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