BR

SEC source: 0001225208-17-010577 · doc4.xml · nonDerivative · entry 2

DESCHUTTER DOUGLAS RICHARD · CIK 0001391093 · Corporate Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,267.8948

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $75.05 - $75.40, 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.

SEC source: 0001225208-17-010577 · doc4.xml · nonDerivative · entry 1

DESCHUTTER DOUGLAS RICHARD · CIK 0001391093 · Corporate Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 106,652.8948

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: 0001225208-17-010428 · doc4.xml · derivative · entry 5

PERRY CHRISTOPHER JOHN · CIK 0001619128 · Corporate SVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 113,444

Underlying: Common Stock · 41,450 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: 0001225208-17-010428 · doc4.xml · derivative · entry 4

PERRY CHRISTOPHER JOHN · CIK 0001619128 · Corporate SVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,006

Underlying: Common Stock · 7,668 shares

Expires 2026-02-08

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: 0001225208-17-010428 · doc4.xml · nonDerivative · entry 3

PERRY CHRISTOPHER JOHN · CIK 0001619128 · Corporate SVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,510

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $74.25 - $74.48, 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: 0001225208-17-010428 · doc4.xml · nonDerivative · entry 2

PERRY CHRISTOPHER JOHN · CIK 0001619128 · Corporate SVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,936

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: 0001225208-17-010428 · doc4.xml · nonDerivative · entry 1

PERRY CHRISTOPHER JOHN · CIK 0001619128 · Corporate SVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,268

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: 0001225208-17-010346 · doc4.xml · derivative · entry 3

MARCHESANI CHARLES J · CIK 0001389951 · Corporate Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,153

Underlying: Common Stock · 12,458 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: 0001225208-17-010346 · doc4.xml · nonDerivative · entry 2

MARCHESANI CHARLES J · CIK 0001389951 · Corporate Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,855.1112

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $73.50 - $74.02, 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: 0001225208-17-010346 · doc4.xml · nonDerivative · entry 1

MARCHESANI CHARLES J · CIK 0001389951 · Corporate Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,328.1112

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: 0001225208-17-010344 · doc4.xml · derivative · entry 8

PERRY CHRISTOPHER JOHN · CIK 0001619128 · Corporate SVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 154,894

Underlying: Common Stock · 6,225 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: 0001225208-17-010344 · doc4.xml · nonDerivative · entry 5

PERRY CHRISTOPHER JOHN · CIK 0001619128 · Corporate SVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,818

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $74.25 - $74.30, 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: 0001225208-17-010344 · doc4.xml · nonDerivative · entry 4

PERRY CHRISTOPHER JOHN · CIK 0001619128 · Corporate SVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,571

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: 0001225208-17-010344 · doc4.xml · derivative · entry 7

PERRY CHRISTOPHER JOHN · CIK 0001619128 · Corporate SVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 161,119

Underlying: Common Stock · 46,325 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: 0001225208-17-010344 · doc4.xml · derivative · entry 6

PERRY CHRISTOPHER JOHN · CIK 0001619128 · Corporate SVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 207,444

Underlying: Common Stock · 19,444 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: 0001225208-17-010344 · doc4.xml · nonDerivative · entry 3

PERRY CHRISTOPHER JOHN · CIK 0001619128 · Corporate SVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,346

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $74.25 - $74.60, 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: 0001225208-17-010344 · doc4.xml · nonDerivative · entry 2

PERRY CHRISTOPHER JOHN · CIK 0001619128 · Corporate SVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,109

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: 0001225208-17-010344 · doc4.xml · nonDerivative · entry 1

PERRY CHRISTOPHER JOHN · CIK 0001619128 · Corporate SVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,665

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: 0001225208-17-010167 · doc4.xml · derivative · entry 4

PERRY CHRISTOPHER JOHN · CIK 0001619128 · Corporate SVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 62,111 shares

Expires 2024-11-13

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: 0001225208-17-010167 · doc4.xml · nonDerivative · entry 3

PERRY CHRISTOPHER JOHN · CIK 0001619128 · Corporate SVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,340

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $72.50 - $72.69, 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: 0001225208-17-010167 · doc4.xml · nonDerivative · entry 2

PERRY CHRISTOPHER JOHN · CIK 0001619128 · Corporate SVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,783

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $72.50 - $72.76, 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: 0001225208-17-010167 · doc4.xml · nonDerivative · entry 1

PERRY CHRISTOPHER JOHN · CIK 0001619128 · Corporate SVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,276

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: 0001225208-17-009960 · doc4.xml · nonDerivative · entry 1

SCHIFELLITE ROBERT · CIK 0001391090 · Corporate Senior VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,166.6729

SEC source: 0001225208-17-009867 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,270.696

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $71.88 - $71.8875, 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: 0001225208-17-011623 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,565.327

F2 · kind: Represents shares of Broadridge common stock acquired through dividend reinvestment on April 4, 2017.

