BR

SEC source: 0001225208-20-013277 · doc4.xml · derivative · entry 6

PERRY CHRISTOPHER JOHN · CIK 0001619128 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,821

Underlying: Common Stock · 17,179 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.

F1 · kind: The reported transaction is a stock option exercise pursuant to a 10b5-1 plan adopted by the reporting person on September 2, 2020.

SEC source: 0001225208-20-013277 · doc4.xml · derivative · entry 5

PERRY CHRISTOPHER JOHN · CIK 0001619128 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,000

Underlying: Common Stock · 9,722 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.

F1 · kind: The reported transaction is a stock option exercise pursuant to a 10b5-1 plan adopted by the reporting person on September 2, 2020.

SEC source: 0001225208-20-013277 · doc4.xml · nonDerivative · entry 4

PERRY CHRISTOPHER JOHN · CIK 0001619128 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,438.528

F2 · kind: The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person on September 2, 2020.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $151.06 - $153.32, 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: 0001225208-20-013277 · doc4.xml · nonDerivative · entry 3

PERRY CHRISTOPHER JOHN · CIK 0001619128 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,707.528

F2 · kind: The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person on September 2, 2020.

SEC source: 0001225208-20-013277 · doc4.xml · nonDerivative · entry 2

PERRY CHRISTOPHER JOHN · CIK 0001619128 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,786.528

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 September 2, 2020.

SEC source: 0001225208-20-013277 · doc4.xml · nonDerivative · entry 1

PERRY CHRISTOPHER JOHN · CIK 0001619128 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,064.528

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 September 2, 2020.

SEC source: 0001225208-20-013144 · doc4.xml · derivative · entry 12

PERNA THOMAS J · CIK 0001209487 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 12,074 shares

Expires 2022-11-15

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: 0001225208-20-013144 · doc4.xml · derivative · entry 11

PERNA THOMAS J · CIK 0001209487 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,841 shares

Expires 2023-11-14

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: 0001225208-20-013144 · doc4.xml · derivative · entry 10

PERNA THOMAS J · CIK 0001209487 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,869 shares

Expires 2021-05-12

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: 0001225208-20-013144 · doc4.xml · derivative · entry 9

PERNA THOMAS J · CIK 0001209487 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 9,982 shares

Expires 2022-05-10

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: 0001225208-20-013144 · doc4.xml · nonDerivative · entry 8

PERNA THOMAS J · CIK 0001209487 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,806

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $144.98 - $146.04, 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: 0001225208-20-013144 · doc4.xml · nonDerivative · entry 7

PERNA THOMAS J · CIK 0001209487 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,776

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $144.98 - $146.04, 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: 0001225208-20-013144 · doc4.xml · nonDerivative · entry 6

PERNA THOMAS J · CIK 0001209487 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,741

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $144.98 - $146.04, 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: 0001225208-20-013144 · doc4.xml · nonDerivative · entry 5

PERNA THOMAS J · CIK 0001209487 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,616

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $144.98 - $146.04, 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: 0001225208-20-013144 · doc4.xml · nonDerivative · entry 4

PERNA THOMAS J · CIK 0001209487 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,512

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: 0001225208-20-013144 · doc4.xml · nonDerivative · entry 3

PERNA THOMAS J · CIK 0001209487 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,643

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: 0001225208-20-013144 · doc4.xml · nonDerivative · entry 2

PERNA THOMAS J · CIK 0001209487 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,661

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: 0001225208-20-013144 · doc4.xml · nonDerivative · entry 1

PERNA THOMAS J · CIK 0001209487 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,820

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: 0001225208-20-012993 · doc4.xml · nonDerivative · entry 1

SCHIFELLITE ROBERT · CIK 0001391090 · Corporate SVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,157.6729

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $142.93 - $143.685, 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: 0001225208-20-012893 · doc4.xml · derivative · entry 7

DESCHUTTER DOUGLAS RICHARD · CIK 0001391093 · Corporate Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,148

Underlying: Common Stock · 22,148 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: 0001225208-20-012893 · doc4.xml · derivative · entry 6

DESCHUTTER DOUGLAS RICHARD · CIK 0001391093 · Corporate Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,296

Underlying: Common Stock · 11,074 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: 0001225208-20-012893 · doc4.xml · nonDerivative · entry 5

DESCHUTTER DOUGLAS RICHARD · CIK 0001391093 · Corporate Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,954.8948

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $139.50 - $141.105, 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: 0001225208-20-012893 · doc4.xml · nonDerivative · entry 4

DESCHUTTER DOUGLAS RICHARD · CIK 0001391093 · Corporate Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,951.8948

