| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | TFSL | Common Stock | Options Exercise | $0 | +12.5K | +21.02% | $0.00 | 72.1K | Dec 10, 2021 | Direct | F1 |
| transaction | TFSL | Common Stock | Options Exercise | $0 | +2.46K | +3.42% | $0.00 | 74.5K | Dec 10, 2021 | Direct | F2 |
| transaction | TFSL | Common Stock | Options Exercise | $0 | +1.99K | +2.68% | $0.00 | 76.5K | Dec 10, 2021 | Direct | F2 |
| transaction | TFSL | Common Stock | Options Exercise | $0 | +2.35K | +3.06% | $0.00 | 78.9K | Dec 10, 2021 | Direct | F2 |
| transaction | TFSL | Common Stock | Tax liability | -$147K | -8.12K | -10.29% | $18.10 | 70.7K | Dec 10, 2021 | Direct | F3, F4 |
| holding | TFSL | Common Stock | 10.9K | Dec 10, 2021 | ESOP | F5 | |||||
| holding | TFSL | Common Stock | 49K | Dec 10, 2021 | By 401(k) | F5 | |||||
| holding | TFSL | Common Stock | 4.7K | Dec 10, 2021 | By Spouse's Ira | ||||||
| holding | TFSL | Common Stock | 2K | Dec 10, 2021 | Child 2 |
| 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 | -12.5K | -100% | $0.00* | 0 | Dec 10, 2021 | Common Stock | 12.5K | Direct | F6, F7 | |
| transaction | TFSL | Performance Restricted Share Units | Award | $0 | +10.8K | $0.00 | 10.8K | Dec 10, 2021 | Common Stock | 10.8K | Direct | F6, F8 | ||
| transaction | TFSL | Restricted Stock Units | Options Exercise | $0 | -2.46K | -100% | $0.00* | 0 | Dec 10, 2021 | Common Stock | 2.46K | Direct | F6, F9 | |
| transaction | TFSL | Restricted Stock Units | Options Exercise | $0 | -1.99K | -49.99% | $0.00 | 2K | Dec 10, 2021 | Common Stock | 1.99K | Direct | F6, F10 | |
| transaction | TFSL | Restricted Stock Units | Options Exercise | $0 | -2.35K | -32.22% | $0.00 | 4.93K | Dec 10, 2021 | Common Stock | 2.35K | Direct | F6, F11 | |
| holding | TFSL | Employee Stock Option (right to buy) | 32.4K | Dec 10, 2021 | Common Stock | 32.4K | $14.85 | Direct | F12 | |||||
| holding | TFSL | Employee Stock Option (right to buy) | 156K | Dec 10, 2021 | Common Stock | 156K | $14.74 | Direct | F13 |
| 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 | Shares are held with shared voting power with spouse. |
| F5 | Reflects transactions not required to be reported under Section 16 of the Securities Exchange Act, as amended. |
| F6 | 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. |
| F7 | On November 24, 2020, the reporting person achieved performance level of 112.5% on a target award of 11,900 Performance Share Units ("PSUs"), resulting in a total earned award of 13,388 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. 872 shares were previously withheld for taxes. |
| F8 | On December 10, 2021, the reporting person achieved performance level of 112.5% on a target award of 9,600 Performance Share Units ("PSUs"), resulting in a total earned award of 10,800 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. |
| F9 | As reported on a Form 4 dated December 20, 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, 2019. |
| F10 | As reported on a Form 4 dated December 19, 2019, the reporting person received a grant of 6,400 Restricted Stock Units ("RSUs"). These RSUs vest in three equal annual installments beginning December 10, 2020. |
| F11 | On December 17, 2020, the reporting person received a grant of 7,400 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, 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. |
| F13 | As reported on a Form 4 dated January 8, 2018, the reporting person received a grant of 156,300 stock options. These stock options vest in three equal annual installments beginning December 10, 2018. |