Filing Details
- Accession Number:
- 0001381668-23-000124
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2023-12-12 17:02:59
- Reporting Period:
- 2023-12-08
- Accepted Time:
- 2023-12-12 17:02:59
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1381668 | Tfs Financial Corp | TFSL | Savings Institution, Federally Chartered (6035) | 522054948 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1820711 | C. Russell Holmes | 7007 Broadway Avenue Cleveland OH 44105 | Chief Retail Officer | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2023-12-08 | 12,000 | $13.45 | 21,482 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2023-12-08 | 3,642 | $13.45 | 17,840 | No | 4 | F | Direct | |
| Common Stock | Disposition | 2023-12-08 | 8,358 | $13.45 | 9,482 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Restricted Stock Units | Disposition | 2023-12-08 | 12,000 | $0.00 | 12,000 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 5,487 | Indirect | ESOP |
| Common Stock | 11,693 | Indirect | 401k |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Employee Stock Option (right to buy) | $15.08 | 2024-12-10 | 5,000 | 5,000 | Direct | |
| Common Stock | Employee Stock Option (right to buy) | $14.74 | 2028-01-05 | 11,000 | 11,000 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2024-12-10 | 5,000 | 5,000 | Direct |
| 2028-01-05 | 11,000 | 11,000 | Direct |
Footnotes
- These common shares were acquired upon the vesting and settlement of certain restricted stock units (RSUs).
- These common shares were delivered to the issuer to pay for applicable withholding tax due upon the exercise of certain restricted stock units.
- Reflects transactions not required to be reported under Section 16 of the Securities Exchange Act, as amended.
- 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 cashpayment in the amount of any cash dividend paid per share of common stock.
- On December 17, 2020, the reporting person received a grant of 12,000 Restricted Stock Units ("RSUs"). These RSUs vest 100% December 10, 2023.
- On December 11, 2014, the reporting person received a grant of 5,000 stock options. These stock options vest on December 10, 2017.
- On January 5, 2018, the reporting person received a grant of 11,000 stock options. These options will fully vest on December 10, 2020
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