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TFS Financial CORP — Director's Dealing 2015
May 29, 2015
31194_dirs_2015-05-29_25e11375-24f2-4794-add5-0a2a35bb3f6d.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: 2015-05-28
Reporting Person: Zbanek Cathy W (Chief Mkting Off of subsidiary)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2015-05-28 | Employee Stock Option (right to buy) | $14.81 | A | 108300 | Acquired | 2025-05-28 | Common Stock (108300.0) | Direct |
| 2015-05-28 | Restricted Stock Units | $ | A | 20400 | Acquired | Common Stock (20400.0) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 14450 | Direct |
| Common Stock | 4920 | Indirect |
| Common Stock | 5340 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Restricted Stock Units | $ | Common Stock (3300.0) | 3300 | Direct | |
| Restricted Stock Units | $ | Common Stock (2800.0) | 2800 | Direct | |
| Employee Stock Option (right to buy) | $11.95 | 2019-08-10 | Common Stock (25000.0) | 25000 | Direct |
| Employee Stock Option (right to buy) | $11.64 | 2023-12-03 | Common Stock (28700.0) | 28700 | Direct |
| Employee Stock Option (right to buy) | $8.61 | 2021-12-19 | Common Stock (40000.0) | 40000 | Direct |
| Employee Stock Option (right to buy) | $14.85 | 2024-12-18 | Common Stock (32400.0) | 32400 | Direct |
Footnotes
F1: Reflects transactions not required to be reported under Section 16 of the Securities Exchange Act, as amended.
F2: 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.
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 20,400 Restricted Stock Units ("RSUs") on May 28, 2015. The RSUs vest in five equal annual installments beginning on May 28, 2016.
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 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: The reporting person received a grant of 25,000 stock options on March 12, 2009. These stock options vest in three equal annual installments beginning August 11, 2011.
F8: As reported on a Form 4 dated December 12, 2013, the reporting person received a grant of 28,700 stock options. These stock options vest in three equal installments beginning December 3, 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: 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.