Document:

Form of Note Linked to the Russell

 Exhibit 4.1 

[Face of Note] 

Unless this certificate is presented by an authorized representative of The Depository Trust Company, a New York corporation
(“DTC”), to the Company or its agent for registration of transfer, exchange or payment, and any certificate issued is registered in the name of Cede & Co. or in such other name as requested by an authorized representative of DTC
(and any payment is made to Cede & Co. or such other entity as is requested by an authorized representative of DTC), ANY TRANSFER, PLEDGE OR OTHER USE HEREOF FOR VALUE OR OTHERWISE BY OR TO ANY PERSON IS WRONGFUL inasmuch as the registered
owner hereof, Cede & Co., has an interest herein. 
  

			
	CUSIP NO. 949746QT1	 	FACE AMOUNT: $
	REGISTERED NO.	 	

 WELLS FARGO & COMPANY 

Notes Linked to the Russell
2000® Index 

due August 10, 2012 

WELLS FARGO & COMPANY, a corporation duly organized and existing under the laws of the State of Delaware (hereinafter called the
“Company,” which term includes any successor corporation under the Indenture hereinafter referred to), for value received, hereby promises to pay to CEDE & Co., or registered assigns, an amount equal to the Maturity Payment
Amount (as defined below), in such coin or currency of the United States of America as at the time of payment is legal tender for payment of public and private debts, on the Stated Maturity Date. The “Initial Stated Maturity Date”
shall be August 10, 2012. If no Market Disruption Event (as defined below) occurs or is continuing on the scheduled Valuation Date (as defined below), the Initial Stated Maturity Date will be the “Stated Maturity Date.” If a
Market Disruption Event occurs or is continuing on the scheduled Valuation Date, the “Stated Maturity Date” shall be the later of (i) three Business Days (as defined below) after the postponed Valuation Date and (ii) the
Initial Stated Maturity Date. This Security shall not bear any interest. 
 Any payments on this Security at Maturity will be
made against presentation of this Security at the office or agency of the Company maintained for that purpose in the City of Minneapolis, Minnesota and at any other office or agency maintained by the Company for such purpose. 

 Determination of Maturity Payment Amount 

“Maturity Payment Amount” shall mean, for each $1,000 Face Amount of this Security: 

 

	 	•	 	 if the Final Index Level is greater than the Initial Index Level, $1,000 plus the lesser of (A) the Additional Amount (as defined below) and
(B) the Capped Return Amount (as defined below); 

  

	 	•	 	 if the Final Index Level is equal to the Initial Index Level or is at least 90% of the Initial Index Level, $1,000; and 

 

	 	•	 	 if the Final Index Level is less than 90% of the Initial Index Level, the Downside Payment Amount, if any, (as defined below).

 “Additional Amount” shall mean, for each $1,000 Face Amount of this Security, an amount
equal to the product of: 
  

	 	•	 	 $1,000; 

  

	 	•	 	 1.5; and 

  

	 	•	 	 Final Index Level – Initial Index Level 

         Initial Index Level 

“Capped Return Amount” shall be equal to $270 per $1,000 Face Amount of this Security. 

“Downside Payment Amount” for each $1,000 Face Amount of this Security will be less than $1,000, reflect 111.11% of the
negative return of the Index and be equal to the product of: 
  

	 	•	 	 $1,000; 

  

	 	•	 	 Multiplier; and 

  

	 	•	 	 Final Index Level 

    Initial Index Level 

“Multiplier” shall be equal to 1.1111. 

The “Initial Index Level” is 716.60, the Closing Level of the Index on the date this Security was priced for initial
sale to the public. 
 The “Final Index Level” shall be equal to Closing Level of the Index on the Valuation
Date. 
 “Index” shall mean the Russell 2000 Index. 

“Business Day” shall mean a day, other than a Saturday or Sunday, that is neither a legal holiday nor a day on which
banking institutions are authorized or required by law or regulation to close in New York, New York or Minneapolis, Minnesota. 
  

 2 

 “Calculation Agency Agreement” shall mean the Calculation Agency Agreement
dated as of May 10, 2010 between the Company and the Calculation Agent, as amended from time to time. 

“Calculation Agent” shall mean the Person that has entered into the Calculation Agency Agreement with the Company
providing for, among other things, the determination of the Final Index Level, the Additional Amount, if any, or the Downside Payment Amount, if applicable, and the Maturity Payment Amount, which term shall, unless the context otherwise requires,
include its successors under such Calculation Agency Agreement. The initial Calculation Agent shall be Wells Fargo Securities, LLC. Pursuant to the Calculation Agency Agreement, the Company may appoint a different Calculation Agent from time to time
after the initial issuance of the Securities of this series without the consent of the Holders of the Securities of this series and without notifying the Holders of the Securities of this series. 

The “Closing Level” of the Index on any Trading Day shall mean the closing level of the Index as reported by Russell (or
of any successor index, as reported by the sponsor of that successor index) on such Trading Day or as determined by the Calculation Agent as described in “—Discontinuance of the Index; Alteration Of Method Of Calculation.” 

