| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | TFSL | Common Stock | Options Exercise | $0 | +7.65K | +8.36% | $0.00 | 99.2K | Apr 1, 2022 | Direct | F1 |
| transaction | TFSL | Common Stock | Options Exercise | $0 | +3.15K | +3.18% | $0.00 | 102K | Apr 1, 2022 | Direct | F1 |
| transaction | TFSL | Common Stock | Options Exercise | $0 | +2.4K | +2.35% | $0.00 | 105K | Apr 1, 2022 | Direct | F1 |
| transaction | TFSL | Common Stock | Options Exercise | $0 | +1.5K | +1.43% | $0.00 | 106K | Apr 1, 2022 | Direct | F1 |
| transaction | TFSL | Common Stock | Tax liability | -$45.9K | -2.76K | -2.59% | $16.67 | 103K | Apr 1, 2022 | Direct | F2 |
| holding | TFSL | Common Stock | 25.9K | Apr 1, 2022 | 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 | -7.65K | -100% | $0.00* | 0 | Apr 1, 2022 | Common Stock | 7.65K | Direct | F3, F4 | |
| transaction | TFSL | Restricted Stock Units | Options Exercise | $0 | -3.15K | -100% | $0.00* | 0 | Apr 1, 2022 | Common Stock | 3.15K | Direct | F3, F5 | |
| transaction | TFSL | Restricted Stock Units | Options Exercise | $0 | -2.4K | -100% | $0.00* | 0 | Apr 1, 2022 | Common Stock | 2.4K | Direct | F3, F6 | |
| transaction | TFSL | Restricted Stock Units | Options Exercise | $0 | -1.5K | -100% | $0.00* | 0 | Apr 1, 2022 | Common Stock | 1.5K | Direct | F3, F7 | |
| holding | TFSL | Performance Restricted Share Units | 6.19K | Apr 1, 2022 | Common Stock | 6.19K | Direct | F3, F8 | ||||||
| holding | TFSL | Employee Stock Option (right to buy) | 21K | Apr 1, 2022 | Common Stock | 21K | $15.08 | Direct | F9 | |||||
| holding | TFSL | Employee Stock Option (right to buy) | 17K | Apr 1, 2022 | Common Stock | 17K | $14.74 | Direct | F10 |
Maria Motta Anna is no longer subject to Section 16 filing requirements. Form 4 or Form 5 obligations may continue.
| Id | Content |
|---|---|
| F1 | In connection with the retirement of the reporting person effective September 30, 2021, remaining restricted stock units to be issued under the accelerated vesting will be issued six months after the reporting person's retirement, in accordance with IRS Section 409A regulations |
| F2 | These common shares were delivered to the issuer to pay for the applicable withholding tax due upon vesting of certain restricted stock units. |
| 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 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. |
| F5 | 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. |
| F6 | 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 |
| F7 | On December 20, 2018, the reporting person received a grant of 4,500 Restricted Stock Units ("RSUs"). These RSUs vest in three equal annual installments beginning December 10, 2019. |
| F8 | 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. |
| 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. |