SEC Form 4 · accession 0001381668-17-000070
TFS Financial CORP · TFSL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Anthony J Asher
Director
Period of report
Nov 2, 2017
Accepted (ET)
Nov 6, 2017 · 9:22 am 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 Stock | Nov 2, 2017 | S | 4,165 | $15.33 | D | 0 | I | By IRA |
| Common Stock | holding | — | — | — | 37,980 | I | By Spouse |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F2 | — | holding | — | — | — | — | — | Common Stock | 2,300 | 2,300 | D |
Explanation of responses
- F1Each 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.
- F2On December 15, 2016, the reporting person received a grant of 2,300 Restricted Stock Units (RSUs), which fully vest on December 10, 2017.