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4//SEC Filing

TFS Financial CORP 4

Accession 0001381668-13-000096

$TFSLCIK 0001381668operating
View on SEC.govCompany Profile

Filed

Dec 11, 7:00 PM ET

Accepted

Dec 12, 2:20 PM ET

Size

17.2 KB

Accession

0001381668-13-000096

Insider Transaction Report

Form 4
Period: 2013-12-03
TFS Financial CORPTFSL
PAULETT TERENCE C
Chief Risk Officer
Transactions
  • Award

    Restricted Stock Units

    2013-12-03+4,200→ 4,200 total
    → Common Stock (4,200 underlying)
  • Award

    Employee Stock Option (right to buy)

    2013-12-03$11.64/sh+28,700$334,068→ 28,700 total
    Exercise: $11.64Exp: 2023-12-03→ Common Stock (28,700 underlying)
Holdings

  • Employee Stock Option (right to buy)

    Exercise: $11.74Exp: 2018-08-10→ Common Stock (50,000 underlying)
    50,000

  • Restricted Stock Units

    → Common Stock (20,000 underlying)
    20,000

  • Restricted Stock Units

    → Common Stock (5,800 underlying)
    5,800

  • Employee Stock Option (right to buy)

    Exercise: $8.61Exp: 2021-12-14→ Common Stock (40,000 underlying)
    40,000

  • Common Stock

    16,184

  • Common Stock

    (indirect: By 401(k))
    5,725

  • Employee Stock Option (right to buy)

    Exercise: $9.43Exp: 2022-12-15→ Common Stock (41,700 underlying)
    41,700

  • Common Stock

    (indirect: By ESOP)
    4,872
Footnotes (10)
  • [F1]Shares are held with shared voting power with spouse.
  • [F10]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.
  • [F2]Reflects transactions not required to be reported under Section 16 of the Securities Exchange Act, as amended.
  • [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 4,200 Restricted Stock Units ("RSU's") on December 3, 2013. These RSU's vest in three equal annual installments beginning December 3, 2014.
  • [F5]The reporting person received a grant of 28,700 stock options on December 3, 2013. These stock options vest in three equal installments beginning December 3, 2014.
  • [F6]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.
  • [F7]The reporting person received a grant of 50,000 stock options that vest in three equal annual installments beginning August 11, 2011.
  • [F8]The reporting person received a grant of 20,000 Restricted Stock Units ("RSUs") on December 19, 2011 which vest 100% on December 15, 2014.
  • [F9]The reporting person received a grant of 40,000 stock options on December 19, 2011 which vest 100% on December 15, 2014.

Documents

1 file

Issuer

TFS Financial CORP

CIK 0001381668

→
Entity typeoperating
IncorporatedDE

Related Parties

1
  • filerCIK 0001381668

Filing Metadata

Form type
4
Filed
Dec 11, 7:00 PM ET
Accepted
Dec 12, 2:20 PM ET
Size
17.2 KB
View on SEC.gov