BR

SEC source: 0001225208-17-002908 · doc4.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,799

Underlying: Common Stock · 10,799 shares

Expires 2027-02-10

F1 · derivative.exercise_date: Stock options vest equally over 4 years beginning February 10, 2018.

SEC source: 0001225208-17-002911 · doc4.xml · derivative · entry 1

Mayadas Vijay · CIK 0001658677 · VP, Strategy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,299

Underlying: Common Stock · 6,299 shares

Expires 2027-02-10

F1 · derivative.exercise_date: Stock options vest equally over 4 years beginning February 10, 2018.

SEC source: 0001225208-17-002906 · doc4.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,395

Underlying: Common Stock · 59,395 shares

Expires 2027-02-10

F1 · derivative.exercise_date: Stock options vest equally over 4 years beginning February 10, 2018.

SEC source: 0001225208-17-002903 · doc4.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 170,986

Underlying: Common Stock · 170,986 shares

Expires 2027-02-10

F1 · derivative.exercise_date: Stock options vest equally over 4 years beginning February 10, 2018.

SEC source: 0001225208-17-002907 · doc4.xml · derivative · entry 1

KALENKA ROBERT F · CIK 0001391091 · Corporate Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,899

Underlying: Common Stock · 9,899 shares

Expires 2027-02-10

F1 · derivative.exercise_date: Stock options vest equally over 4 years beginning February 10, 2018.

SEC source: 0001225208-17-002909 · doc4.xml · derivative · entry 1

MARCHESANI CHARLES J · CIK 0001389951 · Corporate Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,298

Underlying: Common Stock · 15,298 shares

Expires 2027-02-10

F1 · derivative.exercise_date: Stock options vest equally over 4 years beginning February 10, 2018.

SEC source: 0001225208-17-002915 · doc4.xml · derivative · entry 1

Young James M · CIK 0001610934 · Corporate VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,396

Underlying: Common Stock · 41,396 shares

Expires 2027-02-10

F1 · derivative.exercise_date: Stock options vest equally over 4 years beginning February 10, 2018.

SEC source: 0001225208-17-002914 · doc4.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,198

Underlying: Common Stock · 16,198 shares

Expires 2027-02-10

F1 · derivative.exercise_date: Stock options vest equally over 4 years beginning February 10, 2018.

SEC source: 0001225208-17-002913 · doc4.xml · derivative · entry 1

SCHIFELLITE ROBERT · CIK 0001391090 · Corporate Senior VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,397

Underlying: Common Stock · 32,397 shares

Expires 2027-02-10

F1 · derivative.exercise_date: Stock options vest equally over 4 years beginning February 10, 2018.

SEC source: 0001225208-17-002912 · doc4.xml · derivative · entry 1

PERRY CHRISTOPHER JOHN · CIK 0001619128 · Corporate SVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,197

Underlying: Common Stock · 25,197 shares

Expires 2027-02-10

F1 · derivative.exercise_date: Stock options vest equally over 4 years beginning February 10, 2018.

SEC source: 0001225208-17-002905 · doc4.xml · derivative · entry 1

DESCHUTTER DOUGLAS RICHARD · CIK 0001391093 · Corporate Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,999

Underlying: Common Stock · 8,999 shares

Expires 2027-02-10

F1 · derivative.exercise_date: Stock options vest equally over 4 years beginning February 10, 2018.

SEC source: 0001225208-17-002904 · doc4.xml · derivative · entry 1

Dampeer Lyell · CIK 0001558458 · Corporate Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,639

Underlying: Common Stock · 8,639 shares

Expires 2027-02-10

F1 · derivative.exercise_date: Stock options vest equally over 4 years beginning February 10, 2018.

SEC source: 0001225208-17-002902 · doc4.xml · derivative · entry 1

AMSTERDAM ADAM D · CIK 0001391094 · Corporate Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,598

Underlying: Common Stock · 21,598 shares

Expires 2027-02-10

F1 · derivative.exercise_date: Stock options vest equally over 4 years beginning February 10, 2018.

