BR

SEC source: 0001225208-18-007603 · doc4.xml · nonDerivative · entry 3

Carey Thomas P · CIK 0001731499 · Corporate VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,679

F2 · price: Represents the amount of shares withheld to cover tax liabilities upon the vesting of 1,651 performance based Restricted Stock Units that vested and converted into an equal number of shares of common stock on April 6, 2018.

SEC source: 0001225208-18-007603 · doc4.xml · nonDerivative · entry 2

Carey Thomas P · CIK 0001731499 · Corporate VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,455

SEC source: 0001225208-18-007603 · doc4.xml · nonDerivative · entry 1

Carey Thomas P · CIK 0001731499 · Corporate VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,102

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 April 6, 2018 1,376 Restricted Stock Units vested and converted into an equal number of shares of common stock.

SEC source: 0001225208-18-007298 · doc4.xml · nonDerivative · entry 1

Duelks Robert N · CIK 0001477044 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,382

F1 · shares: The reported transaction reflects the award of additional Deferred Stock Units under Broadridge's 2007 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.

F1 · price: The reported transaction reflects the award of additional Deferred Stock Units under Broadridge's 2007 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: 0001225208-18-007299 · doc4.xml · nonDerivative · entry 1

Haviland Richard J · CIK 0001302903 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,932

F1 · shares: The reported transaction reflects the award of additional Deferred Stock Units under Broadridge's 2007 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.

F1 · price: The reported transaction reflects the award of additional Deferred Stock Units under Broadridge's 2007 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: 0001225208-18-007303 · doc4.xml · nonDerivative · entry 1

PERNA THOMAS J · CIK 0001209487 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,382

F1 · shares: The reported transaction reflects the award of additional Deferred Stock Units under Broadridge's 2007 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.

F1 · price: The reported transaction reflects the award of additional Deferred Stock Units under Broadridge's 2007 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: 0001225208-18-007301 · doc4.xml · nonDerivative · entry 1

Levine Stuart R · CIK 0001186624 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,602

F1 · shares: The reported transaction reflects the award of additional Deferred Stock Units under Broadridge's 2007 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.

F1 · price: The reported transaction reflects the award of additional Deferred Stock Units under Broadridge's 2007 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: 0001225208-18-007304 · doc4.xml · nonDerivative · entry 1

WEBER ALAN J · CIK 0001198093 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,582

F1 · shares: The reported transaction reflects the award of additional Deferred Stock Units under Broadridge's 2007 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.

F1 · price: The reported transaction reflects the award of additional Deferred Stock Units under Broadridge's 2007 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: 0001225208-18-007317 · doc4.xml · derivative · entry 13

DALY RICHARD J · CIK 0001198860 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 31,262 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 March 2, 2018.

SEC source: 0001225208-18-007317 · doc4.xml · nonDerivative · entry 5

DALY RICHARD J · CIK 0001198860 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 224,181.0229

F2 · kind: The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person on March 2, 2018.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $107.10 - $107.81, 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 (4) to this Form 4.

SEC source: 0001225208-18-007317 · doc4.xml · nonDerivative · entry 4

DALY RICHARD J · CIK 0001198860 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,181.0229

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 March 2, 2018.

SEC source: 0001225208-18-007300 · doc4.xml · nonDerivative · entry 1

KELLER BRETT · CIK 0001214608 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,741

F1 · shares: The reported transaction reflects the award of additional Deferred Stock Units under Broadridge's 2007 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.

F1 · price: The reported transaction reflects the award of additional Deferred Stock Units under Broadridge's 2007 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: 0001225208-18-007296 · doc4.xml · nonDerivative · entry 1

BRUN LESLIE A · CIK 0001217068 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,858

F1 · shares: The reported transaction reflects the award of additional Deferred Stock Units under Broadridge's 2007 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.

F1 · price: The reported transaction reflects the award of additional Deferred Stock Units under Broadridge's 2007 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: 0001225208-18-007297 · doc4.xml · nonDerivative · entry 1

Carter Pamela L · CIK 0001396958 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 868

F1 · shares: The reported transaction reflects the award of additional Deferred Stock Units under Broadridge's 2007 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.

