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TFS Financial CORP — Director's Dealing 2017
May 31, 2017
31194_dirs_2017-05-31_f3aaa879-5431-4592-9360-5a268e75bded.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: 2017-05-28
Reporting Person: Zbanek Cathy W (Chief Mkting Off of subsidiary)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-05-28 | Common Stock | M | 4080 | — | Acquired | 24868 | Direct |
| 2017-05-28 | Common Stock | F | 2000 | $15.91 | Disposed | 22868 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2017-05-28 | Restricted Stock Units | $ | M | 4080 | Disposed | Common Stock (4080.0) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 6090 | Indirect |
| Common Stock | 5362 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Employee Stock Option (right to buy) | $19.31 | 2026-12-15 | Common Stock (79400.0) | 79400 | Direct |
| Restricted Stock Units | $ | Common Stock (3000.0) | 3000 | Direct | |
| Employee Stock Option (right to buy) | $11.95 | 2019-08-10 | Common Stock (25000.0) | 25000 | Direct |
| Employee Stock Option (right to buy) | $19.06 | 2025-12-17 | Common Stock (49200.0) | 49200 | Direct |
| Employee Stock Option (right to buy) | $14.81 | 2025-05-28 | Common Stock (108300.0) | 108300 | Direct |
| Employee Stock Option (right to buy) | $11.64 | 2023-12-03 | Common Stock (28700.0) | 28700 | Direct |
| Restricted Stock Units | $ | Common Stock (1100.0) | 1100 | Direct | |
| Employee Stock Option (right to buy) | $8.61 | 2021-12-19 | Common Stock (40000.0) | 40000 | Direct |
| Restricted Stock Units | $ | Common Stock (5800.0) | 5800 | Direct | |
| Employee Stock Option (right to buy) | $14.85 | 2024-12-18 | Common Stock (32400.0) | 32400 | Direct |
Footnotes
F1: These common shares were acquired upon the vesting and settlement of certain restricted stock units.
F2: These common shares were delivered to the issuer to pay for the applicable withholding tax due upon vesting of certain restricted stock units.
F3: Reflects transactions not required to be reported under Section 16 of the Securities Exchange Act, as amended.
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 May 29, 2015, the reporting person received a grant of 20,400 Restricted Stock Units ("RSUs") on May 28, 2015. These RSUs vest in five equal annual installments beginning on May 28, 2016.
F6: On December 15, 2016, the reporting person received a grant of 79,400 stock options. These stock options vest in three equal annual installments beginning December 10, 2017.
F7: As reported on a Form 4 dated December 17, 2015, the reporting person received a grant of 4,500 Restricted Stock Units ("RSUs") on December 15, 2015. These RSUs vest in three equal annual installments beginning December 10, 2016.
F8: 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.
F9: As reported on a Form 4 dated December 17, 2015, the reporting person received a grant of 49,200 stock options on December 15, 2015. These stock options vest in three equal annual installments beginning December 10, 2016.
F10: As reported on a Form 4 dated May 29, 2015, 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.
F11: 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.
F12: 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.
F13: The reporting person received a grant of 40,000 stock options on December 19, 2011 which vest 100% on December 15, 2014.
F14: On December 15, 2016, the reporting person received a grant of 5,800 Restricted Stock Units ("RSUs"). These RSUs vest in three equal annual installments beginning December 10, 2017.
F15: 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.