“Face Amount” shall mean, when used with respect to any Security or Securities of this series, the amount set forth on
the face of such Security or Securities as its or their “Face Amount.” 
 A “Market Disruption Event”
with respect to the Index will occur on any day if the Calculation Agent determines, in its sole discretion, any of the following: 
  

	 	•	 	 A material suspension or material limitation of trading in 20% or more of the underlying stocks which then comprise the Index or any successor index
has occurred on that day, in each case, during the one-hour period preceding the close of trading on the primary organized U.S. exchange or trading system on which those stocks are traded or, if in the case of a common stock not listed or quoted in
the United States, on the primary non-U.S. exchange, trading system or market for that security. Limitations on trading during significant market fluctuations imposed pursuant to New York Stock Exchange Rule 80B or any applicable rule or regulation
enacted or promulgated by The New York Stock Exchange, any other exchange, trading system or market, any other self regulatory organization or the Securities and Exchange Commission of similar scope or as a replacement for Rule 80B, may be
considered material. For purposes of this certificate “trading system” includes bulletin board services. 

  

	 	•	 	 A material suspension or material limitation has occurred on that day, in each case during the one-hour period preceding the close of trading in
options or futures contracts related to the Index or any successor index, whether by reason of movements in price exceeding levels permitted by the exchange, trading system or market on which those options or futures contracts are traded or
otherwise. 

  

 3 

	 	•	 	 Any event, other than an early closure, that materially disrupts or impairs the ability of market participants in general to effect transactions in, or
obtain market values for, the securities that then comprise 20% or more of the Index or any successor index, at any time during the one-hour period preceding the close of trading on that day. 

 

	 	•	 	 Any event, other than an early closure, that materially disrupts or impairs the ability of market participants in general to effect transactions in, or
obtain market values for, the futures or options contracts relating to the Index or any successor index on the primary exchange or quotation system on which those futures or options contracts are traded, at any time during the one-hour period
preceding the close of trading on that day. 

  

	 	•	 	 The closure of an exchange, trading system or market on which the securities that then comprise 20% or more of the Index or any successor index are
traded or which futures or options contracts relating to the Index or any successor index are traded prior to its scheduled closing time unless the earlier closing time is announced by such exchange, trading system or market at least one hour prior
to the earlier of (1) the actual closing time for the regular trading session of the exchange, trading system or market and (2) the submission deadline for orders to be entered in the exchange, trading system or market for execution on
such trading day. 

 For purposes of determining whether a Market Disruption Event has occurred: 

 

	 	•	 	 the relevant percentage contribution of a security to the level of the Index or any successor index will be based on a comparison of (x) the
portion of the level of the Index attributable to that security and (y) the overall level of the Index, in each case immediately before the occurrence of the Market Disruption Event; and 

 

	 	•	 	 “close of trading” means 4 p.m, New York City time. 

“Russell” means Frank Russell Company, doing business as Russell Investment Group. 

A “Trading Day” is a day on which The New York Stock Exchange, The Nasdaq Stock Market and the American Stock Exchange,
or any successor thereto, are open for trading during their regular trading sessions. 
 The “Valuation Date”
shall be the last Trading Day of July 2012. If the Calculation Agent determines that a Market Disruption Event has occurred or is continuing on the scheduled Valuation Date, the Valuation Date will be postponed to the first succeeding Trading Day on
which there is not a Market Disruption Event. If the Valuation Date has been postponed for eight Business Days after the scheduled Valuation Date and such eighth Business Day is not a Trading Day, or if a Market Disruption Event occurs or is
continuing on such eighth Business Day, the Calculation Agent will determine the Closing Level of the Index on such eighth Business Day in accordance with the formula for and method of calculating the Closing Level of the Index last in effect prior
to commencement of the Market Disruption Event, using the closing price (or, if 
  

 4 

 
trading in the relevant securities has been materially suspended or materially limited, its good faith estimate of the closing price that would have prevailed but for such suspension or
limitation or non-Trading Day) on such date of each security most recently included in the Index. Any such postponement of the date that would otherwise be the scheduled Valuation Date will cause the Stated Maturity Date to be postponed until three
Business Days after the Valuation Date if such third Business Day is after the Initial Stated Maturity Date. 
 Discontinuance Of The Index;
Alteration Of Method Of Calculation 
 If Russell discontinues publication of the Index and Russell or another entity
publishes a successor or substitute index that the Calculation Agent determines, in its sole discretion, to be comparable to the discontinued Index, then any subsequent Closing Level of the Index will be determined by reference to the level of such
successor index or substitute index (in any such case, referred to herein as a “successor index”) at 4:00 p.m., New York City time, on the date that any such subsequent Closing Level of the Index is to be determined. 

Upon any selection by the Calculation Agent of a successor index, the Company will promptly give notice to the Holders of the Securities
of this series. 
 If Russell discontinues publication of the Index prior to, and such discontinuance is continuing on, the date
that any Closing Level of the Index is to be determined and the Calculation Agent determines that no successor index is available at such time, then, on such date, the Calculation Agent will determine the Closing Level to be used in computing the
amount payable at stated maturity. Such Closing Level will be computed by the Calculation Agent in accordance with the formula for and method of calculating the Index last in effect prior to such discontinuance, using the closing price (or, if
trading in the relevant security has been materially suspended or materially limited, its good faith estimate of the closing price that would have prevailed but for such suspension or limitation) at the close of the principal trading session on such
date of each security most recently comprising the Index on the primary organized exchange or trading system. As used herein, “closing price” means, with respect to any security on any date, the last reported sales price regular way
on such date or, in case no such reported sale takes place on such date, the average of the reported closing bid and asked prices regular way on such date, in either case on the primary organized exchange or trading system on which such security is
then listed or admitted to trading. 
 If a successor index is selected or the Calculation Agent calculates a Closing Level as a
substitute for the Index, such successor index or Closing Level will be used as a substitute for the Index for all purposes, including for purposes of determining whether a Market Disruption Event exists. 

