SEC Form 4 · accession 0001381668-15-000004
TFS Financial CORP · TFSL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Terence C Paulett
Officer — Chief Risk Off of Subsidiary
Period of report
Jan 2, 2015
Accepted (ET)
Jan 5, 2015 · 3:47 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001381668
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | holding | — | — | — | 29,947 | D | ||
| Common StockF2 | holding | — | — | — | 54 | I | By ESOP |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF3 | — | Jan 2, 2015 | D | 2,800 | D | — | — | Common Stock | 2,800 | 0 | D |
| Restricted Stock UnitsF3 | — | Jan 2, 2015 | D | 1,934 | D | — | — | Common Stock | 1,934 | 0 | D |
| Employee Stock Option (right to buy)F4 | $11.64 | Jan 2, 2015 | D | 18,234 | D | — | Dec 3, 2023 | Common Stock | 18,234 | 9,566 | D |
| Employee Stock Option (right to buy)F4 | $9.43 | Jan 2, 2015 | D | 13,900 | D | — | Dec 15, 2022 | Common Stock | 13,900 | 13,900 | D |
| Employee Stock Option (right to buy)F5 | $8.61 | holding | — | — | — | — | Dec 14, 2021 | Common Stock | 40,000 | 40,000 | D |
Explanation of responses
- F1Shares are held with shared voting power with spouse.
- F2Reflects transactions not required to be reported under Section 16 of the Securities Exchange Act, as amended.
- F3These restricted stock units are unvested securities which were forfeited upon the retirement of reporting person.
- F4These stock options are unvested securities which were forfeited upon the retirement of the reporting person.
- F5The reporting person received a grant of 40,000 stock options on December 19, 2011 which vest 100% on December 15, 2014.