0001381668-23-000139.txt : 20231212 0001381668-23-000139.hdr.sgml : 20231212 20231212172321 ACCESSION NUMBER: 0001381668-23-000139 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231208 FILED AS OF DATE: 20231212 DATE AS OF CHANGE: 20231212 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Rubino Andrew J CENTRAL INDEX KEY: 0001820740 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33390 FILM NUMBER: 231482126 MAIL ADDRESS: STREET 1: 7007 BROADWAY AVENUE CITY: CLEVELAND STATE: OH ZIP: 44105 FORMER NAME: FORMER CONFORMED NAME: Rubino Andrew James DATE OF NAME CHANGE: 20200810 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 4 1 wk-form4_1702419787.xml FORM 4 X0508 4 2023-12-08 0 0001381668 TFS Financial CORP TFSL 0001820740 Rubino Andrew J 7007 BROADWAY AVENUE CLEVELAND OH 44105 0 1 0 0 Chief Information Officer 0 Common Stock 2023-12-08 4 M 0 15000 13.45 A 28874 D Common Stock 2023-12-08 4 M 0 1267 13.45 A 30141 D Common Stock 2023-12-08 4 M 0 2133 13.45 A 32274 D Common Stock 2023-12-08 4 F 0 8254 13.45 D 24020 D Common Stock 12219 I ESOP Restricted Stock Units 2023-12-08 4 M 0 15000 0 D Common Stock 15000 0 D Restricted Stock Units 2023-12-08 4 M 0 1267 0 D Common Stock 1267 1267 D Restricted Stock Units 2023-12-08 4 M 0 2133 0 D Common Stock 2133 4267 D Performance Restricted Share Units Common Stock 5510 5510 D Employee Stock Option (right to buy) 14.74 2028-01-05 Common Stock 11000 11000 D These common shares were acquired upon the vesting and settlement of certain restricted stock units (RSUs). These common shares were delivered to the issuer to pay for applicable withholding tax due upon the exercise of certain restricted stock units. Reflects transactions not required to be reported under Section 16 of the Securities Exchange Act, as amended. 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. On December 17, 2020, the reporting person received a grant of 15,000 Restricted Stock Units ("RSUs"). These RSUs vest 100% December 10, 2023. 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. 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. 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. On January 5, 2018, the reporting person received a grant of 11,000 stock options. These options will fully vest on December 10, 2020 /s/ Susanne N. Miller, Pursuant to Power of Attorney 2023-12-12