SEC source: 0001225208-17-011623 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,557.682

F1 · kind: Represents shares of Broadridge common stock acquired through dividend reinvestment on January 5, 2017.

SEC source: 0001225208-17-011622 · doc4.xml · nonDerivative · entry 3

PERRY CHRISTOPHER JOHN · CIK 0001619128 · Corporate SVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,101.673

F3 · kind: Represents shares of Broadridge common stock acquired through dividend reinvestment on January 5, 2017.

SEC source: 0001225208-17-000249 · doc4.xml · nonDerivative · entry 1

Duelks Robert N · CIK 0001477044 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,233

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: 0001225208-17-000250 · doc4.xml · nonDerivative · entry 1

Haviland Richard J · CIK 0001302903 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,838

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: 0001225208-17-000254 · doc4.xml · nonDerivative · entry 1

PERNA THOMAS J · CIK 0001209487 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,233

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: 0001225208-17-000252 · doc4.xml · nonDerivative · entry 1

Levine Stuart R · CIK 0001186624 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,025

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: 0001225208-17-000255 · doc4.xml · nonDerivative · entry 1

WEBER ALAN J · CIK 0001198093 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,963

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: 0001225208-17-000251 · doc4.xml · nonDerivative · entry 1

KELLER BRETT · CIK 0001214608 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,815

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: 0001225208-17-000248 · doc4.xml · nonDerivative · entry 1

BRUN LESLIE A · CIK 0001217068 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,263

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: 0001225208-17-000253 · doc4.xml · nonDerivative · entry 1

Markus Maura A. · CIK 0001571545 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,546

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: 0001225208-17-000253 · doc4.xml · derivative · entry 2

Markus Maura A. · CIK 0001571545 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,178.7268

Underlying: Common Stock · 339.3665 shares

Expires not disclosed

F2 · 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.

F2 · 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.

F2 · 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: 0001225208-16-042866 · doc4.xml · derivative · entry 4

Haviland Richard J · CIK 0001302903 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 12,500 shares

Expires 2017-05-31

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: 0001225208-16-042866 · doc4.xml · nonDerivative · entry 3

Haviland Richard J · CIK 0001302903 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,773

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $65.3247 - $65.34, 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: 0001225208-16-042866 · doc4.xml · nonDerivative · entry 2

Haviland Richard J · CIK 0001302903 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,123

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $65.2599 - $65.27, 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: 0001225208-16-042866 · doc4.xml · nonDerivative · entry 1

Haviland Richard J · CIK 0001302903 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,953

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: 0001225208-16-042372 · doc4.xml · derivative · entry 3

WEBER ALAN J · CIK 0001198093 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 12,500 shares

Expires 2017-05-31

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: 0001225208-16-042372 · doc4.xml · nonDerivative · entry 2

WEBER ALAN J · CIK 0001198093 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,898

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $66.3146 - $66.33, 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: 0001225208-16-042372 · doc4.xml · nonDerivative · entry 1

WEBER ALAN J · CIK 0001198093 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,668

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: 0001225208-16-041983 · doc4.xml · derivative · entry 3

Levine Stuart R · CIK 0001186624 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 12,500 shares

Expires 2017-05-31

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: 0001225208-16-041983 · doc4.xml · nonDerivative · entry 2

Levine Stuart R · CIK 0001186624 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,960

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $64.95 - $65.01, 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: 0001225208-16-041983 · doc4.xml · nonDerivative · entry 1

Levine Stuart R · CIK 0001186624 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,130

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: 0001225208-16-041967 · doc4.xml · derivative · entry 2

Duelks Robert N · CIK 0001477044 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,753

Underlying: Common Stock · 4,753 shares

Expires 2026-11-17

F2 · derivative.exercise_date: Stock options vest immediately upon grant.