If at any time the method of calculating the Index or a successor index, or the Closing Level thereof, is changed in a material respect,
or if the Index or a successor index is in any other way modified so that such Index does not, in the opinion of the Calculation Agent, fairly represent the value of the Index or such successor index had such changes or modifications not been made,
then the Calculation Agent will, at the close of business in New York City on the date that any Closing Level is to be determined, make such calculations and adjustments as, in 

 

 5 

 
the good faith judgment of the Calculation Agent, may be necessary in order to arrive at a value of a stock index comparable to the Index or such successor index, as the case may be, as if such
changes or modifications had not been made. The Calculation Agent will calculate the Closing Level of the Index and the amount payable at stated maturity with reference to the Index or such successor index, as adjusted. Accordingly, if the method of
calculating the Index or a successor index is modified so that the level of such index is a fraction of what it would have been if it had not been modified (for example, due to a split in the index), then the Calculation Agent will adjust such index
in order to arrive at a level of the Index or such successor index as if it had not been modified (for example, as if such split had not occurred). 

Calculation Agent 
 The
Calculation Agent will determine the Maturity Payment Amount. In addition, the Calculation Agent will (i) determine if adjustments are required to the Closing Level of the Index under the circumstances described in this Security, (ii) if
publication of the Index is discontinued, select a successor index or, if no successor index is available, determine the Closing Level under the circumstances described in this Security and (iii) determine whether a Market Disruption Event has
occurred. 
 The Company covenants that, so long as any of the Securities of this series are Outstanding, there shall at all
times be a Calculation Agent (which shall be a broker-dealer, bank or other financial institution) with respect to the Securities of this series. 

All determinations made by the Calculation Agent with respect to the Securities of this series will be at the sole discretion of the
Calculation Agent and, in the absence of manifest error, will be conclusive for all purposes and binding on the Company and the Holders of the Securities of this series. All percentages and other amounts resulting from any calculation with respect
to the Securities of this series will be rounded at the Calculation Agent’s discretion. 
 Reference is hereby made to the
further provisions of this Security set forth on the reverse hereof, which further provisions shall for all purposes have the same effect as if set forth at this place. 

Unless the certificate of authentication hereon has been executed by the Trustee referred to on the reverse hereof by manual signature or
its duly authorized agent under the Indenture referred to on the reverse hereof by manual signature, this Security shall not be entitled to any benefit under the Indenture or be valid or obligatory for any purpose. 

[The remainder of this page has been left intentionally blank] 

 

 6 

 IN WITNESS WHEREOF, the Company has caused this instrument to be duly executed under its
corporate seal. 
 DATED: 
  

			
	WELLS FARGO & COMPANY
		
	By:	 	  

		
		 	Its:

[SEAL] 
  

			
	Attest:	 	  

		
		 	Its:

 TRUSTEE’S CERTIFICATE OF 

AUTHENTICATION 
 This is one of the Securities of
the 
 series designated therein described 

in the within-mentioned Indenture. 
  

			
	CITIBANK, N.A.,
	 as Trustee

		
	By:	 	  

		 	Authorized Signature
	
	OR
	
	 WELLS FARGO BANK, N.A.,
as Authenticating Agent for the Trustee

		
	By:	 	  

		 	Authorized Signature

  

 7 

 [Reverse of Note] 

WELLS FARGO & COMPANY 

Notes Linked to the Russell
2000® Index 

due August 10, 2012 

This Security is one of a duly authorized issue of securities of the Company (herein called the “Securities”), issued
and to be issued in one or more series under an indenture dated as of July 21, 1999, as amended or supplemented from time to time (herein called the “Indenture”), between the Company and Citibank, N.A., as Trustee (herein
called the “Trustee,” which term includes any successor trustee under the Indenture), to which Indenture and all indentures supplemental thereto reference is hereby made for a statement of the respective rights, limitations of
rights, duties and immunities thereunder of the Company, the Trustee and the Holders of the Securities, and of the terms upon which the Securities are, and are to be, authenticated and delivered. This Security is one of the series designated on the
face hereof, limited in aggregate Face Amount to $                 ; provided, however, that the Company may, so long as no Event of Default has occurred and is
continuing, without the consent of the Holders of the Securities of this series, issue additional Securities with the same terms as the Securities of this series, and such additional Securities shall be considered part of the same series under the
Indenture as the Securities of this series. 
 The Securities of this series are not subject to redemption at the option of the
Company or repayment at the option of the Holder hereof prior to August 10, 2012. The Securities will not be entitled to any sinking fund. 

