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Home/Filings/4/0001381668-13-000107
4//SEC Filing

TFS Financial CORP 4

Accession 0001381668-13-000107

$TFSLCIK 0001381668operating
View on SEC.govCompany Profile

Filed

Dec 16, 7:00 PM ET

Accepted

Dec 17, 3:09 PM ET

Size

27.6 KB

Accession

0001381668-13-000107

Insider Transaction Report

Form 4
Period: 2013-12-15
TFS Financial CORPTFSL
Betters Ralph M
Chief Information Officer
Transactions
  • Exercise/Conversion

    Restricted Stock Units

    2013-12-15−1,833→ 1,834 total
    → Common Stock (1,833 underlying)
  • Exercise/Conversion

    Common Stock

    2013-12-15+1,833→ 3,666 total
  • Tax Payment

    Common Stock

    2013-12-15$11.61/sh−1,074$12,469→ 4,525 total
  • Exercise/Conversion

    Restricted Stock Units

    2013-12-15−1,933→ 3,867 total
    → Common Stock (1,933 underlying)
  • Exercise/Conversion

    Common Stock

    2013-12-15+1,933→ 5,599 total
Holdings

  • Restricted Stock Units

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

  • Common Stock

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

  • Common Stock

    (indirect: By Trust)
    30,129

  • Employee Stock Option (right to buy)

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

  • Restricted Stock Units

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

  • Employee Stock Option (right to buy)

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

  • Employee Stock Option (right to buy)

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

  • Restricted Stock Units

    → Common Stock (3,600 underlying)
    3,600

  • Employee Stock Option (right to buy)

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

  • Common Stock

    (indirect: By Children)
    100

  • Common Stock

    (indirect: By ESOP)
    5,072

  • Employee Stock Option (right to buy)

    Exercise: $9.43Exp: 2022-12-15→ Common Stock (41,700 underlying)
    41,700
Footnotes (15)
  • [F1]These common shares were acquired upon the vesting and settlement of certain restricted stock units.
  • [F10]As reported on the 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.
  • [F11]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.
  • [F12]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.
  • [F13]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.
  • [F14]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.
  • [F15]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.
  • [F2]These common shares were delivered to the issuer to pay for the applicable withholding tax due upon vesting of certain restricted stock units.
  • [F3]Reflects transactions not required to be reported under Section 16 of the Securities Exchange Act, as amended.
  • [F4]The reporting person was removed as custodian on these shares as Child 1 is no longer a minor.
  • [F5]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.
  • [F6]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.
  • [F7]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.
  • [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]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.

Documents

1 file

Issuer

TFS Financial CORP

CIK 0001381668

→
Entity typeoperating
IncorporatedDE

Related Parties

1
  • filerCIK 0001381668

Filing Metadata

Form type
4
Filed
Dec 16, 7:00 PM ET
Accepted
Dec 17, 3:09 PM ET
Size
27.6 KB
View on SEC.gov