SEC source: 0001225208-16-041967 · doc4.xml · nonDerivative · entry 1

Duelks Robert N · CIK 0001477044 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,168

F1 · shares: The reported transaction reflects the grant of Deferred Stock Units under Broadridge's 2007 Omnibus Award Plan and 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: 0001225208-16-041968 · doc4.xml · derivative · entry 2

Haviland Richard J · CIK 0001302903 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,753

Underlying: Common Stock · 4,753 shares

Expires 2026-11-17

F2 · derivative.exercise_date: Stock options vest immediately upon grant.

SEC source: 0001225208-16-041968 · doc4.xml · nonDerivative · entry 1

Haviland Richard J · CIK 0001302903 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,453

F1 · shares: The reported transaction reflects the grant of Deferred Stock Units under Broadridge's 2007 Omnibus Award Plan and 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: 0001225208-16-041966 · doc4.xml · derivative · entry 2

BRUN LESLIE A · CIK 0001217068 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,777

Underlying: Common Stock · 6,777 shares

Expires 2026-11-17

F2 · derivative.exercise_date: Stock options vest immediately upon grant.

SEC source: 0001225208-16-041966 · doc4.xml · nonDerivative · entry 1

BRUN LESLIE A · CIK 0001217068 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,168

F1 · shares: The reported transaction reflects the grant of Deferred Stock Units under Broadridge's 2007 Omnibus Award Plan and 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: 0001225208-16-041972 · doc4.xml · derivative · entry 2

PERNA THOMAS J · CIK 0001209487 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,753

Underlying: Common Stock · 4,753 shares

Expires 2026-11-17

F2 · derivative.exercise_date: Stock options vest immediately upon grant.

SEC source: 0001225208-16-041972 · doc4.xml · nonDerivative · entry 1

PERNA THOMAS J · CIK 0001209487 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,168

F1 · shares: The reported transaction reflects the grant of Deferred Stock Units under Broadridge's 2007 Omnibus Award Plan and 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: 0001225208-16-041970 · doc4.xml · derivative · entry 2

Levine Stuart R · CIK 0001186624 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,753

Underlying: Common Stock · 4,753 shares

Expires 2026-11-17

F2 · derivative.exercise_date: Stock options vest immediately upon grant.

SEC source: 0001225208-16-041970 · doc4.xml · nonDerivative · entry 1

Levine Stuart R · CIK 0001186624 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,630

F1 · shares: The reported transaction reflects the grant of Deferred Stock Units under Broadridge's 2007 Omnibus Award Plan and 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: 0001225208-16-041973 · doc4.xml · derivative · entry 2

WEBER ALAN J · CIK 0001198093 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,753

Underlying: Common Stock · 4,753 shares

Expires 2026-11-17

F2 · derivative.exercise_date: Stock options vest immediately upon grant.

SEC source: 0001225208-16-041973 · doc4.xml · nonDerivative · entry 1

WEBER ALAN J · CIK 0001198093 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,168

F1 · shares: The reported transaction reflects the grant of Deferred Stock Units under Broadridge's 2007 Omnibus Award Plan and 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: 0001225208-16-041969 · doc4.xml · derivative · entry 2

KELLER BRETT · CIK 0001214608 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,753

Underlying: Common Stock · 4,753 shares

Expires 2026-11-17

F2 · derivative.exercise_date: Stock options vest immediately upon grant.

SEC source: 0001225208-16-041969 · doc4.xml · nonDerivative · entry 1

KELLER BRETT · CIK 0001214608 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,801

F1 · shares: The reported transaction reflects the grant of Deferred Stock Units under Broadridge's 2007 Omnibus Award Plan and 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: 0001225208-16-041971 · doc4.xml · derivative · entry 2

Markus Maura A. · CIK 0001571545 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,753

Underlying: Common Stock · 4,753 shares

Expires 2026-11-17

F2 · derivative.exercise_date: Stock options vest immediately upon grant.

SEC source: 0001225208-16-041971 · doc4.xml · nonDerivative · entry 1

Markus Maura A. · CIK 0001571545 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,509

F1 · shares: The reported transaction reflects the grant of Deferred Stock Units under Broadridge's 2007 Omnibus Award Plan and 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.