The Company agrees, to the extent permitted by law, not to voluntarily claim the benefits of any laws concerning usurious rates of
interest against a Holder of Securities of this series. 
 If an Event of Default, as defined in the Indenture, with respect to
Securities of this series shall occur and be continuing, the Maturity Payment Amount (calculated as set forth in the next sentence) of the Securities of this series may be declared due and payable in the manner and with the effect provided in the
Indenture. The amount payable to the Holder hereof upon any acceleration permitted under the Indenture will be equal to the Maturity Payment Amount hereof calculated as though the date of acceleration was the Valuation Date; provided, however, if
such date is not a Trading Day or if a Market Disruption Event has occurred or is continuing on that day, the next Trading Day on which there is not a Market Disruption Event will be deemed to be the Valuation Date. Upon payment of the amount so
declared due and payable, all of the Company’s obligations in respect of payment of the Maturity Payment Amount shall terminate. The Securities of this series will not bear a default rate of interest after the occurrence of an Event of Default
or an acceleration under the Indenture. 
 The Company agrees, and by acceptance of a beneficial ownership interest in this
Security each beneficial owner of this Security will be deemed to have agreed (in the absence of a statutory, 
  

 8 

 
regulatory, administrative or judicial ruling to the contrary), for United States federal income tax purposes to characterize and treat this Security as a pre-paid derivative contract in respect
of the Index. 
 The Indenture permits, with certain exceptions as therein provided, the amendment thereof and the modification
of the rights and obligations of the Company and the rights of the Holders of the Securities of each series to be affected under the Indenture at any time by the Company and the Trustee with the consent of the Holders of a majority in principal
amount of the Securities at the time Outstanding of all series to be affected, acting together. The Indenture also contains provisions permitting the Holders of a majority in principal amount of the Securities of all series at the time Outstanding
affected by certain provisions of the Indenture, acting together, on behalf of the Holders of all Securities of such series, to waive compliance by the Company with those provisions of the Indenture. Certain past defaults under the Indenture and
their consequences may be waived under the Indenture by the Holders of a majority in principal amount of the Securities of each series at the time Outstanding, on behalf of the Holders of all Securities of such series. Solely for the purpose of
determining whether any consent, waiver, notice or other action or Act to be taken or given by the Holders of Securities pursuant to the Indenture has been given or taken by the Holders of Outstanding Securities in the requisite aggregate principal
amount, the principal amount of this Security will be deemed to be equal to the amount set forth on the face hereof as the “Face Amount” hereof. Any such consent or waiver by the Holder of this Security shall be conclusive and binding upon
such Holder and upon all future Holders of this Security and of any Security issued upon the registration of transfer hereof or in exchange herefor or in lieu hereof, whether or not notation of such consent or waiver is made upon this Security.

 Section 403 and Article Fifteen of the Indenture and the provisions of clause (ii) of Section 401(1)(B) of the
Indenture, relating to defeasance at any time of (a) the entire indebtedness on this Security and (b) certain restrictive covenants and certain Events of Default, upon compliance by the Company with certain conditions set forth therein,
shall not apply to this Security. The remaining provisions of Section 401 of the Indenture shall apply to this Security. 

Article Sixteen of the Indenture shall not apply to this Security. 

Upon due presentment for registration of transfer of this Security at the office or agency of the Company in the City of Minneapolis,
Minnesota, a new Security or Securities of this series in authorized denominations for an equal aggregate Face Amount will be issued to the transferee in exchange herefor, as provided in the Indenture and subject to the limitations provided therein
and to the limitations described below, without charge except for any tax or other governmental charge imposed in connection therewith. 

This Security is exchangeable for definitive Securities in registered form only if (x) the Depositary notifies the Company that it
is unwilling or unable to continue as Depositary for this Security or if at any time the Depositary ceases to be a clearing agency registered under the Securities Exchange Act of 1934, as amended, and a successor depositary is not appointed within
90 days after the Company receives such notice or becomes aware of such ineligibility, (y) the Company in its sole discretion determines that this Security shall be exchangeable for definitive Securities in registered form and notifies the
Trustee thereof or (z) an Event of Default with respect to the Securities represented hereby has occurred and is continuing. If this Security is exchangeable pursuant to the preceding sentence, it shall be exchangeable for definitive Securities
in registered form, having the same terms and of authorized denominations aggregating a like amount. 
  

 9 

 This Security may not be transferred except as a whole by the Depositary to a nominee of the
Depositary or by a nominee of the Depositary to the Depositary or another nominee of the Depositary or by the Depositary or any such nominee to a successor of the Depositary or a nominee of such successor. Except as provided above, owners of
beneficial interests in this Security will not be entitled to receive physical delivery of Securities in definitive form and will not be considered the Holders hereof for any purpose under the Indenture. 

No reference herein to the Indenture and no provision of the Indenture shall alter or impair the obligation of the Company, which is
absolute and unconditional, to pay the Maturity Payment Amount at the times and place, and in the coin or currency, herein prescribed, except as otherwise provided in this Security. 