F1 · price: The reported transaction reflects the award of additional Deferred Stock Units under Broadridge's 2007 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: 0001225208-18-007302 · doc4.xml · nonDerivative · entry 1

Markus Maura A. · CIK 0001571545 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,573

F1 · shares: The reported transaction reflects the award of additional Deferred Stock Units under Broadridge's 2007 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.

F1 · price: The reported transaction reflects the award of additional Deferred Stock Units under Broadridge's 2007 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: 0001225208-18-007129 · doc4.xml · derivative · entry 4

Mayadas Vijay · CIK 0001658677 · VP, Strategy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,284 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 April 2, 2018 1,284 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 April 2, 2018 1,284 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 April 2, 2018 1,284 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 April 2, 2018 1,284 Restricted Stock Units vested and converted into an equal number of shares of common stock.

SEC source: 0001225208-18-007129 · doc4.xml · nonDerivative · entry 3

Mayadas Vijay · CIK 0001658677 · VP, Strategy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,483.756

F2 · price: Represents the amount of shares withheld to cover tax liabilities upon the vesting of 1,540 performance based Restricted Stock Units that vested and converted into an equal number of shares of common stock on April 2, 2018.

SEC source: 0001225208-18-007129 · doc4.xml · nonDerivative · entry 2

Mayadas Vijay · CIK 0001658677 · VP, Strategy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,072.756

SEC source: 0001225208-18-007129 · doc4.xml · nonDerivative · entry 1

Mayadas Vijay · CIK 0001658677 · VP, Strategy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,554.756

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.

F1 · price: Each Restricted Stock Unit represented one share of Broadridge common stock and on April 2, 2018 1,284 Restricted Stock Units vested and converted into an equal number of shares of common stock.

SEC source: 0001225208-18-007128 · doc4.xml · derivative · entry 4

Matlin Laura · CIK 0001658944 · VP, Deputy GC and CGO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,513 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 April 2, 2018 1,513 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 April 2, 2018 1,513 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 April 2, 2018 1,513 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 April 2, 2018 1,513 Restricted Stock Units vested and converted into an equal number of shares of common stock.

SEC source: 0001225208-18-007128 · doc4.xml · nonDerivative · entry 3

Matlin Laura · CIK 0001658944 · VP, Deputy GC and CGO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,940.696

F2 · price: Represents the amount of shares withheld to cover tax liabilities upon the vesting of 1,816 performance based Restricted Stock Units that vested and converted into an equal number of shares of common stock on April 2, 2018.

SEC source: 0001225208-18-007128 · doc4.xml · nonDerivative · entry 2

Matlin Laura · CIK 0001658944 · VP, Deputy GC and CGO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,782.696

SEC source: 0001225208-18-007128 · doc4.xml · nonDerivative · entry 1

Matlin Laura · CIK 0001658944 · VP, Deputy GC and CGO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,474.696

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 April 2, 2018 1,513 Restricted Stock Units vested and converted into an equal number of shares of common stock.

SEC source: 0001225208-18-007127 · doc4.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,192 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 April 2, 2018 1,192 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 April 2, 2018 1,192 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 April 2, 2018 1,192 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 April 2, 2018 1,192 Restricted Stock Units vested and converted into an equal number of shares of common stock.

SEC source: 0001225208-18-007127 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,389.91

F2 · price: Represents the amount of shares withheld to cover tax liabilities upon the vesting of 1,431 performance based Restricted Stock Units that vested and converted into an equal number of shares of common stock on April 2, 2018.

SEC source: 0001225208-18-007127 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,090.91

SEC source: 0001225208-18-007127 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,666.91

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 April 2, 2018 1,192 Restricted Stock Units vested and converted into an equal number of shares of common stock.

SEC source: 0001225208-18-007120 · doc4.xml · nonDerivative · entry 1

Gokey Timothy C · CIK 0001296187 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,354.0271

SEC source: 0001225208-18-007119 · doc4.xml · nonDerivative · entry 1

DALY RICHARD J · CIK 0001198860 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 180,082.0229

SEC source: 0001225208-18-007126 · doc4.xml · nonDerivative · entry 1

Young James M · CIK 0001610934 · Corporate VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,652

SEC source: 0001225208-18-007125 · doc4.xml · nonDerivative · entry 1

Taylor Julie R. · CIK 0001588233 · Corporate VP and CHRO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,959.327