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $139.50 - $141.105, 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: 0001225208-20-012893 · doc4.xml · nonDerivative · entry 3

DESCHUTTER DOUGLAS RICHARD · CIK 0001391093 · Corporate Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,950.8948

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $139.50 - $141.105, 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: 0001225208-20-012893 · doc4.xml · nonDerivative · entry 2

DESCHUTTER DOUGLAS RICHARD · CIK 0001391093 · Corporate Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,825.8948

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: 0001225208-20-012893 · doc4.xml · nonDerivative · entry 1

DESCHUTTER DOUGLAS RICHARD · CIK 0001391093 · Corporate Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,751.8948

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: 0001225208-21-011278 · doc5.xml · nonDerivative · entry 4

Liberatore Michael · CIK 0001659018 · VP, ICS - Mutual Funds

10b5-1 filing: Not disclosed

Ownership: Indirect · By Wife

Disclosed balance after: 0

SEC source: 0001225208-21-011278 · doc5.xml · nonDerivative · entry 2

Liberatore Michael · CIK 0001659018 · VP, ICS - Mutual Funds

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,659.91

SEC source: 0001225208-20-012294 · doc4.xml · nonDerivative · entry 1

Duelks Robert N · CIK 0001477044 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,768

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: 0001225208-20-012297 · doc4.xml · nonDerivative · entry 1

PERNA THOMAS J · CIK 0001209487 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,746

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: 0001225208-20-012298 · doc4.xml · nonDerivative · entry 2

WEBER ALAN J · CIK 0001198093 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,980

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: 0001225208-20-012298 · doc4.xml · nonDerivative · entry 1

WEBER ALAN J · CIK 0001198093 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,973

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: 0001225208-20-012295 · doc4.xml · nonDerivative · entry 2

KELLER BRETT · CIK 0001214608 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,941

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: 0001225208-20-012295 · doc4.xml · nonDerivative · entry 1

KELLER BRETT · CIK 0001214608 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,939

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: 0001225208-20-012292 · doc4.xml · nonDerivative · entry 1

BRUN LESLIE A · CIK 0001217068 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,191

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: 0001225208-20-012296 · doc4.xml · nonDerivative · entry 2

Markus Maura A. · CIK 0001571545 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,774.102

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: 0001225208-20-012296 · doc4.xml · nonDerivative · entry 1

Markus Maura A. · CIK 0001571545 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,768.102

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: 0001225208-20-012299 · doc4.xml · nonDerivative · entry 2

Zavery Amit · CIK 0001781064 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,759

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: 0001225208-20-012299 · doc4.xml · nonDerivative · entry 1

Zavery Amit · CIK 0001781064 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,757

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: 0001225208-20-012293 · doc4.xml · nonDerivative · entry 1

Carter Pamela L · CIK 0001396958 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,214

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: 0001225208-20-011833 · doc4.xml · nonDerivative · entry 2

DALY RICHARD J · CIK 0001198860 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 172,878.9949

F1 · kind: The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person on August 14, 2020.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $126.93 - $130.47, 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: 0001225208-20-011828 · 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 · 115,738 shares

Expires 2023-02-11

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 August 24, 2020.

SEC source: 0001225208-20-011828 · doc4.xml · nonDerivative · entry 2

Gokey Timothy C · CIK 0001296187 · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,091.0271

F2 · kind: The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person on August 24, 2020.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $127.01 - $128.91, 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: 0001225208-20-011828 · doc4.xml · nonDerivative · entry 1

Gokey Timothy C · CIK 0001296187 · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 201,329.0271

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 24, 2020.

SEC source: 0001225208-20-011833 · doc4.xml · nonDerivative · entry 1

DALY RICHARD J · CIK 0001198860 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 180,690.9949

F1 · kind: The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person on August 14, 2020.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $127.08 - $128.84, 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 (2) to this Form 4.

SEC source: 0001225208-20-011724 · doc4.xml · nonDerivative · entry 1

WEBER ALAN J · CIK 0001198093 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,905

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: 0001225208-20-011717 · doc4.xml · nonDerivative · entry 1

DALY RICHARD J · CIK 0001198860 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 189,136.9949

F1 · kind: The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person on August 14, 2020.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $128.69 - $130.98, 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 (2) to this Form 4.

SEC source: 0001225208-20-011722 · doc4.xml · nonDerivative · entry 1

KELLER BRETT · CIK 0001214608 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,918

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: 0001225208-20-011725 · doc4.xml · nonDerivative · entry 1

Zavery Amit · CIK 0001781064 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,754

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: 0001225208-20-011723 · doc4.xml · nonDerivative · entry 1

Markus Maura A. · CIK 0001571545 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,725.102

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.