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TFS Financial CORP — Director's Dealing 2013
Dec 12, 2013
31194_dirs_2013-12-12_ef57d8cc-b55d-4ef1-abaf-413987600511.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: TFS Financial CORP (TFSL)
CIK: 0001381668
Period of Report: 2013-12-03
Reporting Person: PAULETT TERENCE C (Chief Risk Off of Subsidiary)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2013-12-03 | Restricted Stock Units | $ | A | 4200 | Acquired | Common Stock (4200.0) | Direct | |
| 2013-12-03 | Employee Stock Option (right to buy) | $11.64 | A | 28700 | Acquired | 2023-12-03 | Common Stock (28700.0) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 16184 | Direct |
| Common Stock | 5725 | Indirect |
| Common Stock | 4872 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Restricted Stock Units | $ | Common Stock (5800.0) | 5800 | Direct | |
| Employee Stock Option (right to buy) | $11.74 | 2018-08-10 | Common Stock (50000.0) | 50000 | Direct |
| Restricted Stock Units | $ | Common Stock (20000.0) | 20000 | Direct | |
| Employee Stock Option (right to buy) | $8.61 | 2021-12-14 | Common Stock (40000.0) | 40000 | Direct |
| Employee Stock Option (right to buy) | $9.43 | 2022-12-15 | Common Stock (41700.0) | 41700 | Direct |
Footnotes
F1: Shares are held with shared voting power with spouse.
F2: Reflects transactions not required to be reported under Section 16 of the Securities Exchange Act, as amended.
F3: 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.
F4: 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.
F5: 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.
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: The reporting person received a grant of 50,000 stock options that vest in three equal annual installments beginning August 11, 2011.
F8: The reporting person received a grant of 20,000 Restricted Stock Units ("RSUs") on December 19, 2011 which vest 100% on December 15, 2014.
F9: The reporting person received a grant of 40,000 stock options on December 19, 2011 which vest 100% on December 15, 2014.
F10: 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.