0001381668-16-000240.txt : 20160809
0001381668-16-000240.hdr.sgml : 20160809
20160809120636
ACCESSION NUMBER: 0001381668-16-000240
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160808
FILED AS OF DATE: 20160809
DATE AS OF CHANGE: 20160809
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: Huffman David S
CENTRAL INDEX KEY: 0001388157
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33390
FILM NUMBER: 161816961
MAIL ADDRESS:
STREET 1: 7007 BROADWAY AVENUE
CITY: CLEVELAND
STATE: OH
ZIP: 44105
4
1
wf-form4_147075878290031.xml
FORM 4
X0306
4
2016-08-08
0
0001381668
TFS Financial CORP
TFSL
0001388157
Huffman David S
7007 BROADWAY AVENUE
CLEVELAND
OH
44105
0
1
0
0
Chief Financial Officer
Common Stock
2016-08-08
4
M
0
19133
11.64
A
31221
D
Common Stock
2016-08-08
4
M
0
10800
14.85
A
42021
D
Common Stock
2016-08-08
4
F
0
14413
18.41
D
27608
D
Common Stock
2016-08-08
4
F
0
9401
18.40
D
18207
D
Common Stock
2016-08-08
4
S
0
4720
18.43
D
13487
D
Common Stock
2016-08-08
4
S
0
1399
18.43
D
12088
D
Common Stock
45175
I
By Spouse
Common Stock
6476
I
By ESOP
Common Stock
55482
I
By 401(k)
Employee Stock Option (right to buy)
11.64
2016-08-08
4
M
0
19133
0
D
2023-12-03
Common Stock
19133.0
9567
D
Employee Stock Option (right to buy)
14.85
2016-08-08
4
M
0
10800
0
D
2024-12-18
Common Stock
10800.0
21600
D
Restricted Stock Units
Common Stock
3600.0
3600
D
Restricted Stock Units
Common Stock
1400.0
1400
D
Restricted Stock Units
Common Stock
2200.0
2200
D
Employee Stock Option (right to buy)
14.81
2025-05-28
Common Stock
108300.0
108300
D
Restricted Stock Units
Common Stock
4500.0
4500
D
Restricted Stock Units
Common Stock
4200.0
4200
D
Employee Stock Option (right to buy)
19.06
2025-12-17
Common Stock
49200.0
49200
D
Restricted Stock Units
Common Stock
16320.0
16320
D
Restricted Stock Units
Common Stock
33605.0
33605
D
Represents shares of common stock withheld by the issuer in payment by the reporting person of the exercise price. This transaction is exempt under Rule 16b-3(e).
Reflects transactions not required to be reported under Section 16 of the Securities Exchange Act, as amended.
As reported on a Form 4 dated December 12, 2013, the reporting person received a grant of 28,700 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 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.
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 May 18, 2010, the reporting person received a grant of 3,600 restricted stock units ("RSUs") that vest in four equal annual installments beginning May 14, 2011. Vested shares may be distributed to the reporting person only after that person's termination of employment from TFS Financial Corporation.
As reported on a Form 4 dated December 12, 2013, the reporting person received a grant of 4,200 Restricted Stock Units ("RSU's") on December 3, 2013. These RSU's vest in three equal annual installments beginning December 3, 2014.
As reported on a Form 4 dated December 19, 2014, the reporting person received a grant of 3,300 Restricted Stock Units ("RSUs"). These RSUs vest in three equal annual installments beginning December 10, 2015.
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 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 May 14, 2009, the reporting person received a grant of 4,200 Restricted Stock Units ("RSUs") that vest in four equal annual installments beginning on May 12, 2010. 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 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 20,400 Restricted Stock Units ("RSUs") on May 28, 2015. These RSUs vest in five equal annual installments beginning on May 28, 2016.
As reported on a Form 4 dated August 13, 2008, the reporting person was granted 35,100 restricted stock units that 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 that person's termination of employment with TFS Financial Corporation. 1,495 shares were delivered to the issuer on June 25, 2014 to pay for applicable tax due upon vesting.
/s/ Beth A. Novotny, Pursuant to Power of Attorney
2016-08-09