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4//SEC Filing

Huml Paul J 4

Accession 0001381668-21-000084

CIK 0001381668other
View on SEC.govCompany Profile

Filed

Aug 15, 8:00 PM ET

Accepted

Aug 16, 3:04 PM ET

Size

22.4 KB

Accession

0001381668-21-000084

Insider Transaction Report

Form 4
Period: 2021-08-12
TFS Financial CORPTFSL
Huml Paul J
Chief Operating Officer
Transactions
  • Exercise/Conversion

    Common Stock

    2021-08-12$14.81/sh+78,300$1,159,623→ 137,844 total
  • Tax Payment

    Common Stock

    2021-08-12$20.26/sh−67,012$1,357,663→ 70,832 total
  • Exercise/Conversion

    Employee Stock Option (right to buy)

    2021-08-12$14.81/sh−78,300$1,159,623→ 0 total
    Exercise: $14.81Exp: 2025-05-28→ Common Stock (78,300 underlying)
  • Sale

    Common Stock

    2021-08-12$20.01/sh−11,288$225,873→ 59,544 total
Holdings

  • Common Stock

    (indirect: By Children)
    2,000

  • Restricted Stock Units

    → Common Stock (3,989 underlying)
    3,989

  • Common Stock

    (indirect: By Spouse)
    4,700

  • Performance Restricted Share Units

    → Common Stock (12,516 underlying)
    12,516

  • Employee Stock Option (right to buy)

    Exercise: $14.74Exp: 2028-01-05→ Common Stock (156,300 underlying)
    156,300

  • Common Stock

    (indirect: ESOP)
    10,699

  • Common Stock

    (indirect: By 401(k))
    48,276

  • Restricted Stock Units

    → Common Stock (2,462 underlying)
    2,462

  • Restricted Stock Units

    → Common Stock (7,279 underlying)
    7,279

  • Employee Stock Option (right to buy)

    Exercise: $14.85Exp: 2024-12-18→ Common Stock (32,400 underlying)
    32,400
Footnotes (11)
  • [F1]Represents shares of common stock delivered to the issuer in payment by the reporting person of the options exercise price and withholding tax. This transaction is exempt under Rule 16b-3(e).
  • [F10]As reported on a Form 4 dated January 8, 2018, the reporting person received a grant of 156,300 stock options. These stock options vest in three equal annual installments beginning December 10, 2018.
  • [F11]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.
  • [F2]Shares are held with shared voting power with spouse.
  • [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]On November 24, 2020, the reporting person achieved performance level of 112.5% on a target award of 11,900 Performance Share Units ("PSUs"), resulting in a total earned award of 13,388 shares. This represents the final determination of a December 20, 2018 award that was dependent on certain performance results during the two fiscal year period ended September 30, 2020. Each PSU represents a contingent right to receive one share of TFS Financial Corporation common stock and 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 during the period the award was outstanding. The shares and dividend equivalent payment will vest and distribute to the reporting person on December 10, 2021.
  • [F6]As reported on a Form 4 dated December 20, 2018, the reporting person received a grant of 7,900 Restricted Stock Units ("RSUs"). These RSUs vest in three equal annual installments beginning December 10, 2019.
  • [F7]As reported on a Form 4 dated December 19, 2019, the reporting person received a grant of 6,400 Restricted Stock Units ("RSUs"). These RSUs vest in three equal annual installments beginning December 10, 2020.
  • [F8]On December 17, 2020, the reporting person received a grant of 7,400 Restricted Stock Units ("RSUs"). These RSUs vest in three equal annual installments beginning December 10, 2021.
  • [F9]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.

Documents

1 file

Issuer

TFS Financial CORP

CIK 0001381668

→
Entity typeother

Related Parties

1
  • filerCIK 0001388162

Filing Metadata

Form type
4
Filed
Aug 15, 8:00 PM ET
Accepted
Aug 16, 3:04 PM ET
Size
22.4 KB
View on SEC.gov