4//SEC Filing
TFS Financial CORP 4
Accession 0001381668-14-000088
$TFSLCIK 0001381668operating
Filed
Dec 4, 7:00 PM ET
Accepted
Dec 5, 12:30 PM ET
Size
17.0 KB
Accession
0001381668-14-000088
Insider Transaction Report
Form 4
PAULETT TERENCE C
Chief Risk Officer
Transactions
- Exercise/Conversion
Common Stock
2014-12-03+1,400→ 18,882 total - Tax Payment
Common Stock
2014-12-03$15.10/sh−460$6,946→ 18,422 total - Exercise/Conversion
Restricted Stock Units
2014-12-03−1,400→ 2,800 total→ Common Stock (1,400 underlying)
Holdings
- 54(indirect: By ESOP)
Common Stock
- 28,700
Employee Stock Option (right to buy)
Exercise: $11.64Exp: 2023-12-03→ Common Stock (28,700 underlying) - 27,800
Employee Stock Option (right to buy)
Exercise: $9.43Exp: 2022-12-15→ Common Stock (27,800 underlying) - 20,000
Restricted Stock Units
→ Common Stock (20,000 underlying) - 40,000
Employee Stock Option (right to buy)
Exercise: $8.61Exp: 2021-12-14→ Common Stock (40,000 underlying) - 3,867
Restricted Stock Units
→ Common Stock (3,867 underlying)
Footnotes (11)
- [F1]These common shares were acquired upon the vesting and settlement of certain restricted stock units.
- [F10]The reporting person received a grant of 40,000 stock options on December 19, 2011 which vest 100% on December 15, 2014.
- [F11]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. The reporting person exercised 13,900 of his stock options on June 2, 2014.
- [F2]Shares are held with shared voting power with spouse.
- [F3]These common shares were delivered to the issuer to pay for the applicable withholding tax due upon vesting of certain restricted stock units.
- [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]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.
- [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 5,800 Restricted Stock Units ("RSU's") on December 28, 2012. These RSU's vest in three equal annual installments beginning December 15, 2013.
- [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 4, 7:00 PM ET
- Accepted
- Dec 5, 12:30 PM ET
- Size
- 17.0 KB