1. Title of Derivative Security (Instr. 4)
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2. Date Exercisable and Expiration Date (Month/Day/Year)
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3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5)
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6. Nature of Indirect Beneficial Ownership (Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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| FY2022 RSUs |
(1) |
(1) |
Common Stock |
860 |
$ 0 |
D |
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| FY2023 RSUs |
(1) |
(1) |
Common Stock |
444 |
$ 0 |
D |
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| FY2024 RSUs June 2024 |
(2) |
(2) |
Common Stock |
2,509 |
$ 0 |
D |
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| FY2024 RSUs October 2023 |
(3) |
(3) |
Common Stock |
406 |
$ 0 |
D |
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| Stock Option (Right to Buy) |
02/15/2025 |
02/15/2033 |
Common Stock |
1,463 (4) |
$ 144.67 |
D |
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| Stock Option (Right to Buy) |
02/14/2025 |
02/14/2032 |
Common Stock |
892 (5) |
$ 144.84 |
D |
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| Stock Option (Right to Buy) |
02/15/2025 |
02/15/2034 |
Common Stock |
1,396 (6) |
$ 198.3 |
D |
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*
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If the form is filed by more than one reporting person, see Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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(1)
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Restricted Stock Units granted under Broadridge's 2018 Omnibus Award Plan representing a like number of shares of Broadridge common stock. The Restricted Stock Units will vest and convert into Broadridge common stock on April 1, 2025.
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(2)
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Restricted Stock Units granted under Broadridge's 2018 Omnibus Award Plan representing a like number of shares of Broadridge common stock. The Restricted Stock Units will vest and convert into Broadridge common stock on June 27, 2026.
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(3)
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Restricted Stock Units granted under Broadridge's 2018 Omnibus Award Plan representing a like number of shares of Broadridge common stock. The Restricted Stock Units will vest and convert into Broadridge common stock on October 1, 2026.
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(4)
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1,950 stock options were initially granted on February 15, 2023 under Broadridge's 2018 Omnibus Award Plan and vested equally over 4 years. 1,463 stock options remain outstanding and vest equally over the next 3 years.
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(5)
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1,784 stock options were initially granted on February 14, 2022 under Broadridge's 2018 Omnibus Award Plan and vested equally over 4 years. 892 stock options remain outstanding and vest equally over the next 2 years.
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(6)
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Stock options granted under Broadridge's 2018 Omnibus Award Plan on February 15, 2024, vesting equally over 4 years beginning February 15, 2025.
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