021 8,079 Restricted Stock Units vested and converted into an equal number of shares of common stock.

F1 · derivative.expiration_date: Each Restricted Stock Unit represented one share of Broadridge common stock and on December 15, 2021 8,079 Restricted Stock Units vested and converted into an equal number of shares of common stock.

SEC source: 0001225208-21-015089 · doc4.xml · nonDerivative · entry 2

Gumbs Keir D · CIK 0001876435 · CVP and Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,193

SEC source: 0001225208-21-015089 · doc4.xml · nonDerivative · entry 1

Gumbs Keir D · CIK 0001876435 · CVP and Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,079

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each Restricted Stock Unit represented one share of Broadridge common stock and on December 15, 2021 8,079 Restricted Stock Units vested and converted into an equal number of shares of common stock.

SEC source: 0001225208-21-014551 · doc4.xml · derivative · entry 4

SCHIFELLITE ROBERT · CIK 0001391090 · Corporate SVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,611

Underlying: Common Stock · 18,040 shares

Expires 2025-02-09

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001225208-21-014551 · doc4.xml · nonDerivative · entry 3

SCHIFELLITE ROBERT · CIK 0001391090 · Corporate SVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,604.6729

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $172.50 - $174.17, inclusive. The reporting person undertakes to provide to Broadridge Financial Solutions, Inc., any shareholder of Broadridge Financial Solutions, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (1) to this Form 4.

SEC source: 0001225208-21-014551 · doc4.xml · nonDerivative · entry 2

SCHIFELLITE ROBERT · CIK 0001391090 · Corporate SVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,667.6729

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $172.50 - $174.17, inclusive. The reporting person undertakes to provide to Broadridge Financial Solutions, Inc., any shareholder of Broadridge Financial Solutions, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (1) to this Form 4.

SEC source: 0001225208-21-014551 · doc4.xml · nonDerivative · entry 1

SCHIFELLITE ROBERT · CIK 0001391090 · Corporate SVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,667.6729

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001225208-21-014545 · doc4.xml · nonDerivative · entry 1

KELLER BRETT · CIK 0001214608 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,923

F1 · shares: 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.

SEC source: 0001225208-21-014548 · doc4.xml · nonDerivative · entry 1

Zavery Amit · CIK 0001781064 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,641

F1 · shares: 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.

SEC source: 0001225208-21-014547 · doc4.xml · nonDerivative · entry 1

Nazareth Annette L. · CIK 0001846828 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 647

F1 · shares: 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.

SEC source: 0001225208-21-014546 · doc4.xml · nonDerivative · entry 1

Markus Maura A. · CIK 0001571545 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,868.102

F1 · shares: 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.

SEC source: 0001225208-21-014505 · doc4.xml · derivative · entry 3

SCHIFELLITE ROBERT · CIK 0001391090 · Corporate SVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,651

Underlying: Common Stock · 14,960 shares

Expires 2025-02-09

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001225208-21-014505 · doc4.xml · nonDerivative · entry 2

SCHIFELLITE ROBERT · CIK 0001391090 · Corporate SVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,627.6729

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $173.00 - $173.9150, inclusive. The reporting person undertakes to provide to Broadridge Financial Solutions, Inc., any shareholder of Broadridge Financial Solutions, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (1) to this Form 4.

SEC source: 0001225208-21-014505 · doc4.xml · nonDerivative · entry 1

SCHIFELLITE ROBERT · CIK 0001391090 · Corporate SVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,115.6729

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001225208-21-014173 · doc4.xml · derivative · entry 18

Mayadas Vijay · CIK 0001658677 · Corporate Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,343

Underlying: Common Stock · 4,029 shares

Expires 2028-02-12

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001225208-21-014173 · doc4.xml · derivative · entry 17

Mayadas Vijay · CIK 0001658677 · Corporate Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,604

Underlying: Common Stock · 3,604 shares

Expires 2029-02-11

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001225208-21-014173 · doc4.xml · derivative · entry 16

Mayadas Vijay · CIK 0001658677 · Corporate Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,299 shares

Expires 2027-02-10

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.