0001381668-14-000002.txt : 20140103
0001381668-14-000002.hdr.sgml : 20140103
20140103093347
ACCESSION NUMBER: 0001381668-14-000002
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20140102
FILED AS OF DATE: 20140103
DATE AS OF CHANGE: 20140103
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: TFS Financial CORP
CENTRAL INDEX KEY: 0001381668
STANDARD INDUSTRIAL CLASSIFICATION: SAVINGS INSTITUTION, FEDERALLY CHARTERED [6035]
IRS NUMBER: 522054948
STATE OF INCORPORATION: DE
FISCAL YEAR END: 0930
BUSINESS ADDRESS:
STREET 1: 7007 BROADWAY AVENUE
CITY: CLEVELAND
STATE: OH
ZIP: 44105
BUSINESS PHONE: (216) 441-6000
MAIL ADDRESS:
STREET 1: 7007 BROADWAY AVENUE
CITY: CLEVELAND
STATE: OH
ZIP: 44105
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Stefanski Marc A
CENTRAL INDEX KEY: 0001388161
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33390
FILM NUMBER: 14503566
MAIL ADDRESS:
STREET 1: 7007 BROADWAY AVENUE
CITY: CLEVELAND
STATE: OH
ZIP: 44105
4
1
wf-form4_138875961710645.xml
FORM 4
X0306
4
2014-01-02
0
0001381668
TFS Financial CORP
TFSL
0001388161
Stefanski Marc A
7007 BROADWAY AVENUE
CLEVELAND
OH
44105
1
1
0
0
Chairman, President and CEO
Common Stock
2014-01-02
4
S
0
10000
12
D
55600
I
By Trust
Common Stock
26000
I
By Spouse
Common Stock
12600
I
By Spouse As Custodian For Child 4
Common Stock
38279
D
Common Stock
78416
I
By 401(k)
Common Stock
5490
I
BY ESOP
Common Stock
12600
I
By Child 3
Common Stock
15600
I
By Spouse As Custodian For Child 5
Common Stock
115738
I
Trustee for sibling trust
Common Stock
10000
I
By Child 1
Common Stock
25600
I
By Child 2
Common Stock
7200
I
POA on siblings IRA
Restricted Stock Units
Common Stock
62200.0
62200
D
Employee Stock Option (right to buy)
11.96
2019-05-11
Common Stock
299600.0
299600
D
Restricted Stock Units
Common Stock
41600.0
41600
D
Employee Stock Option (right to buy)
8.61
2021-12-15
Common Stock
369000.0
369000
D
Restricted Stock Units
Common Stock
18400.0
18400
D
Employee Stock Option (right to buy)
11.74
2018-08-10
Common Stock
2530700.0
2530700
D
Restricted Stock Units
Common Stock
33400.0
33400
D
Restricted Stock Units
Common Stock
698413.0
698413
D
Restricted Stock Units
Common Stock
35700.0
35700
D
Employee Stock Option (right to buy)
14.0
2020-05-14
Common Stock
315500.0
315500
D
Employee Stock Option (right to buy)
11.64
2023-12-03
Common Stock
286500.0
286500
D
Employee Stock Option (right to buy)
9.43
2022-12-15
Common Stock
416700.0
416700
D
The sale was completed in accordance with the terms of a 10b5-1 Trading Plan previously disclosed on August 2, 2013.
Reflects transactions not required to be reported under Section 16 of the Securities Exchange Act, as amended.
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.
As reported on a Form 4 dated January 2, 2013, the reporting person received a total grant of 93,300 Restricted Stock Units ("RSU's") on December 28, 2012. These RSU's vest in three equal installments beginning December 15, 2013.
As reported on a Form 4 dated May 14, 2009, the reporting person received a grant for 299,600 stock options that vest in three equal annual installments beginning on May 12, 2010.
As reported on a Form 4 dated December 12, 2013, the reporting person received a grant of 41,600 Restricted Stock Units ("RSU's") on December 3, 2013. These RSU's vest in three equal installments beginning December 3, 2014.
As reported on a Form 4 dated December 20, 2011, the reporting person received a grant of 369,000 stock options that vest in three equal annual installments beginning on December 15, 2012.
As reported on a Form 4 dated December 20, 2011, the reporting person received a grant for 55,200 Restricted Stock Units ("RSUs") on December 19, 2011. These RSUs vest in three equal annual installments beginning December 15, 2012.
As reported on a Form 4 dated August 13, 2008, the reporting person received a grant of 2,530,700 stock options that vest in four equal annual installments beginning on August 11, 2012.
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.
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. 3,387 shares were delivered to the issuer on August 13, 2012 to pay for the applicable withholding tax due upon vesting.
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.
As reported on a Form 4 dated May 18, 2010, the reporting person received a grant of 315,500 stock options which vest in three equal annual installments beginning May 14, 2011.
As reported on a Form 4 dated December 12, 2013, the reporting person received a grant of 286,500 stock options on December 3, 2013. These stock options vest in three equal installments beginning December 3, 2014.
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.
/s/ Paul J. Huml, Pursuant to Power of Attorney
2014-01-03