Prior to due presentment of this Security for registration of transfer, the Company, the Trustee and any agent of the Company or the
Trustee may treat the Person in whose name this Security is registered as the owner hereof for all purposes, whether or not this Security be overdue, and neither the Company, the Trustee nor any such agent shall be affected by notice to the
contrary. 
 No recourse shall be had for the payment of the Maturity Payment Amount, or for any claim based on this Security,
or otherwise in respect hereof, or based on or in respect of the Indenture or any indenture supplemental thereto, against any incorporator, stockholder, officer or director, as such, past, present or future, of the Company or any successor
corporation, whether by virtue of any constitution, statute or rule of law, or by the enforcement of any assessment or penalty or otherwise, all such liability being, by the acceptance hereof and as part of the consideration for the issuance hereof,
expressly waived and released. 
 All terms used in this Security which are defined in the Indenture shall have the meanings
assigned to them in the Indenture unless otherwise defined in this Security. 
 This Security shall be governed by and construed
in accordance with the laws of the State of New York. 
  

 10 

 ABBREVIATIONS 

The following abbreviations, when used in the inscription on the face of this instrument, shall be construed as though they were written
out in full according to applicable laws or regulations: 
  

					
	TEN COM	 	—	  	as tenants in common
			
	TEN ENT	 	—	  	as tenants by the entireties
			
	JT TEN	 	—	  	as joint tenants with right
		 		  	of survivorship and not
		 		  	as tenants in common

  

									
	UNIF GIFT MIN ACT	 	—	 	
                    
                                 
	 	Custodian	  	
                    
                                         

		 		 	(Cust)	 		  	(Minor)

  

	
	Under Uniform Gifts to Minors Act
	
	  

	(State)

 Additional
abbreviations may also be used though not in the above list. 
 FOR VALUE RECEIVED, the undersigned hereby sell(s) and
transfer(s) unto 
 Please Insert Social Security or 

Other Identifying Number of Assignee 
  

	
	  

 

	
	  
 
	  
 
	  
 

(PLEASE PRINT OR TYPE NAME AND
ADDRESS INCLUDING POSTAL ZIP CODE OF ASSIGNEE) 
  

 11 

 the within Security of WELLS FARGO & COMPANY and does hereby irrevocably constitute and appoint
                    attorney to transfer the said Security on the books of the Company, with full power of substitution in the premises. 

 

							
	 Dated:
	 	  
	 		  	
				
		 		 		  	  

				
		 		 		  	  

 NOTICE: The signature to this
assignment must correspond with the name as written upon the face of the within instrument in every particular, without alteration or enlargement or any change whatever. 
  

 12Offer Letter between Broadridge Financial Solutions, Inc. and Timothy Gokey

 Exhibit 10.1 

 

			
	

	  	 Broadridge Financial Solutions, Inc.

1981 Marcus Avenue
 Lake Success, NY
11046
 516 472 5454 Phone

Richdaly@broadridge.com

March 4, 2010 
 Timothy Gokey 

600 East
45th Street 

Kansas City, MO 64110 
 Dear Tim, 

Congratulations! It is my pleasure to extend to you a conditional offer of employment for the position of SVP and Chief Corporate Development Officer,
reporting to me and based out of our Corporate headquarters in Lake Success, New York. Upon satisfaction of all of the conditions described in this letter, your anticipated start date is April 5, 2010. 

As we discussed, your joining the Broadridge team is a key element of our ongoing succession planning efforts, and we look forward to your confirmation
that you are coming on board. The terms expressed in this letter will be in effect until December 31, 2012. 
 Base Salary

 You will receive a monthly base salary of $41,666.67, or $500,000 per year. You will be eligible to receive a pro-rated merit increase in
October, 2010. You will participate in the annual performance appraisal process and merit review cycle applicable to Corporate Officers. 

Annual Cash Bonus 
 You will be eligible
to participate in the annual bonus plan. Your FY’10 bonus target will be 100% of your base salary. You have the opportunity to earn up to 200% of your annual target each year. 

Guaranteed FY’10 Bonus: Your FY’10 bonus will be guaranteed to pay a minimum of $125,000 (100% of target, pro-rated for
three months’ employment in the 2010 fiscal year). 
 The bonus is payable following completion of the fiscal year and
you must be employed with Broadridge on June 30th of
the year to which the bonus pertains to receive your bonus. 
 Cash Signing Bonus 

You will receive a one-time cash signing bonus of $250,000, payable within 30 days of your start date. You will owe 100% of this payment back to
Broadridge if you voluntarily terminate employment within one year of the payment, and you will owe 50% of this payment back to Broadridge if you voluntarily terminate employment between one and two years of the payment. 

Broadridge Stock Ownership Plan 

Broadridge will provide you with the opportunity to build long-term wealth and share in the growth and profitability of Broadridge through two separate
equity vehicles: Restricted Stock Unit (RSU) grants, and Stock Option grants. 
 Restricted Stock Units (RSUs):

 Grants are scheduled to be made annually in October of each year, with the number of RSUs based on target values that are
reviewed and approved annually by the Compensation Committee of the Broadridge Board of Directors. It is expected that your ongoing annual grant will have a target expected value of $325,000, with the first regular grant made in October 2010 and
vesting in April 2013 based on achieving pre-established performance conditions. The Compensation Committee reserves the right to amend or terminate this plan at any time. 

 Management will recommend that the Compensation Committee approve the following special
one-time grant amounts in May 2010, with a total value equal to $650,000. These amounts will vest, subject to the conditions set forth in the applicable award agreement, as follows: 

 

	 	•	 	 The first grant with an estimated value at the time of grant of $325,000 will not be subject to performance conditions, and will vest and
convert to Broadridge shares on April 1, 2011. 

