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TFS Financial CORP — Director's Dealing 2014
Sep 2, 2014
31194_dirs_2014-09-02_a3a5f392-0584-43fd-85e4-abc7a650b587.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: TFS Financial CORP (TFSL)
CIK: 0001381668
Period of Report: 2014-09-01
Reporting Person: Motta Anna Maria P (Chief Information Officer)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 16484 | Direct |
| Common Stock | 10581 | Indirect |
| Common Stock | 5527 | Indirect |
| Common Stock | 1000 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Employee Stock Option (right to buy) | $11.74 | 2018-08-10 | Common Stock (50000.0) | Direct | |
| Employee Stock Option (right to buy) | $8.61 | 2021-12-19 | Common Stock (40000.0) | Direct | |
| Restricted Stock Units | $ | Common Stock (20000.0) | Direct |
Footnotes
F1: Reflects transactions not required to be reported under Section 16 of the Securities Exchange Act, as amended.
F2: Shares are owned by the reporting person's mother who resides in the same household. Reporting person has no pecuniary interest in the shares.
F3: The reporting person received a grant of 50,000 stock options that vested in three equal annual installments beginning on August 11, 2011.
F4: The reporting person received a grant of 40,000 stock options on December 19, 2011. These stock options vest on December 15, 2014.
F5: On December 19, 2011, the reporting person received a grant of 20,000 Restricted Stock Units ("RSU's") that vest on December 15, 2014.
F6: 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.