| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | TFSL | Common Stock | Other | $0 | -14.5K | -100% | $0.00* | 0 | Oct 13, 2021 | 401(k) | F1, F2 |
| transaction | TFSL | Common Stock | Other | $0 | -11.4K | -100% | $0.00* | 0 | Nov 17, 2021 | ESOP | F1, F2 |
| transaction | TFSL | Common Stock | Award | $0 | +25.9K | $0.00 | 25.9K | Nov 17, 2021 | IRA | F1 | |
| holding | TFSL | Common Stock | 91.5K | Oct 13, 2021 | Direct |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | TFSL | Performance Restricted Share Units | Award | $0 | +6.19K | $0.00 | 6.19K | Dec 10, 2021 | Common Stock | 6.19K | Direct | F3, F6 | ||
| holding | TFSL | Performance Restricted Share Units | 7.65K | Oct 13, 2021 | Common Stock | 7.65K | Direct | F3, F4, F5 | ||||||
| holding | TFSL | Restricted Stock Units | 3.15K | Oct 13, 2021 | Common Stock | 3.15K | Direct | F3, F4, F7 | ||||||
| holding | TFSL | Restricted Stock Units | 2.4K | Oct 13, 2021 | Common Stock | 2.4K | Direct | F3, F4, F8 | ||||||
| holding | TFSL | Restricted Stock Units | 1.5K | Oct 13, 2021 | Common Stock | 1.5K | Direct | F3, F4, F9 | ||||||
| holding | TFSL | Employee Stock Option (right to buy) | 21K | Oct 13, 2021 | Common Stock | 21K | $15.08 | Direct | F9 | |||||
| holding | TFSL | Employee Stock Option (right to buy) | 17K | Oct 13, 2021 | Common Stock | 17K | $14.74 | Direct | F10 |
| Id | Content |
|---|---|
| F1 | In connection with the retirement of the reporting person effective September 30, 2021, 401k and ASOP shares were transfered to a personal IRA |
| 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 | In connection with the retirement of the reporting person effective September 30, 2021, all remaining restricted stock units are fully vested and will be issued six months after the reporting person's retirement in accordance with IRS Section 409A regulations. |
| F5 | On November 24, 2020, the reporting person achieved performance level of 112.5% on a target award of 6,800 Performance Share Units ("PSUs"), resulting in a total earned award of 7,650 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. |
| F6 | On December 10, 2021, the reporting person achieved performance level of 112.5% on a target award of 5,500 Performance Share Units ("PSUs"), resulting in a total earned award of 6,188 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. |
| F7 | On December 17, 2020, the reporting person received a grant of 4,200 Restricted Stock Units ("RSUs"). These RSUs vest in three equal annual installments beginning December 10, 2021. |
| F8 | On December 19, 2019, the reporting person received a grant of 3,600 Restricted Stock Units (RSUs). These RSUs vest in three equal annual installments beginning December 10, 2020 |
| F9 | As reported on a Form 4 dated December 15, 2014, the reporting person received a grant of 26,000 stock options. These stock options fully vest on December 10, 2017. |
| F10 | On January 5, 2018, the reporting person received a grant of 17,000 stock options. These options fully vest on December 10, 2020. |