  

	 	•	 	 The second grant with an estimated value at the time of grant of $325,000 will be subject to performance conditions, as applicable to other
Broadridge Corporate Officers. If the performance conditions are met, this grant will vest and convert to Broadridge shares on April 1, 2012. 

Stock Options 

You are eligible to receive Stock Option grants in February each year, beginning in February 2011, with a target expected value of
approximately $500,000 per grant annually. The termination date and vesting provisions will be consistent with other Corporate Officer annual stock option grants. 

At-Hire Special Option Grant: We will recommend that the Compensation Committee of the Board of Directors approve two grants
totaling 250,000 stock options in May 2010. 
  

	 	•	 	 100,000 of these options will vest over two years, at a rate of 50% per year on each anniversary date of the grant. 

 

	 	•	 	 150,000 of these options will vest over five years, at a rate of 20% per year on each anniversary date of the grant. 

Paid Time Off 
 You will accrue up to
three (3) weeks’ vacation and three personal holidays annually. In addition, there are generally nine paid holidays per calendar year. 

Corporate Officer Benefits 
 As a
Corporate Officer, you will be eligible to participate in the Supplemental Officers Retirement Plan (“SORP”), the Executive Retiree Healthcare Plan, and the Executive Auto Program. 

Relocation 
 You are eligible to
participate in the standard Broadridge Executive Relocation Program. In addition to the details explained in the policy, we will offer you the following: 
  

	 	•	 	 Provided that you purchase a home in the New York region, you will be able to receive a rental cost subsidy on the unsold Kansas City home for up to 12
months and remain eligible for a guaranteed home purchase as defined in the policy. If you select this option, the guaranteed home purchase amount will be based on new appraisals that must occur within 90 days of the expiration of the 12-month
rental subsidy. The guaranteed purchase amount would be subject to a reduction for the sum of rental cost subsidies paid to you by Broadridge during the rental period. 

 

	 	•	 	 For the first three years following your employment date, if you are involuntarily terminated without cause by Broadridge or voluntarily terminate your
employment for good reason, Broadridge would reimburse you for any financial loss you might incur on the sale within one year following your termination of employment of your New York region home, excluding capital improvements made on the home
during your period of ownership, and any such reimbursement will be paid to you during the calendar year immediately following the calendar year of your termination of employment. 

 

	 	•	 	 Broadridge will reimburse you for the costs of weekly commuting from Kansas City to New York from your date of hire through September 1, 2010.

  

 Page 2 of 7 

 In recognition of the signing bonus being offered to you, you will not be eligible to receive any mortgage
subsidy payment that otherwise would be available to you under the relocation program. 
 Benefits 

You will be eligible to enroll in standard associate benefits including medical, dental and vision care, and in the 401(k) plan, upon employment.

 Severance 
 Your employment
is “at will”. This means that your employment is for no definite period of time, and either you or Broadridge may terminate your employment at any time, with or without cause or notice. For the purposes of this offer letter, a termination
of employment by you for good reason will mean a termination of employment by you within 90 days following the occurrence of any of the following events and the failure of Broadridge to rectify such occurrence within 30 days of written notice from
you of your intent to invoke a good reason termination: 
  

	 	(i)	A reduction in the compensation set forth in the base salary section of this offer letter, unless such a reduction in base salary is 10% or less and is applicable to
other Corporate Officers; 

  

	 	(ii)	The relocation of your office greater than fifty (50) miles from Lake Success, New York, if such relocation increases your commute; 

 

	 	(iii)	You no longer report directly to the Chief Executive Officer; 

  

	 	(iv)	Your duties and responsibilities are materially diminished at any point during the duration of the terms of this letter; and 

 

	 	(v)	Your role and primary responsibilities at Broadridge have not been materially enhanced by me, or any successor to me, by December 31, 2012.

 If your employment is terminated by Broadridge without cause or you terminate employment for good reason as defined above, you
will be eligible for severance pay via compensation continuation as follows (so long as you execute and deliver to Broadridge a general release of claims reasonably satisfactory to Broadridge on or before the date that is 50 days following the date
of termination and you do not revoke such release prior to the end of the statutory seven-day revocation period): 
  

	 	(i)	Two years’ payment of your then-current annual base salary, to be paid over twelve (12) months in equal monthly installments in arrears, provided that the
first and second monthly installments shall be paid on the date that is sixty days after the date of termination; and 

  

	 	(ii)	RSUs and stock options granted prior to termination shall continue to vest during the twelve months that you receive severance payments. Vested stock options will be
exercisable until the earlier of the regular option expiration date or 180 days past the last date of severance payments. 

 All
such payments will be subject to your continued compliance for the duration of the severance period with the restrictive covenants attached as Annex A hereto, which you hereby agree to (and will separately execute). 

