| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | TFSL | Common Stock | Options Exercise | $0 | +17.6K | +9.22% | $0.00 | 208K | Dec 10, 2021 | Direct | F1 |
| transaction | TFSL | Common Stock | Options Exercise | $0 | +11.6K | +5.58% | $0.00 | 219K | Dec 10, 2021 | Direct | F2 |
| transaction | TFSL | Common Stock | Options Exercise | $0 | +9.3K | +4.24% | $0.00 | 229K | Dec 10, 2021 | Direct | F2 |
| transaction | TFSL | Common Stock | Options Exercise | $0 | +10.8K | +4.71% | $0.00 | 239K | Dec 10, 2021 | Direct | F2 |
| transaction | TFSL | Common Stock | Tax liability | -$343K | -19K | -7.92% | $18.10 | 220K | Dec 10, 2021 | Direct | F3 |
| holding | TFSL | Common Stock | 60.4K | Dec 10, 2021 | Trust Beneficiary | ||||||
| holding | TFSL | Common Stock | 8K | Dec 10, 2021 | By Spouse | ||||||
| holding | TFSL | Common Stock | 98.9K | Dec 10, 2021 | By 401(k) | F4 | |||||
| holding | TFSL | Common Stock | 9.07K | Dec 10, 2021 | BY ESOP | F4 | |||||
| holding | TFSL | Common Stock | 116K | Dec 10, 2021 | Trustee for sibling trust | ||||||
| holding | TFSL | Common Stock | 16.2K | Dec 10, 2021 | Trustee for daughter's trust | ||||||
| holding | TFSL | Common Stock | 7.2K | Dec 10, 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 | Performance Restricted Share Units | Options Exercise | $0 | -17.6K | -100% | $0.00* | 0 | Dec 10, 2021 | Common Stock | 17.6K | Direct | F5, F6 | |
| transaction | TFSL | Performance Restricted Share Units | Award | $0 | +14.1K | $0.00 | 14.1K | Dec 10, 2021 | Common Stock | 14.1K | Direct | F5, F7 | ||
| transaction | TFSL | Restricted Stock Units | Options Exercise | $0 | -10.8K | -33.33% | $0.00 | 21.5K | Dec 10, 2021 | Common Stock | 10.8K | Direct | F5, F11 | |
| transaction | TFSL | Restricted Stock Units | Options Exercise | $0 | -9.3K | -50% | $0.00 | 9.3K | Dec 10, 2021 | Common Stock | 9.3K | Direct | F5, F12 | |
| transaction | TFSL | Restricted Stock Units | Options Exercise | $0 | -11.6K | -100% | $0.00* | 0 | Dec 10, 2021 | Common Stock | 11.6K | Direct | F5, F13 | |
| holding | TFSL | Restricted Stock Units | 693K | Dec 10, 2021 | Common Stock | 693K | Direct | F5, F8 | ||||||
| holding | TFSL | Restricted Stock Units | 35.7K | Dec 10, 2021 | Common Stock | 35.7K | Direct | F5, F9 | ||||||
| holding | TFSL | Restricted Stock Units | 33.4K | Dec 10, 2021 | Common Stock | 33.4K | Direct | F5, F10 | ||||||
| holding | TFSL | Employee Stock Option (right to buy) | 197K | Dec 10, 2021 | Common Stock | 197K | $19.06 | Direct | F14 | |||||
| holding | TFSL | Employee Stock Option (right to buy) | 287K | Dec 10, 2021 | Common Stock | 287K | $11.64 | Direct | F15 | |||||
| holding | TFSL | Employee Stock Option (right to buy) | 384K | Dec 10, 2021 | Common Stock | 384K | $14.85 | Direct | F16 |
| Id | Content |
|---|---|
| F1 | These common shares were acquired upon the vesting and settlement of certain Performance Share Units (PSUs). |
| F2 | These common shares were acquired upon the vesting and settlement of certain restricted stock units (RSUs). |
| F3 | These common shares were delivered to the issuer to pay for the applicable withholding tax due upon vesting of certain restricted stock units. |
| F4 | Reflects transactions not required to be reported under Section 16 of the Securities Exchange Act, as amended. |
| F5 | 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. |
| F6 | 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. |
| F7 | On December 10, 2021, the reporting person achieved performance level of 112.5% on a target award of 12,500 Performance Share Units ("PSUs"), resulting in a total earned award of 14,063 shares. This represents the final determination a December 19, 2019 award that was dependent on certain performance results during the two fiscal year period ended September 30, 2021. 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, 2022. |
| F8 | 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. |
| F9 | 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. |
| F10 | 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. |
| F11 | 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. |
| F12 | 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 |
| F13 | 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. |
| 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. |
| F15 | 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. |
| F16 | 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. |