4//SEC Filing
Huffman David S 4
Accession 0001381668-17-000093
CIK 0001381668other
Filed
Dec 10, 7:00 PM ET
Accepted
Dec 11, 3:55 PM ET
Size
32.3 KB
Accession
0001381668-17-000093
Insider Transaction Report
Form 4
Huffman David S
Chief Financial Officer
Transactions
- Exercise/Conversion
Restricted Stock Units
2017-12-10−1,100→ 0 total→ Common Stock (1,100 underlying) - Exercise/Conversion
Common Stock
2017-12-10+1,500→ 18,916 total - Exercise/Conversion
Common Stock
2017-12-10+1,633→ 20,549 total - Exercise/Conversion
Restricted Stock Units
2017-12-10−1,500→ 1,500 total→ Common Stock (1,500 underlying) - Exercise/Conversion
Restricted Stock Units
2017-12-10−1,633→ 3,267 total→ Common Stock (1,633 underlying) - Exercise/Conversion
Common Stock
2017-12-10+1,100→ 17,416 total - Tax Payment
Common Stock
2017-12-10$15.25/sh−1,889$28,807→ 18,660 total
Holdings
- 49,200
Employee Stock Option (right to buy)
Exercise: $19.06Exp: 2025-12-17→ Common Stock (49,200 underlying) - 58,101(indirect: By 401(k))
Common Stock
- 3,600
Restricted Stock Units
→ Common Stock (3,600 underlying) - 21,600
Employee Stock Option (right to buy)
Exercise: $14.85Exp: 2024-12-18→ Common Stock (21,600 underlying) - 9,567
Employee Stock Option (right to buy)
Exercise: $11.64Exp: 2023-12-03→ Common Stock (9,567 underlying) - 4,200
Restricted Stock Units
→ Common Stock (4,200 underlying) - 33,605
Restricted Stock Units
→ Common Stock (33,605 underlying) - 7,205(indirect: By ESOP)
Common Stock
- 45,175(indirect: By Spouse)
Common Stock
- 12,240
Restricted Stock Units
→ Common Stock (12,240 underlying) - 67,200
Employee Stock Option (right to buy)
Exercise: $19.31Exp: 2026-12-15→ Common Stock (67,200 underlying) - 86,640
Employee Stock Option (right to buy)
Exercise: $14.81Exp: 2025-05-28→ Common Stock (86,640 underlying)
Footnotes (16)
- [F1]These common shares were acquired upon the vesting and settlement of certain restricted stock units.
- [F10]As reported on a Form 4 dated May 29, 2015, the reporting person received a grant of 108,300 stock options on May 28, 2015. These stock options vest in five equal annual installments beginning May 28, 2016. The reporting person previously exercised 21,660 of these stock options.
- [F11]As reported on a Form 4 dated December 19, 2014, the reporting person received a grant of 32,400 stock options. These stock options vest in three equal annual installments beginning December 10, 2015. The reporting person previously exercised 10,800 of these stock options.
- [F12]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. The reporting person previously exercised 19,133 of these stock options.
- [F13]As reported on a Form 4 dated May 14, 2009, the reporting person received a grant of 4,200 Restricted Stock Units ("RSUs") 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.
- [F14]As reported on a Form 4 dated December 17, 2015, the reporting person received a grant of 49,200 stock options on December 15, 2015. These stock options vest in three equal annual installments beginning December 10, 2016.
- [F15]As reported on a Form 4 dated May 29, 2015, the reporting person received a grant of 20,400 Restricted Stock Units ("RSUs") on May 28, 2015. These RSUs vest in five equal annual installments beginning on May 28, 2016.
- [F16]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. 1,495 shares were delivered to the issuer on June 25, 2014 to pay for applicable tax due upon vesting.
- [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]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.
- [F5]As reported on a Form 4 dated December 19, 2014, the reporting person received a grant of 3,300 Restricted Stock Units ("RSUs"). These RSUs vest in three equal annual installments beginning December 10, 2015.
- [F6]As reported on a Form 4 dated December 17, 2015, the reporting person received a grant of 4,500 Restricted Stock Units ("RSUs") on December 15, 2015. These RSUs vest in three equal annual installments beginning December 10, 2016.
- [F7]On December 15, 2016, the reporting person received a grant of 4,900 Restricted Stock Units ("RSUs"). These RSUs vest in three equal annual installments beginning December 10, 2017.
- [F8]As reported on a Form 4 dated May 18, 2010, the reporting person received a grant of 3,600 restricted stock units ("RSUs") that vest in four equal annual installments beginning May 14, 2011. Vested shares may be distributed to the reporting person only after that person's termination of employment from TFS Financial Corporation.
- [F9]On December 15, 2016, the reporting person received a grant of 67,200 stock options. These stock options vest in three equal annual installments beginning on December 10, 2017.
Documents
Issuer
TFS Financial CORP
CIK 0001381668
Entity typeother
Related Parties
1- filerCIK 0001388157
Filing Metadata
- Form type
- 4
- Filed
- Dec 10, 7:00 PM ET
- Accepted
- Dec 11, 3:55 PM ET
- Size
- 32.3 KB