If you are discharged for cause or you terminate employment without good reason, you will not be eligible for severance pay. As used in this offer
letter, the term “for cause” shall cover circumstances where Broadridge elects to terminate your employment because you have: 
  

	 	(i)	Been convicted of or pled nolo contendere to a criminal act for which the punishment under applicable law may be death or imprisonment for more than one year;

  

 Page 3 of 7 

	 	(ii)	Willful failure or refusal to perform your material obligations as an employee of Broadridge and such failure or refusal shall continue during the 30 day period
following the receipt by you of written notice from Broadridge of such failure or refusal; 

  

	 	(iii)	Committed any act or omission of gross negligence in the performance of your material duties hereunder and failed to take appropriate corrective action, if such act or
omission is susceptible of correction, during the 30 day period following the receipt by you of written notice from Broadridge of such act or omission of gross negligence; 

 

	 	(iv)	Committed any act of willful or reckless misconduct; or 

  

	 	(v)	Violated Broadridge’s Code of Business Conduct and Ethics. 

Notwithstanding anything in this paragraph, if you are discharged “for cause,” Broadridge will pay all vested or accrued wages, vacation, and
expense reimbursement owed to you on the date of such discharge. 
 Terms 

The Bonus and/or Benefit Plan(s) described in this letter are subject to the terms and conditions of the specific plan documents. 

Bonus payments (other than the Cash Signing Bonus and Guaranteed FY’10 Bonus described above) and grants (other than the At-Hire
Special Option Grant described above) are not guaranteed and are subject to change or modification, elimination and/or replacement by alternate programs due to business conditions and subject to Board approval. 

In accordance with our policy, this offer is contingent upon successfully meeting our pre-employment conditions involving a drug test, criminal
background check and verification of employment with your previous employer(s). 
 Under separate cover, we will send an I-9 form for completion
as required by the U.S. Government. In order to comply with the Immigration Reform and Control Act of 1986, you will need to bring documents that establish your identity and authorization to work in the United States. Please review the I-9 form we
will send for a list of acceptable documents. In the interim, should you have any questions, please contact Maryjo directly at 516-472-5475. 

Please be reminded that Broadridge does not want you to use or bring with you, at any time, any confidential information, trade secrets and/or
proprietary information from any of your former employers. 
 Section 409A 

It is intended that this agreement will comply with Section 409A of the Internal Revenue Code of 1986, as amended (the “Code”) and any
regulations and guidelines promulgated thereunder (collectively, “Section 409A”), to the extent the agreement is subject thereto, and the agreement shall be interpreted on a basis consistent with such intent. Notwithstanding any provision
to the contrary in this agreement, if you are deemed on the date of your “separation from service” (within the meaning of Treas. Reg. Section 1.409A-1(h)) with Broadridge to be a “specified employee” (within the meaning of
Treas. Reg. Section 1.409A-1(i)), then with regard to any payment or benefit that is considered deferred compensation under Section 409A payable on account of a “separation from service” that is required to be delayed pursuant to
Section 409A(a)(2)(B) of the Code (after taking into account any applicable exceptions to such requirement), such payment or benefit shall be made or provided on the date that is the earlier of (i) the expiration of the six (6)-month
period measured from the date of your “separation from service,” or (ii) the date of your death (the “Delay Period”). Upon the expiration of the Delay Period, all payments and benefits delayed pursuant to this paragraph
(whether they would have otherwise been payable in a single sum or in installments in the absence of such delay) shall be paid or reimbursed to you in a lump sum and any remaining payments and benefits due under this agreement will be paid or
provided in accordance with the normal payment dates specified for them herein. With respect to any reimbursement or in-kind benefit arrangements of Broadridge and its subsidiaries that constitute deferred compensation for purposes of
Section 409A, except as otherwise permitted by Section 409A, the following conditions shall 
  

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be applicable: (i) the amount eligible for reimbursement, or in-kind benefits provided, under any such arrangement in one calendar year may not affect the amount eligible for reimbursement,
or in-kind benefits to be provided, under such arrangement in any other calendar year (except that the health and dental plans may impose a limit on the amount that may be reimbursed or paid), (ii) any reimbursement must be made on or before
the last day of the calendar year following the calendar year in which the expense was incurred, and (iii) the right to reimbursement or in-kind benefits is not subject to liquidation or exchange for another benefit. Whenever payments under
this agreement are to be made in installments, each such installment shall be deemed to be a separate payment for purposes of Section 409A. 

We think you will find Broadridge to be an exciting and dynamic place to work. We hope that you will consider our offer carefully and make the decision
to join our team at Broadridge. This offer is in effect for five days. Please sign and return the enclosed copy to Maryjo as soon as possible. 
  

	
	Sincerely,
	
	[signature required for the official document]
	
	 /s/ Rich Daly

	Rich Daly
	CEO

 I accept the offer as stated above: 

 

			
	 /s/ Timothy
Gokey                                      
3/15/2010
	 	
	Timothy
Gokey                                        
        Date	 	

  

			
	cc:	  	Maryjo Charbonnier, Chief Human Resources Officer
		  	Scott Oberstaedt, VP Compensation

  

 Page 5 of 7 

 

 

 March 4, 2010 

Restrictive Covenant 

In my position(s) with Broadridge Financial Solutions, Inc., its subsidiaries and affiliates (collectively “Broadridge”), I
participate in policy decisions and have access to Broadridge’s confidential information and trade secrets. I enjoy substantial compensation and benefits from Broadridge and am participating substantially in its 2007 Omnibus Award Plan. Since
it is in Broadridge’s best interests that all employees in executive positions execute restrictive covenants, I agree as follows: 

