4//SEC Filing
TFS Financial CORP 4
Accession 0001381668-13-000110
$TFSLCIK 0001381668operating
Filed
Dec 16, 7:00 PM ET
Accepted
Dec 17, 3:10 PM ET
Size
19.0 KB
Accession
0001381668-13-000110
Insider Transaction Report
Form 4
PAULETT TERENCE C
Chief Risk Officer
Transactions
- 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→ 18,117 total - Tax Payment
Common Stock
2013-12-15$11.61/sh−635$7,372→ 17,482 total
Holdings
- 5,725(indirect: By 401(k))
Common Stock
- 50,000
Employee Stock Option (right to buy)
Exercise: $11.74Exp: 2018-08-10→ Common Stock (50,000 underlying) - 4,200
Restricted Stock Units
→ Common Stock (4,200 underlying) - 4,872(indirect: By ESOP)
Common Stock
- 28,700
Employee Stock Option (right to buy)
Exercise: $11.64Exp: 2023-12-03→ Common Stock (28,700 underlying) - 40,000
Employee Stock Option (right to buy)
Exercise: $8.61Exp: 2021-12-14→ Common Stock (40,000 underlying) - 41,700
Employee Stock Option (right to buy)
Exercise: $9.43Exp: 2022-12-15→ Common Stock (41,700 underlying) - 20,000
Restricted Stock Units
→ Common Stock (20,000 underlying)
Footnotes (12)
- [F1]These common shares were acquired upon the vesting and settlement of certain restricted stock units.
- [F10]As reported on a Form 4 dated December 12, 2013, 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.
- [F11]The reporting person received a grant of 40,000 stock options on December 19, 2011 which vest 100% on December 15, 2014.
- [F12]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]These common shares were delivered to the issuer to pay for the applicable withholding tax due upon vesting of certain restricted stock units.
- [F3]Shares are held with shared voting power with spouse.
- [F4]Reflects transactions not required to be reported under Section 16 of the Securities Exchange Act, as amended.
- [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]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]As reported on a Form 4 dated December 12, 2013, 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.
- [F8]The reporting person received a grant of 50,000 stock options that vest in three equal annual installments beginning August 11, 2011.
- [F9]The reporting person received a grant of 20,000 Restricted Stock Units ("RSUs") on December 19, 2011 which vest 100% on December 15, 2014.
Documents
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, 3:10 PM ET
- Size
- 19.0 KB