BR

SEC source: 0001225208-16-042355 · doc4a.xml · derivative · entry 1

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

F1 · derivative.exercise_price: This amendment is filed to correct the exercise price of the stock options to $64.89.

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

SEC source: 0001225208-16-042357 · doc4a.xml · derivative · entry 1

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

F1 · derivative.exercise_price: This amendment is filed to correct the exercise price of the stock options to $64.89.

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

SEC source: 0001225208-16-042361 · doc4a.xml · derivative · entry 1

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

F1 · derivative.exercise_price: This amendment is filed to correct the exercise price of the stock options to $64.89.

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

SEC source: 0001225208-16-042359 · doc4a.xml · derivative · entry 1

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

F1 · derivative.exercise_price: This amendment is filed to correct the exercise price of the stock options to $64.89.

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

SEC source: 0001225208-16-042362 · doc4a.xml · derivative · entry 1

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

F1 · derivative.exercise_price: This amendment is filed to correct the exercise price of the stock options to $64.89.

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

SEC source: 0001225208-16-042358 · doc4a.xml · derivative · entry 1

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

F1 · derivative.exercise_price: This amendment is filed to correct the exercise price of the stock options to $64.89.

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

SEC source: 0001225208-16-042356 · doc4a.xml · derivative · entry 1

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

F1 · derivative.exercise_price: This amendment is filed to correct the exercise price of the stock options to $64.89.

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

SEC source: 0001225208-16-042360 · doc4a.xml · derivative · entry 1

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

F1 · derivative.exercise_price: This amendment is filed to correct the exercise price of the stock options to $64.89.

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

SEC source: 0001225208-16-041920 · doc4.xml · derivative · entry 3

BRUN LESLIE A · CIK 0001217068 · 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: 0001225208-16-041920 · doc4.xml · nonDerivative · entry 2

BRUN LESLIE A · CIK 0001217068 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,697

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $62.62 - $62.68, 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: 0001225208-16-041920 · doc4.xml · nonDerivative · entry 1

BRUN LESLIE A · CIK 0001217068 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,622

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: 0001225208-16-041757 · doc4.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,921

Underlying: Common Stock · 2,460 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 November 14, 2016 2,460 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 November 14, 2016 2,460 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 November 14, 2016 2,460 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 November 14, 2016 2,460 Restricted Stock Units vested and converted into an equal number of shares of common stock.

SEC source: 0001225208-16-041757 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,550

SEC source: 0001225208-16-041757 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,460

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 November 14, 2016 2,460 Restricted Stock Units vested and converted into an equal number of shares of common stock.

SEC source: 0001225208-17-011622 · doc4.xml · nonDerivative · entry 2

PERRY CHRISTOPHER JOHN · CIK 0001619128 · Corporate SVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,048.563

F2 · kind: Represents shares of Broadridge common stock acquired through dividend reinvestment on October 4, 2016.

SEC source: 0001225208-16-039908 · doc4.xml · nonDerivative · entry 1

Duelks Robert N · CIK 0001477044 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,136

F1 · security: 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 · 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: 0001225208-16-039909 · doc4.xml · nonDerivative · entry 1

Haviland Richard J · CIK 0001302903 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,421

F1 · security: 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 · 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: 0001225208-16-039913 · doc4.xml · nonDerivative · entry 1

PERNA THOMAS J · CIK 0001209487 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,136

F1 · security: 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 · 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: 0001225208-16-039911 · doc4.xml · nonDerivative · entry 1

Levine Stuart R · CIK 0001186624 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,598

F1 · security: 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 · 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: 0001225208-16-039914 · doc4.xml · nonDerivative · entry 1

WEBER ALAN J · CIK 0001198093 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,136

F1 · security: 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 · 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: 0001225208-16-039910 · doc4.xml · nonDerivative · entry 1

KELLER BRETT · CIK 0001214608 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,769

F1 · security: 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 · 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: 0001225208-16-039907 · doc4.xml · nonDerivative · entry 1

BRUN LESLIE A · CIK 0001217068 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,122

F1 · security: 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 · 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: 0001225208-16-039912 · doc4.xml · nonDerivative · entry 1

Markus Maura A. · CIK 0001571545 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,477

F1 · security: 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 · 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: 0001225208-16-039912 · doc4.xml · derivative · entry 2

Markus Maura A. · CIK 0001571545 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,839.3603

Underlying: Common Stock · 365.0981 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: 0001225208-16-039759 · doc4.xml · derivative · entry 8

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,374

Underlying: Common Stock · 7,284 shares

Expires 2023-02-11

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The reported transaction is a stock option exercise pursuant to a 10b5-1 plan adopted by the reporting person on August 19, 2016.

SEC source: 0001225208-16-039759 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 248,009.0229

F2 · kind: The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person on August 19, 2016.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $67.99 - $68.51, 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: 0001225208-16-039759 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 254,104.0229

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 August 19, 2016.