SEC source: 0001225208-17-011622 · doc4.xml · nonDerivative · entry 4

PERRY CHRISTOPHER JOHN · CIK 0001619128 · Corporate SVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,371.528

F4 · kind: Represents shares of Broadridge common stock acquired through dividend reinvestment on April 4, 2017.

SEC source: 0001225208-17-007242 · doc4.xml · nonDerivative · entry 1

Duelks Robert N · CIK 0001477044 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,297

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: 0001225208-17-007243 · doc4.xml · nonDerivative · entry 1

Haviland Richard J · CIK 0001302903 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,902

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: 0001225208-17-007247 · doc4.xml · nonDerivative · entry 1

PERNA THOMAS J · CIK 0001209487 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,297

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: 0001225208-17-007245 · doc4.xml · nonDerivative · entry 1

Levine Stuart R · CIK 0001186624 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,089

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: 0001225208-17-007248 · doc4.xml · nonDerivative · entry 1

WEBER ALAN J · CIK 0001198093 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,027

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: 0001225208-17-007244 · doc4.xml · nonDerivative · entry 1

KELLER BRETT · CIK 0001214608 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,828

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: 0001225208-17-007241 · doc4.xml · nonDerivative · entry 1

BRUN LESLIE A · CIK 0001217068 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,356

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: 0001225208-17-007246 · doc4.xml · nonDerivative · entry 1

Markus Maura A. · CIK 0001571545 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,582

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: 0001225208-17-007625 · 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 · 1,212 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 3, 2017 1,212 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 3, 2017 1,212 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 3, 2017 1,212 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 3, 2017 1,212 Restricted Stock Units vested and converted into an equal number of shares of common stock.

SEC source: 0001225208-17-007625 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,900.696

F2 · price: Represents the amount of shares withheld to cover tax liabilities upon the vesting of 1,333 performance based Restricted Stock Units that vested and converted into an equal number of shares of common stock on April 3, 2017.

SEC source: 0001225208-17-007625 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,355.696

SEC source: 0001225208-17-007625 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,772.696

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 3, 2017 1,212 Restricted Stock Units vested and converted into an equal number of shares of common stock.

SEC source: 0001225208-17-007626 · 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 · 1,696 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 3, 2017 1,696 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 3, 2017 1,696 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 3, 2017 1,696 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 3, 2017 1,696 Restricted Stock Units vested and converted into an equal number of shares of common stock.

SEC source: 0001225208-17-007626 · doc4.xml · nonDerivative · entry 3

Mayadas Vijay · CIK 0001658677 · VP, Strategy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,730.756

F2 · price: Represents the amount of shares withheld to cover tax liabilities upon the vesting of 1,866 performance based Restricted Stock Units that vested and converted into an equal number of shares of common stock on April 3, 2017.

SEC source: 0001225208-17-007626 · doc4.xml · nonDerivative · entry 2

Mayadas Vijay · CIK 0001658677 · VP, Strategy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,490.756

SEC source: 0001225208-17-007626 · doc4.xml · nonDerivative · entry 1

Mayadas Vijay · CIK 0001658677 · VP, Strategy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,190.756

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 3, 2017 1,696 Restricted Stock Units vested and converted into an equal number of shares of common stock.

SEC source: 0001225208-17-007624 · 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 · 1,333 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 3, 2017 1,333 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 3, 2017 1,333 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 3, 2017 1,333 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 3, 2017 1,333 Restricted Stock Units vested and converted into an equal number of shares of common stock.

SEC source: 0001225208-17-007624 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,043.91

F2 · price: Represents the amount of shares withheld to cover tax liabilities upon the vesting of 1,466 performance based Restricted Stock Units that vested and converted into an equal number of shares of common stock on April 3, 2017.

SEC source: 0001225208-17-007624 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,584.91

SEC source: 0001225208-17-007624 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,077.91

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 3, 2017 1,333 Restricted Stock Units vested and converted into an equal number of shares of common stock.

SEC source: 0001225208-17-007620 · doc4.xml · nonDerivative · entry 1

Gokey Timothy C · CIK 0001296187 · Senior Vice President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,210.0271

SEC source: 0001225208-17-007617 · doc4.xml · nonDerivative · entry 1

DALY RICHARD J · CIK 0001198860 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 225,202.0229

SEC source: 0001225208-17-007628 · doc4.xml · derivative · entry 4

Young James M · CIK 0001610934 · Corporate VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,878 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 3, 2017 4,878 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 3, 2017 4,878 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 3, 2017 4,878 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 3, 2017 4,878 Restricted Stock Units vested and converted into an equal number of shares of common stock.

SEC source: 0001225208-17-007628 · doc4.xml · nonDerivative · entry 3

Young James M · CIK 0001610934 · Corporate VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,749

F2 · price: Represents the amount of shares withheld to cover tax liabilities upon the vesting of 13,999 performance based Restricted Stock Units that vested and converted into an equal number of shares of common stock on April 3, 2017.