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