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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Restricted Stock Units | (4) | 12/03/2015 | M | 1,400 | (5) | (5) | Common Stock | 1,400 | $ 0 | 1,400 | D | ||||
Restricted Stock Units | (4) | (6) | (6) | Common Stock | 20,400 | 20,400 | D | ||||||||
Restricted Stock Units | (4) | (7) | (7) | Common Stock | 3,300 | 3,300 | D | ||||||||
Employee Stock Option (right to buy) | $ 11.95 | (8) | 08/10/2019 | Common Stock | 25,000 | 25,000 | D | ||||||||
Employee Stock Option (right to buy) | $ 14.81 | (9) | 05/28/2025 | Common Stock | 108,300 | 108,300 | D | ||||||||
Employee Stock Option (right to buy) | $ 11.64 | (10) | 12/03/2023 | Common Stock | 28,700 | 28,700 | D | ||||||||
Employee Stock Option (right to buy) | $ 8.61 | (11) | 12/19/2021 | Common Stock | 40,000 | 40,000 | D | ||||||||
Employee Stock Option (right to buy) | $ 14.85 | (12) | 12/18/2024 | Common Stock | 32,400 | 32,400 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Zbanek Cathy W 7007 BROADWAY AVENUE CLEVELAND, OH 44105 |
Chief Mkting Off of subsidiary |
/s/ Beth A. Novotny, Pursuant to Power of Attorney | 12/07/2015 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | These common shares were acquired upon the vesting and settlement of certain restricted stock units. |
(2) | These common shares were delivered to the issuer to pay for applicable withholding tax due upon the exercise of certain stock options. |
(3) | Reflects transactions not required to be reported under Section 16 of the Securities Exchange Act, as amended. |
(4) | 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. |
(5) | 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. |
(6) | 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. |
(7) | 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. |
(8) | The reporting person received a grant of 25,000 stock options on March 12, 2009. These stock options vest in three equal annual installments beginning August 11, 2011. |
(9) | 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. |
(10) | As reported on a Form 4 dated December 12, 2013, the reporting person received a grant of 28,700 stock options. These stock options vest in three equal installments beginning December 3, 2014. |
(11) | The reporting person received a grant of 40,000 stock options on December 19, 2011 which vest 100% on December 15, 2014. |
(12) | 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. |