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TFS Financial CORP — Director's Dealing 2018
Dec 26, 2018
31194_dirs_2018-12-26_c40d23c8-e2c2-47d7-ba77-22be63010df2.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: 2018-12-20
Reporting Person: WEIL MEREDITH S (Director, Chief Operating Officer)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2018-12-20 | Restricted Stock Units | $ | A | 10100 | Acquired | Common Stock (10100.0) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 45849 | Direct |
| Common Stock | 11475 | Indirect |
| Common Stock | 7916 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Restricted Stock Units | $ | Common Stock (8160.0) | 8160 | Direct | |
| Restricted Stock Units | $ | Common Stock (5267.0) | 5267 | Direct | |
| Restricted Stock Units | $ | Common Stock (1934.0) | 1934 | Direct | |
| Restricted Stock Units | $ | Common Stock (3600.0) | 3600 | Direct | |
| Employee Stock Option (right to buy) | $14.0 | 2020-05-14 | Common Stock (31500.0) | 31500 | Direct |
| Employee Stock Option (right to buy) | $8.61 | 2021-12-15 | Common Stock (36900.0) | 36900 | Direct |
| Employee Stock Option (right to buy) | $9.43 | 2022-12-15 | Common Stock (41700.0) | 41700 | Direct |
| Employee Stock Option (right to buy) | $11.64 | 2023-12-03 | Common Stock (28700.0) | 28700 | Direct |
| Employee Stock Option (right to buy) | $14.85 | 2024-12-18 | Common Stock (32400.0) | 32400 | Direct |
| Employee Stock Option (right to buy) | $14.81 | 2025-05-28 | Common Stock (108300.0) | 108300 | Direct |
| Employee Stock Option (right to buy) | $19.06 | 2025-12-17 | Common Stock (49200.0) | 49200 | Direct |
| Employee Stock Option (right to buy) | $19.31 | 2026-12-15 | Common Stock (79400.0) | 79400 | Direct |
| Employee Stock Option (right to buy) | $14.74 | 2028-01-05 | Common Stock (187500.0) | 187500 | Direct |
Footnotes
F1: Shares are held with shared voting power with spouse.
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 20, 2018, the reporting person received a grant of 10,100 Restricted Stock Units ("RSUs"). These RSUs vest in three equal annual installments beginning December 10, 2019.
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: As reported on a Form 4 dated January 8, 2018, the reporting person received a grant of 7,900 Restricted Stock Units ("RSUs"). These RSUs vest in three equal annual installments beginning December 10, 2018.
F7: As reported on a Form 4 dated 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.
F8: As reported on a Form 4 dated September 29, 2011, the reporting person received a grant of 3,600 restricted stock units that vest in four equal annual installments beginning May 14, 2011. Vested shares may be distributed to the Reporting Person only after that person's termination of employment with TFS Financial Corporation.
F9: The reporting person received a grant of 31,500 stock options that vest in three equal annual installments beginning May 14, 2011.
F10: As reported on a Form 4 dated December 19, 2011, the reporting person received a grant of 36,900 stock options that vest in three equal annual installments beginning December 15, 2012.
F11: The reporting person received a grant of 41,700 stock options on December 28, 2012. These stock options vest in three equal installments beginning December 15, 2013.
F12: As reported on a Form 4 dated December 12, 2013, the reporting person received a grant of 28,700 stock options on December 3, 2013. These stock options vest in three equal installments beginning December 3, 2014.
F13: 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.
F14: 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.
F15: 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.
F16: As reported on a Form 4 dated 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.
F17: As reported on a Form 4 dated January 8, 2018, the reporting person received a grant of 187,500 stock options. These stock options vest in three equal annual installments beginning December 10, 2018.