1. During the period that I am an Broadridge employee and ending twelve months after the date I cease to be an Broadridge employee for
any reason whatsoever (the “Non-Competition Period”), I will not, provided that I have been an Broadridge employee for at least six months, directly or indirectly, become or be interested in, employed by, or associated with in any
capacity, any person, corporation, partnership or other entity whatsoever (a “Person”) engaged in any aspect of Broadridge’s businesses or businesses Broadridge has formal plans to enter on the date I cease to be an Broadridge
employee (the “Termination Date”), in a capacity which is the same or similar to any capacity in which I was involved during the last two years of my employment by Broadridge. The restrictions set forth in this paragraph 1 shall apply only
to the businesses or businesses that Broadridge has formal plans to enter with which I was involved. After the Termination Date, however, nothing shall prevent me from owning, as an inactive investor, securities of any competitor of Broadridge which
is listed on a national securities exchange. Furthermore, after the Termination Date, I may become employed in a separate, autonomous division of a corporation provided such division is not a competitor of Broadridge. 

2. During and after my employment by Broadridge, I will not use, or disclose to any Person any confidential information, trade secrets
and proprietary information of Broadridge, its vendors, licensors, marketing partners or clients, learned by me during my employment and/or any of the names and addresses of clients of Broadridge. I acknowledge that I am prohibited from taking any
confidential, proprietary or other materials or property of Broadridge with me upon termination of my employment. Upon termination of my employment, I shall return all Broadridge materials (including, without limitation, all memoranda and notes
containing the names, addresses and/or needs of Broadridge clients and bona fide prospective clients) in my possession or over which I exercise control, regardless of whether such materials were prepared by Broadridge, me or a third party.

 3. During the Non-Competition Period, I shall not, on my behalf or on behalf of any other Person, directly or indirectly,
solicit, contact, call upon, communicate with or attempt to communicate with any Person which was a client or a bona fide prospective client of Broadridge before the Termination Date to sell (license or lease) any software or service competitive or
potentially competitive with any software or services sold, licensed, leased, provided or under development by Broadridge during the two-year period prior to the Termination Date, provided that the restrictions set forth in this paragraph 3 shall
only apply to clients or bona fide prospective clients of businesses of Broadridge with which I was involved. 
 4. During the
Non-Competition Period, I will not, directly or indirectly, hire, contract with, solicit, or encourage to leave Broadridge’s employ any Broadridge employee, or hire or contract with any former Broadridge employee within one year after the date
such person ceases to be an Broadridge employee. 
 5. During my employment by Broadridge, I shall not accept any position
(unless such position is to commence after my employment ceases), compensation, reimbursement or funds, or their equivalent, from any Person engaged in any business in which Broadridge is engaged. 

 

 Page 6 of 7 

 6. A violation of the foregoing covenants not to compete, not to disclose, not to solicit
and not to hire will cause irreparable injury to Broadridge. Broadridge shall be entitled, in addition to any other rights and remedies it may have at law or in equity, to an injunction enjoining and restraining me from performing, and continuing in
the performance of, any such violation. 
 7. I understand and acknowledge that Broadridge shall have the sole and exclusive
rights to anything relating to its actual or prospective business which I conceive or work on, either in whole or in part, while employed by Broadridge and that all such work product may be property of Broadridge as “works for hire” under
federal copyright law and may also constitute Broadridge confidential and proprietary information. Accordingly, I: 
  

	 	(a)	will promptly and fully disclose all such items to Broadridge and will not disclose such items to any other person or entity without Broadridge’s prior consent;

  

	 	(b)	will maintain on Broadridge’s behalf and surrender to Broadridge upon termination of my employment appropriate written records regarding all such items;

  

	 	(c)	will, but without personal expense, fully cooperate with Broadridge, execute all papers and perform all acts requested by Broadridge to establish, confirm or protect
its exclusive rights in such items or to enable it to transfer legal title to such items, together with any patents that may be issued; 

  

	 	(d)	will, but without personal expense, provide such information and true testimony as Broadridge may request regarding such items including, without limitation, items
which I neither conceived nor worked on but regarding which I have knowledge because of my employment with Broadridge; 

  

	 	(e)	hereby assign to Broadridge, its successors and assigns, exclusive right, title and interest in and to all such items, including any patents which have been or may be
issued; and 

  

	 	(f)	state that only such items in which I personally hold or claim an interest and which are not subject to this Agreement are listed on the Ownership Schedule attached
hereto. The absence of an Ownership Schedule means that no such items exist. 

 7. My obligations under this
Agreement shall be binding upon me regardless of which office(s) of Broadridge I am employed at or position(s) I hold and shall inure to the benefit of any successors or assigns of Broadridge. This Agreement supplements and does not supersede any
prior agreement(s) on the subject matter addressed herein. 
 8. If any provision of this Agreement is invalid or unenforceable,
the balance of this Agreement shall remain in effect. This Agreement shall be governed by, and construed in accordance with, the laws of the State of New York. I acknowledge that the terms of this Agreement are reasonable and that I have had a
reasonable opportunity to consult with an attorney before agreeing to the terms of this Agreement. 
 Acknowledged and Agreed: 

 

			
	 /s/ Timothy
Gokey                                      
3/15/2010
	 	
	Timothy
Gokey                                        
        Date	 	

  

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