BR

SEC source: 0001225208-21-013199 · doc4.xml · nonDerivative · entry 1

PERRY CHRISTOPHER JOHN · CIK 0001619128 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,692.528

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: 0001225208-21-013118 · doc4.xml · derivative · entry 3

PERRY CHRISTOPHER JOHN · CIK 0001619128 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,698

Underlying: Common Stock · 1,016 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.

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: 0001225208-21-013118 · doc4.xml · nonDerivative · entry 2

PERRY CHRISTOPHER JOHN · CIK 0001619128 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,173.528

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 $180.000 - $180.035, 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: 0001225208-21-013118 · doc4.xml · nonDerivative · entry 1

PERRY CHRISTOPHER JOHN · CIK 0001619128 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,075.528

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: 0001225208-22-009544 · doc5.xml · nonDerivative · entry 2

Reese Edmund · CIK 0001833903 · Corporate VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,735.82

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

SEC source: 0001225208-21-013064 · doc4.xml · derivative · entry 10

DALY RICHARD J · CIK 0001198860 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,817

Underlying: Common Stock · 8,349 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.

F1 · kind: The reported transaction is a stock option exercise pursuant to a 10b5-1 plan adopted by the reporting person on September 3, 2021.

SEC source: 0001225208-21-013064 · doc4.xml · derivative · entry 9

DALY RICHARD J · CIK 0001198860 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,560

Underlying: Common Stock · 73,560 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 September 3, 2021.

SEC source: 0001225208-21-013064 · doc4.xml · nonDerivative · entry 3

DALY RICHARD J · CIK 0001198860 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 147,953.9949

F2 · kind: The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person on September 3, 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 $167.07 - $168.90, 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: 0001225208-21-013064 · doc4.xml · nonDerivative · entry 2

DALY RICHARD J · CIK 0001198860 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 221,253.9949

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 September 3, 2021.

SEC source: 0001225208-21-013064 · doc4.xml · nonDerivative · entry 1

DALY RICHARD J · CIK 0001198860 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 212,904.9949

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 September 3, 2021.

SEC source: 0001225208-21-013041 · doc4.xml · derivative · entry 15

DALY RICHARD J · CIK 0001198860 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,166

Underlying: Common Stock · 99,100 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.

F1 · kind: The reported transaction is a stock option exercise pursuant to a 10b5-1 plan adopted by the reporting person on September 3, 2021.

SEC source: 0001225208-21-013041 · doc4.xml · derivative · entry 14

DALY RICHARD J · CIK 0001198860 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,747 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.

F1 · kind: The reported transaction is a stock option exercise pursuant to a 10b5-1 plan adopted by the reporting person on September 3, 2021.

SEC source: 0001225208-21-013041 · doc4.xml · nonDerivative · entry 7

DALY RICHARD J · CIK 0001198860 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 139,344.9949

F2 · kind: The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person on September 3, 2021.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $163.01 - $167.05, 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 (4) to this Form 4.

SEC source: 0001225208-21-013041 · doc4.xml · nonDerivative · entry 6

DALY RICHARD J · CIK 0001198860 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 228,137.9949

F2 · kind: The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person on September 3, 2021.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $163.01 - $167.05, 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 (4) to this Form 4.

SEC source: 0001225208-21-013041 · doc4.xml · nonDerivative · entry 5

DALY RICHARD J · CIK 0001198860 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 231,353.9949

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 September 3, 2021.

SEC source: 0001225208-21-013041 · doc4.xml · nonDerivative · entry 4

DALY RICHARD J · CIK 0001198860 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 227,606.9949

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 September 3, 2021.

SEC source: 0001225208-21-013038 · doc4.xml · nonDerivative · entry 1

WEBER ALAN J · CIK 0001198093 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,464

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: 0001225208-21-013036 · doc4.xml · nonDerivative · entry 1

KELLER BRETT · CIK 0001214608 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,276

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: 0001225208-21-013039 · doc4.xml · nonDerivative · entry 1

Zavery Amit · CIK 0001781064 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,003

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: 0001225208-21-013037 · doc4.xml · nonDerivative · entry 1

Markus Maura A. · CIK 0001571545 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,199.102

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: 0001225208-21-012994 · doc4.xml · nonDerivative · entry 1

Duelks Robert N · CIK 0001477044 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,754

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: 0001225208-21-012996 · doc4.xml · nonDerivative · entry 1

PERNA THOMAS J · CIK 0001209487 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,622

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: 0001225208-21-012997 · doc4.xml · nonDerivative · entry 2

WEBER ALAN J · CIK 0001198093 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,287

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: 0001225208-21-012997 · doc4.xml · nonDerivative · entry 1

WEBER ALAN J · CIK 0001198093 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,278

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: 0001225208-21-012992 · doc4.xml · nonDerivative · entry 1

