| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | TFSL | Common Stock | Options Exercise | $148K | +11K | +1248.58% | $13.45 | 11.9K | Dec 8, 2023 | Direct | F1 |
| transaction | TFSL | Common Stock | Options Exercise | $17K | +1.27K | +10.66% | $13.45 | 13.1K | Dec 8, 2023 | Direct | F1 |
| transaction | TFSL | Common Stock | Options Exercise | $28.7K | +2.13K | +16.22% | $13.45 | 15.3K | Dec 8, 2023 | Direct | F1 |
| transaction | TFSL | Common Stock | Tax liability | -$58.8K | -4.37K | -28.61% | $13.45 | 10.9K | Dec 8, 2023 | Direct | F2 |
| holding | TFSL | Common Stock | 13.2K | Dec 8, 2023 | ESOP | F3 | |||||
| holding | TFSL | Common Stock | 7.75K | Dec 8, 2023 | 401k | F3 |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | TFSL | Restricted Stock Units | Options Exercise | $0 | -11K | -100% | $0.00* | 0 | Dec 8, 2023 | Common Stock | 11K | Direct | F4, F5 | |
| transaction | TFSL | Restricted Stock Units | Options Exercise | $0 | -1.27K | -50% | $0.00 | 1.27K | Dec 8, 2023 | Common Stock | 1.27K | Direct | F4, F6 | |
| transaction | TFSL | Restricted Stock Units | Options Exercise | $0 | -2.13K | -33.33% | $0.00 | 4.27K | Dec 8, 2023 | Common Stock | 2.13K | Direct | F4, F7 | |
| holding | TFSL | Performance Restricted Share Units | 5.51K | Dec 8, 2023 | Common Stock | 5.51K | Direct | F4, F8 | ||||||
| holding | TFSL | Employee Stock Option (right to buy) | 5K | Dec 8, 2023 | Common Stock | 5K | $14.74 | Direct | F9 |
| Id | Content |
|---|---|
| F1 | These common shares were acquired upon the vesting and settlement of certain restricted stock units (RSUs). |
| F2 | These common shares were delivered to the issuer to pay for applicable withholding tax due upon the exercise of certain restricted stock units. |
| F3 | Reflects transactions not required to be reported under Section 16 of the Securities Exchange Act, as amended. |
| F4 | 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. |
| F5 | On December 17, 2020, the reporting person received a grant of 11,000 Restricted Stock Units ("RSUs") which fully vest on December 10, 2023. |
| F6 | On December 16, 2021, the reporting person received a grant of 3,800 Restricted Stock Units (RSUs). These RSUs vest in three equal annual installments beginning December 10, 2022. |
| F7 | On December 15, 2022, the reporting person received a grant of 6,400 Restricted Stock Units (RSUs). These RSUs vest in three equal annual installments beginning December 10, 2023. |
| F8 | On November 21, 2023, the reporting person achieved performance level of 95.0% on a target award of 5,800 Performance Share Units ("PSUs"), resulting in a total earned award of 5,510 shares. This represents the final determination a December 16, 2021 award that was dependent on certain performance results during the two fiscal year period ended September 30, 2023. Each PSU represents a contingent right to receive one share of TFS Financial Corporation common stock and 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 during the period the award was outstanding. The shares and dividend equivalent payment will vest and distribute to the reporting person on December 10, 2024. |
| F9 | On January 5, 2018, the reporting person received a grant of 5,000 stock options. These options fully vest on December 10, 2020. |