| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | TFSL | Common Stock | Options Exercise | $3,774,970 | +400,315 | +214% | $9.43 | 587,114 | 10 Sep 2021 | Direct | |
| transaction | TFSL | Common Stock | Tax liability | $5,285,597 | -280,850 | -48% | $18.82 | 306,264 | 10 Sep 2021 | Direct | F1 |
| transaction | TFSL | Common Stock | Sale | $2,219,660 | -119,465 | -39% | $18.58 | 186,799 | 10 Sep 2021 | Direct | |
| transaction | TFSL | Common Stock | Options Exercise | $154,511 | +16,385 | +8.8% | $9.43 | 203,184 | 13 Sep 2021 | Direct | |
| transaction | TFSL | Common Stock | Tax liability | $221,677 | -11,698 | -5.8% | $18.95 | 191,486 | 13 Sep 2021 | Direct | F1 |
| transaction | TFSL | Common Stock | Sale | $89,334 | -4,687 | -2.4% | $19.06 | 186,799 | 13 Sep 2021 | Direct | |
| holding | TFSL | Common Stock | 8,000 | 10 Sep 2021 | By Spouse | ||||||
| holding | TFSL | Common Stock | 98,819 | 10 Sep 2021 | By 401(k) | F2 | |||||
| holding | TFSL | Common Stock | 9,066 | 10 Sep 2021 | BY ESOP | F2 | |||||
| holding | TFSL | Common Stock | 63,820 | 10 Sep 2021 | Trust Beneficiary | ||||||
| holding | TFSL | Common Stock | 115,738 | 10 Sep 2021 | Trustee for sibling trust | ||||||
| holding | TFSL | Common Stock | 16,200 | 10 Sep 2021 | Trustee for daughter's trust | ||||||
| holding | TFSL | Common Stock | 7,200 | 10 Sep 2021 | POA on siblings IRA |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | TFSL | Employee Stock Option (right to buy) | Options Exercise | $3,774,970 | -400,315 | -96% | $9.43 | 16,385 | 10 Sep 2021 | Common Stock | 400,315 | $9.43 | Direct | F11 |
| transaction | TFSL | Employee Stock Option (right to buy) | Options Exercise | $154,511 | -16,385 | -100% | $9.43 | 0 | 13 Sep 2021 | Common Stock | 16,385 | $9.43 | Direct | F11 |
| holding | TFSL | Performance Restricted Share Units | 17,550 | 10 Sep 2021 | Common Stock | 17,550 | Direct | F3, F4 | ||||||
| holding | TFSL | Restricted Stock Units | 693,048 | 10 Sep 2021 | Common Stock | 693,048 | Direct | F3, F5 | ||||||
| holding | TFSL | Restricted Stock Units | 35,700 | 10 Sep 2021 | Common Stock | 35,700 | Direct | F3, F6 | ||||||
| holding | TFSL | Restricted Stock Units | 33,400 | 10 Sep 2021 | Common Stock | 33,400 | Direct | F3, F7 | ||||||
| holding | TFSL | Restricted Stock Units | 32,300 | 10 Sep 2021 | Common Stock | 32,300 | Direct | F3, F8 | ||||||
| holding | TFSL | Restricted Stock Units | 18,600 | 10 Sep 2021 | Common Stock | 18,600 | Direct | F3, F9 | ||||||
| holding | TFSL | Restricted Stock Units | 11,600 | 10 Sep 2021 | Common Stock | 11,600 | Direct | F3, F10 | ||||||
| holding | TFSL | Employee Stock Option (right to buy) | 383,600 | 10 Sep 2021 | Common Stock | 383,600 | $14.85 | Direct | F12 | |||||
| holding | TFSL | Employee Stock Option (right to buy) | 286,500 | 10 Sep 2021 | Common Stock | 286,500 | $11.64 | Direct | F13 | |||||
| holding | TFSL | Employee Stock Option (right to buy) | 196,700 | 10 Sep 2021 | Common Stock | 196,700 | $19.06 | Direct | F14 |
| Id | Content |
|---|---|
| F1 | Represents shares of common stock delivered to the issuer in payment by the reporting person of the options exercise price and withholding tax. This transaction is exempt under Rule 16b-3(e). |
| 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 November 24, 2020, the reporting person achieved performance level of 112.5% on a target award of 15,600 Performance Share Units ("PSUs"), resulting in a total earned award of 17,550 shares. This represents the final determination of a December 20, 2018 award that was dependent on certain performance results during the two fiscal year period ended September 30, 2020. Each PSU represents a contingent right to receive one share of TFS Financial Corporation common stock and 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 during the period the award was outstanding. The shares and dividend equivalent payment will vest and distribute to the reporting person on December 10, 2021. |
| F5 | As reported on a Form 4 dated August 13, 2008, the Reporting Person received a grant of 701,800 Restricted Stock Units ("RSUs") on August 11, 2008. These RSUs vest 10% on each of the third through the ninth anniversaries of the date of the grant and 30% on the tenth anniversary of the date of the grant. Vested shares may be distributed to the Reporting Person only after the person's termination of employment from TFS Financial Corporation. A total of 8,752 shares were delivered to the issuer to pay for the applicable withholding tax due upon vesting. |
| F6 | As reported on a Form 4 dated May 18, 2010, the Reporting Person received a grant of 35,700 restricted stock units that vest in four equal installments beginning on May 14, 2011. Vested shares may be distributed to the Reporting Person only after that person's termination of employment with TFS Financial Corporation. |
| F7 | As reported on a Form 4 dated May 14, 2009, the reporting person received a grant of 33,400 stock units that vest in four equal annual installments beginning on May 12, 2010. Vested shares may be distributed to the reporting person only after the person's termination of employment with TFS Financial Corporation. |
| F8 | On December 17, 2020, the reporting person received a grant of 32,300 Restricted Stock Units ("RSUs"). These RSUs vest in three equal annual installments beginning December 10, 2021. |
| F9 | As reported on a Form 4 dated December 19, 2019, the reporting person received a grant of 27,900 Restricted Stock Units (RSUs). These RSUs vest in three equal annual installments beginning December 10, 2020 |
| F10 | On December 20, 2018, the reporting person received a grant of 34,800 Restricted Stock Units ("RSUs"). These RSUs vest in three equal annual installments beginning December 10, 2019. |
| F11 | As reported on a Form 4 dated January 2, 2013, the reporting person received a grant of 416,700 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 19, 2014, the reporting person received a grants of 383,600 stock options. These options vest in three equal annual installments beginning December 10, 2015. |
| F13 | As reported on a Form 4 dated December 12, 2013, the reporting person received a grant of 286,500 stock options. These stock options vest in three equal installments beginning December 3, 2014. |
| F14 | As reported on a Form 4 dated December 17, 2015, the reporting person received a grant of 196,700 stock options. These stock options vest in three equal annual installments beginning December 10, 2016. |