0001381668-18-000123.txt : 20181212 0001381668-18-000123.hdr.sgml : 20181212 20181212162410 ACCESSION NUMBER: 0001381668-18-000123 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181210 FILED AS OF DATE: 20181212 DATE AS OF CHANGE: 20181212 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Huml Paul J CENTRAL INDEX KEY: 0001388162 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33390 FILM NUMBER: 181231111 MAIL ADDRESS: STREET 1: 7007 BROADWAY AVENUE CITY: CLEVELAND STATE: OH ZIP: 44105 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 4 1 wf-form4_154464983337317.xml FORM 4 X0306 4 2018-12-10 0 0001381668 TFS Financial CORP TFSL 0001388162 Huml Paul J 7007 BROADWAY AVENUE CLEVELAND OH 44105 0 1 0 0 Chief Financial Officer Common Stock 2018-12-10 4 M 0 1500 0 A 34205 D Common Stock 2018-12-10 4 M 0 1633 0 A 35838 D Common Stock 2018-12-10 4 M 0 2200 0 A 38038 D Common Stock 2018-12-10 4 F 0 2500 16.33 D 35538 D Common Stock 4700 I By Spouse's Ira Common Stock 40757 I By 401(k) Common Stock 2000 I Child 2 Common Stock 7797 I ESOP Restricted Stock Units 2018-12-10 4 M 0 1500 0 D Common Stock 1500.0 0 D Restricted Stock Units 2018-12-10 4 M 0 1633 0 D Common Stock 1633.0 1634 D Restricted Stock Units 2018-12-10 4 M 0 2200 0 D Common Stock 2200.0 4400 D Restricted Stock Units Common Stock 8160.0 8160 D Employee Stock Option (right to buy) 19.31 2026-12-15 Common Stock 67200.0 67200 D Employee Stock Option (right to buy) 19.06 2025-12-17 Common Stock 49200.0 49200 D Employee Stock Option (right to buy) 14.81 2025-05-28 Common Stock 108300.0 108300 D Employee Stock Option (right to buy) 14.74 2028-01-05 Common Stock 156300.0 156300 D Employee Stock Option (right to buy) 8.61 2021-12-15 Common Stock 40000.0 40000 D Employee Stock Option (right to buy) 14.85 2024-12-18 Common Stock 32400.0 32400 D These common share were acquired upon the vesting and settlement of certain restricted stock units Shares are held with shared voting power with spouse. These common shares were delivered to the issuer to pay for the applicable withholding tax due upon vesting of certain restricted stock units. 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 December 17, 2015, the reporting person received a grant of 4,500 Restricted Stock Units ("RSUs") on December 15, 2015. These RSUs vest in three equal annual installments beginning December 10, 2016. As reported on a Form 4 dated December 15, 2016, the reporting person received a grant of 4,900 Restricted Stock Units ("RSUs"). These RSUs vest in three equal annual installments beginning December 10, 2017. As reported on a Form 4 dated January 8, 2018, the reporting person received a grant of 6,600 Restricted Stock Units ("RSUs"). These RSUs vest in three equal annual installments beginning December 10, 2018. As reported on a Form 4 dated May 29, 2015, the reporting person received a grant of 20,400 Restricted Stock Units ("RSUs"). The RSUs vest in five equal annual installments beginning on May 28, 2016. As reported on a Form 4 dated December 15, 2016, the reporting person received a grant of 67,200 stock options. These stock options vest in three equal annual installments beginning on December 10, 2017. As reported on a Form 4 dated December 17, 2015, the reporting person received a grant of 49,200 stock options on December 15, 2015. These stock options vest in three equal annual installments beginning December 10, 2016. As reported on a Form 4 dated May 29, 2015, the reporting person received a grant of 108,300 stock options on May 28, 2015. These stock options vest in five equal annual installments beginning May 28, 2016. 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. The reporting person received a grant of 40,000 stock options that vest 100% on December 15, 2014. 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. Paul J. Huml 2018-12-11