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TFS Financial CORP — Director's Dealing 2017
Dec 11, 2017
31194_dirs_2017-12-11_fac82f21-85cf-4f68-9712-1edd9709cf02.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: 2017-12-10
Reporting Person: Adam Judith Z (Chief Risk Off of Subsidiary)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-12-10 | Common Stock | M | 13000 | — | Acquired | 42414 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2017-12-10 | Restricted Stock Units | $ | M | 13000 | Disposed | Common Stock (13000.0) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 6989 | Indirect |
| Common Stock | 39822 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Employee Stock Option (right to buy) | $8.61 | 2021-12-19 | Common Stock (40000.0) | 40000 | Direct |
| Employee Stock Option (right to buy) | $15.08 | 2024-12-11 | Common Stock (26000.0) | 26000 | Direct |
| Employee Stock Option (right to buy) | $11.74 | 2018-08-10 | Common Stock (50000.0) | 50000 | Direct |
Footnotes
F1: These common shares were acquired upon the vesting and settlement of certain restricted stock units.
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: On December 11, 2014, the reporting person received a grant of 13,000 Restricted Stock Units ("RSUs") that fully vest on December 10, 2017.
F5: On December 19, 2011, the reporting person received a grant of 40,000 stock options, which vest 100% on December 15, 2014.
F6: On December 11, 2014, the reporting person received a grant of 26,000 stock options. These stock options vest on December 10, 2017.
F7: The reporting person received a grant of 50,000 stock options that vested in three equal annual installments beginning on August 11, 2011.