SEC source: 0001225208-18-007124 · doc4.xml · nonDerivative · entry 1

SCHIFELLITE ROBERT · CIK 0001391090 · Corporate SVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,421.6729

SEC source: 0001225208-18-007123 · doc4.xml · nonDerivative · entry 1

PERRY CHRISTOPHER JOHN · CIK 0001619128 · Corporate SVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,096.528

SEC source: 0001225208-18-007122 · doc4.xml · nonDerivative · entry 1

MARCHESANI CHARLES J · CIK 0001389951 · Corporate Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,087.1112

SEC source: 0001225208-18-007121 · doc4.xml · nonDerivative · entry 1

KALENKA ROBERT F · CIK 0001391091 · Corporate Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,379.4097

SEC source: 0001225208-18-007118 · doc4.xml · nonDerivative · entry 1

DESCHUTTER DOUGLAS RICHARD · CIK 0001391093 · Corporate Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,733.8948

SEC source: 0001225208-18-007117 · doc4.xml · nonDerivative · entry 1

AMSTERDAM ADAM D · CIK 0001391094 · Corporate Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,882.3989

SEC source: 0001225208-18-007317 · doc4.xml · derivative · entry 12

DALY RICHARD J · CIK 0001198860 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 80,374 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 March 2, 2018.

SEC source: 0001225208-18-007317 · doc4.xml · derivative · entry 11

DALY RICHARD J · CIK 0001198860 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,262

Underlying: Common Stock · 134,850 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 March 2, 2018.

SEC source: 0001225208-18-007317 · doc4.xml · nonDerivative · entry 3

DALY RICHARD J · CIK 0001198860 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 218,919.0229

F2 · kind: The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person on March 2, 2018.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $106.17 - $109.46, 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: 0001225208-18-007317 · doc4.xml · nonDerivative · entry 2

DALY RICHARD J · CIK 0001198860 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 418,219.0229

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 March 2, 2018.

SEC source: 0001225208-18-007317 · doc4.xml · nonDerivative · entry 1

DALY RICHARD J · CIK 0001198860 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 337,845.0229

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 March 2, 2018.

SEC source: 0001225208-18-007000 · doc4.xml · derivative · entry 1

Markus Maura A. · CIK 0001571545 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,634.8925

Underlying: Common Stock · 211.961 shares

Expires not disclosed

F1 · derivative.exercise_price: Each share of phantom stock is the economic equivalent of one share of common stock. The shares of phantom stock become payable in cash upon the reporting person's separation from service as a director.

F1 · derivative.exercise_date: Each share of phantom stock is the economic equivalent of one share of common stock. The shares of phantom stock become payable in cash upon the reporting person's separation from service as a director.

F1 · derivative.expiration_date: Each share of phantom stock is the economic equivalent of one share of common stock. The shares of phantom stock become payable in cash upon the reporting person's separation from service as a director.

SEC source: 0001225208-18-005794 · doc4.xml · nonDerivative · entry 1

Levine Stuart R · CIK 0001186624 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,554

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $105.83 - $106.25, 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: 0001225208-18-004322 · doc4.xml · derivative · entry 3

PERRY CHRISTOPHER JOHN · CIK 0001619128 · Corporate SVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,722

Underlying: Common Stock · 37,278 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: 0001225208-18-004322 · doc4.xml · nonDerivative · entry 2

PERRY CHRISTOPHER JOHN · CIK 0001619128 · Corporate SVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,866.528

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $100.50 - $100.63, 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: 0001225208-18-004322 · doc4.xml · nonDerivative · entry 1

PERRY CHRISTOPHER JOHN · CIK 0001619128 · Corporate SVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,462.528

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.

SEC source: 0001225208-18-004011 · doc4.xml · derivative · entry 5

Gokey Timothy C · CIK 0001296187 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,358

Underlying: Common Stock · 43,000 shares

Expires 2021-02-10

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: 0001225208-18-004011 · doc4.xml · nonDerivative · entry 4

Gokey Timothy C · CIK 0001296187 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,898.0271

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $100.28 - $100.47, 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 (1) to this Form 4.

SEC source: 0001225208-18-004011 · doc4.xml · nonDerivative · entry 3

Gokey Timothy C · CIK 0001296187 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,556.0271

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $100.18 - $100.40, 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.