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Home/Filings/4/0001127602-13-000146
4//SEC Filing

Betters Ralph M 4

Accession 0001127602-13-000146

CIK 0001381668other
View on SEC.govCompany Profile

Filed

Jan 1, 7:00 PM ET

Accepted

Jan 2, 2:42 PM ET

Size

23.5 KB

Accession

0001127602-13-000146

Insider Transaction Report

Form 4
Period: 2012-12-28
TFS Financial CORPTFSL
Betters Ralph M
Chief Information Officer
Transactions
  • Award

    Employee Stock Option (right to buy)

    2012-12-28$9.43/sh+41,700$393,231→ 41,700 total
    Exercise: $9.43Exp: 2022-12-15→ Common Stock (41,700 underlying)
  • Award

    Restricted Stock Units

    2012-12-28+5,800→ 5,800 total
    → Common Stock (5,800 underlying)
Holdings

  • Common Stock

    (indirect: By ESOP)
    4,614

  • Employee Stock Option (right to buy)

    Exercise: $11.74Exp: 2018-08-10→ Common Stock (126,500 underlying)
    126,500

  • Employee Stock Option (right to buy)

    Exercise: $14.00Exp: 2020-05-14→ Common Stock (31,500 underlying)
    31,500

  • Employee Stock Option (right to buy)

    Exercise: $8.61Exp: 2021-12-15→ Common Stock (36,900 underlying)
    36,900

  • Restricted Stock Units

    → Common Stock (4,200 underlying)
    4,200

  • Common Stock

    (indirect: By 401(k))
    55,147

  • Restricted Stock Units

    → Common Stock (3,667 underlying)
    3,667

  • Common Stock

    1,833

  • Restricted Stock Units

    → Common Stock (35,100 underlying)
    35,100

  • Common Stock

    (indirect: By Children)
    100

  • Common Stock

    (indirect: By Trust)
    30,129

  • Employee Stock Option (right to buy)

    Exercise: $11.96Exp: 2019-05-11→ Common Stock (37,500 underlying)
    37,500

  • Restricted Stock Units

    → Common Stock (3,600 underlying)
    3,600
Footnotes (13)
  • [F1]Reflects transactions not required to be reported under Section 16 of the Securities Exchange Act, as amended.
  • [F10]As reported on a Form 4 dated May 14, 2009, the reporting person received a grant of 4,200 restricted stock units that vest in four equal annual installments beginning on May 12, 2010. Vested shares may be distributed to the Reporting Person only after that person's termination of employment with TFS Financial Corporation.
  • [F11]As reported on a Form 4 dated May 18, 2010, the reporting person received a grant of 3,600 restricted stock units that vest in four equal annual installments beginning on May 14, 2011. Vested shares may be distributed to the Reporting Person only after that person's termination of employment with TFS Financial Corporation.
  • [F12]As reported on a Form 4 dated August 13, 2008, the reporting person was granted 35,100 restricted stock units that vest 10% on each of the third through the ninth anniversaries of the date of the grant and 30% on the tenth anniversary of the date of the grant. Vested shares may be distributed to the Reporting Person only after that person's termination of employment with TFS Financial Corporation.
  • [F13]As reported on a Form 4 dated December 20, 2011, the reporting person was granted 5,500 Restricted Stock Units ("RSUs") on December 19, 2011. These RSUs vest in three equal annual installments beginning December 15, 2012.
  • [F2]The reporting person was removed as custodian on these shares as Child 1 is no longer a minor.
  • [F3]Each restricted stock unit represents a contingent right to receive one share of TFS Financial Corporation common stock. Restricted stock units are entitled to dividend equivalent rights in the form of a cash payment in the amount of any cash dividend paid per share of common stock.
  • [F4]The reporting person received a grant of 5,800 Restricted Stock Units ("RSU's") on December 28, 2012. These RSU's vest in three equal annual installments beginning December 15, 2013.
  • [F5]The reporting person received a grant of 41,700 stock options on December 28, 2012. These stock options vest in three equal installments beginning December 15, 2013.
  • [F6]As reported on a Form 4 dated May 18, 2010, the reporting person received a grant of 31,500 stock options that vest in three equal annual installments beginning on May 14, 2011.
  • [F7]As reported on a Form 4 dated May 14, 2009, the reporting person received a grant for 37,500 stock options that vest in three equal annual installments beginning on May 12, 2010.
  • [F8]As reported on a Form 4 dated August 13, 2008, the reporting person received a grant of 126,500 stock options that vest in four equal annual installments beginning on August 11, 2012.
  • [F9]As reported on a Form 4 dated December 20, 2011, the reporting person received a grant of 36,900 stock options on December 19, 2011 that vest in three equal annual installments beginning December 15, 2012.

Documents

1 file

Issuer

TFS Financial CORP

CIK 0001381668

→
Entity typeother

Related Parties

1
  • filerCIK 0001388154

Filing Metadata

Form type
4
Filed
Jan 1, 7:00 PM ET
Accepted
Jan 2, 2:42 PM ET
Size
23.5 KB
View on SEC.gov