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TFS Financial CORP — Director's Dealing 2017
Sep 7, 2017
31194_dirs_2017-09-07_63e0fc34-ee19-4564-917d-81af1d1fd959.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: 2017-09-05
Reporting Person: Motta Anna Maria P (Chief Information Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-09-05 | Common Stock | M | 5000 | $8.61 | Acquired | 57500 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2017-09-05 | Employee Stock Option (right to buy) | $8.61 | M | 5000 | Disposed | 2021-12-19 | Common Stock (5000.0) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 7342 | Indirect |
| Common Stock | 11345 | Indirect |
| Common Stock | 1000 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Restricted Stock Units | $ | Common Stock (13000.0) | 13000 | Direct | |
| Employee Stock Option (right to buy) | $15.08 | 2024-12-11 | Common Stock (26000.0) | 26000 | 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 40,000 stock options which vested 100% on December 15, 2014. The reporting person previously exercised 35,000 of these stock options.
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: As reported on a Form 4 dated December 15, 2014, the reporting person received a grant of 13,000 Restricted Stock Units ("RSUs") that fully vest on December 10, 2017.
F6: As reported on a Form 4 dated December 15, 2014, the reporting person received a grant of 26,000 stock options. These stock options fully vest on December 10, 2017.