SEC source: 0001225208-16-039746 · doc4.xml · derivative · entry 13

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,658

Underlying: Common Stock · 72,715 shares

Expires 2023-02-11

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The reported transaction is a stock option exercise pursuant to a 10b5-1 plan adopted by the reporting person on August 19, 2016.

SEC source: 0001225208-16-039746 · doc4.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 246,820.0229

F2 · kind: The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person on August 19, 2016.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $68.70 - $69.30, 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 (4) to this Form 4.

SEC source: 0001225208-16-039746 · doc4.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 307,620.0229

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 August 19, 2016.

SEC source: 0001225208-16-039746 · doc4.xml · derivative · entry 12

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 160,373

Underlying: Common Stock · 161,120 shares

Expires 2023-02-11

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The reported transaction is a stock option exercise pursuant to a 10b5-1 plan adopted by the reporting person on August 19, 2016.

SEC source: 0001225208-16-039746 · doc4.xml · derivative · entry 11

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,079 shares

Expires 2022-02-09

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The reported transaction is a stock option exercise pursuant to a 10b5-1 plan adopted by the reporting person on August 19, 2016.

SEC source: 0001225208-16-039746 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 234,905.0229

F2 · kind: The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person on August 19, 2016.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $68.99 - $69.68, 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: 0001225208-16-039746 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 375,565.0229

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 August 19, 2016.

SEC source: 0001225208-16-039746 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 368,486.0229

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 August 19, 2016.

SEC source: 0001225208-16-039703 · doc4.xml · derivative · entry 13

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,079

Underlying: Common Stock · 216,790 shares

Expires 2022-02-09

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The reported transaction is a stock option exercise pursuant to a 10b5-1 plan adopted by the reporting person on August 19, 2016.

SEC source: 0001225208-16-039703 · doc4.xml · derivative · entry 12

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,260 shares

Expires 2020-02-08

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.

F1 · kind: The reported transaction is a stock option exercise pursuant to a 10b5-1 plan adopted by the reporting person on August 19, 2016.

SEC source: 0001225208-16-039703 · doc4.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 207,366.0229

F2 · kind: The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person on August 19, 2016.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $68.15 - $70.08, 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: 0001225208-16-039703 · doc4.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 393,643.0229

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 August 19, 2016.

SEC source: 0001225208-16-039703 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 389,383.0229

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 August 19, 2016.

SEC source: 0001225208-16-039703 · doc4.xml · derivative · entry 11

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,260

Underlying: Common Stock · 63,570 shares

Expires 2020-02-08

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.

F1 · kind: The reported transaction is a stock option exercise pursuant to a 10b5-1 plan adopted by the reporting person on August 19, 2016.

SEC source: 0001225208-16-039703 · doc4.xml · nonDerivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Indirect · by The KLD 2014 Trust

Disclosed balance after: 5,445

F5 · kind: The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person on August 22, 2016.

F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $68.91 - $69.43, 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 (6) to this Form 4.

SEC source: 0001225208-16-039703 · doc4.xml · nonDerivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Indirect · by The EED 2014 Trust

Disclosed balance after: 5,445

F5 · kind: The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person on August 22, 2016.

F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $68.91 - $69.43, 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 (6) to this Form 4.

SEC source: 0001225208-16-039703 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 172,593.0229

F2 · kind: The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person on August 19, 2016.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $68.75 - $69.33, 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 (3) to this Form 4.

SEC source: 0001225208-16-039703 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 226,507.0229

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 August 19, 2016.

SEC source: 0001225208-16-039595 · doc4.xml · derivative · entry 12

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,830

Underlying: Common Stock · 31,630 shares

Expires 2020-02-08

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.

F1 · kind: The reported transaction is a stock option exercise pursuant to a 10b5-1 plan adopted by the reporting person on August 19, 2016.

SEC source: 0001225208-16-039595 · doc4.xml · nonDerivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Indirect · by The KLD 2014 Trust

Disclosed balance after: 7,817

F6 · kind: The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person on August 22, 2016.

F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $69.62 - $70.04, inclusive. The reporting person undertakes to provide to Broadridge Financial Solutions, Inc., any shareholder of Broadridge Financial Solutions, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (7) to this Form 4.

SEC source: 0001225208-16-039595 · doc4.xml · nonDerivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Indirect · by The EED 2014 Trust

Disclosed balance after: 7,817

F6 · kind: The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person on August 22, 2016.

F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $69.62 - $70.04, inclusive. The reporting person undertakes to provide to Broadridge Financial Solutions, Inc., any shareholder of Broadridge Financial Solutions, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (7) to this Form 4.

SEC source: 0001225208-16-039595 · doc4.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 162,937.0229

F2 · kind: The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person on August 19, 2016.

F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $69.64 - $70.03, 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 (5) to this Form 4.

SEC source: 0001225208-16-039595 · doc4.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 189,724.0229

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 August 19, 2016.