BRUN LESLIE A · CIK 0001217068 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,640

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: 0001225208-21-012999 · doc4.xml · nonDerivative · entry 2

KELLER BRETT · CIK 0001214608 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,121

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: 0001225208-21-012999 · doc4.xml · nonDerivative · entry 1

KELLER BRETT · CIK 0001214608 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,117

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: 0001225208-21-012998 · doc4.xml · nonDerivative · entry 2

Zavery Amit · CIK 0001781064 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,858

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: 0001225208-21-012998 · doc4.xml · nonDerivative · entry 1

Zavery Amit · CIK 0001781064 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,854

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: 0001225208-21-012993 · doc4.xml · nonDerivative · entry 1

Carter Pamela L · CIK 0001396958 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,818

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: 0001225208-21-012995 · doc4.xml · nonDerivative · entry 2

Markus Maura A. · CIK 0001571545 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,044.102

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: 0001225208-21-012995 · doc4.xml · nonDerivative · entry 1

Markus Maura A. · CIK 0001571545 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,036.102

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: 0001225208-21-013041 · doc4.xml · derivative · entry 13

DALY RICHARD J · CIK 0001198860 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,747

Underlying: Common Stock · 39,000 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.

F1 · kind: The reported transaction is a stock option exercise pursuant to a 10b5-1 plan adopted by the reporting person on September 3, 2021.

SEC source: 0001225208-21-013041 · doc4.xml · nonDerivative · entry 3

DALY RICHARD J · CIK 0001198860 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 128,506.9949

F2 · kind: The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person on September 3, 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 $161.51 - $164.79, 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: 0001225208-21-013041 · doc4.xml · nonDerivative · entry 2

DALY RICHARD J · CIK 0001198860 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 173,049.9949

F2 · kind: The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person on September 3, 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 $161.51 - $164.79, 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: 0001225208-21-013041 · doc4.xml · nonDerivative · entry 1

DALY RICHARD J · CIK 0001198860 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 206,167.9949

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 September 3, 2021.

SEC source: 0001225208-21-012851 · doc4.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,928 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 October 1, 2021, 4,928 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 October 1, 2021, 4,928 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 October 1, 2021, 4,928 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 October 1, 2021, 4,928 Restricted Stock Units vested and converted into an equal number of shares of common stock.

SEC source: 0001225208-21-012851 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,264

SEC source: 0001225208-21-012851 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,883

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 October 1, 2021, 4,928 Restricted Stock Units vested and converted into an equal number of shares of common stock.

SEC source: 0001225208-21-012545 · doc4.xml · derivative · entry 3

Gokey Timothy C · CIK 0001296187 · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 60,908 shares

Expires 2024-02-10

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.

F1 · kind: The reported transaction is a stock option exercise pursuant to a 10b5-1 plan adopted by the reporting person on August 23, 2021.

SEC source: 0001225208-21-012545 · doc4.xml · nonDerivative · entry 2

Gokey Timothy C · CIK 0001296187 · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 137,698.0271

F2 · kind: The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person on August 23, 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 $165.19 - $168.61, 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: 0001225208-21-012545 · doc4.xml · nonDerivative · entry 1

Gokey Timothy C · CIK 0001296187 · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 187,595.0271

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 August 23, 2021.

SEC source: 0001225208-21-012079 · doc4.xml · derivative · entry 12

Mayadas Vijay · CIK 0001658677 · Corporate Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,312 shares

Expires 2024-02-10

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.

SEC source: 0001225208-21-012079 · doc4.xml · nonDerivative · entry 8

Mayadas Vijay · CIK 0001658677 · Corporate Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,597.756

SEC source: 0001225208-21-012079 · doc4.xml · nonDerivative · entry 7

Mayadas Vijay · CIK 0001658677 · Corporate Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,690.756

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: 0001225208-21-012079 · doc4.xml · derivative · entry 11

Mayadas Vijay · CIK 0001658677 · Corporate Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,312

Underlying: Common Stock · 19,391 shares

Expires 2024-02-10

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.

SEC source: 0001225208-21-012079 · doc4.xml · derivative · entry 10

Mayadas Vijay · CIK 0001658677 · Corporate Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,115 shares

Expires 2024-02-10

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.

SEC source: 0001225208-21-012079 · doc4.xml · nonDerivative · entry 6

Mayadas Vijay · CIK 0001658677 · Corporate Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,378.756

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $171.00 - $171.81, 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: 0001225208-21-012079 · doc4.xml · nonDerivative · entry 5

Mayadas Vijay · CIK 0001658677 · Corporate Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,532.756

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $171.00 - $171.81, 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: 0001225208-21-012079 · doc4.xml · nonDerivative · entry 4

Mayadas Vijay · CIK 0001658677 · Corporate Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,793.756

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.