Reported relationships
Latest disclosed role at each company.
No relationships currently tracked through insider filings.
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
No balances currently tracked through insider filings.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
TFS Financial CORP
Report date January 04, 2021 · Filed January 06, 2021
Section 16 reporting ended · disclosed 2021-01-06. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 78,942 |
Ending reported balance
After 2021-01-04 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2021-01-04 · Exercise / conversion · Acquired 17,000 · Balance 83,780 F1: In connection with the retirement of the reporting person effective June 1, 2020, remaining restricted stock units to be issued under the accelerated vesting is issued six months after the reporting person's retirement, in accordance with IRS Section 409A regulations. In addition, all remaining stock options have an adjusted expiration date of June 1, 2023. Row 2 · 2021-01-04 · Tax withholding · Disposed 4,838 · Balance 78,942 F2: These common shares were delivered to the issuer to pay for the applicable withholding tax due upon vesting of certain restricted stock units. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2021-01-04 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2021-01-04 · Exercise / conversion · Disposed 17,000 · Balance 0 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. F1: In connection with the retirement of the reporting person effective June 1, 2020, remaining restricted stock units to be issued under the accelerated vesting is issued six months after the reporting person's retirement, in accordance with IRS Section 409A regulations. In addition, all remaining stock options have an adjusted expiration date of June 1, 2023. |
| Common StockSEC Table I · non-derivative | IndirectESOP | 9,968 |
Reported balance
Holding disclosure · report date 2021-01-04 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 9,968 F3: Reflects transactions not required to be reported under Section 16 of the Securities Exchange Act, as amended. |
| Common StockSEC Table I · non-derivative | Indirect401(k) | 56,657 |
Reported balance
Holding disclosure · report date 2021-01-04 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 56,657 F3: Reflects transactions not required to be reported under Section 16 of the Securities Exchange Act, as amended. |
| Employee Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $15.08 · Expires 2023-06-01 | Direct | 26,000 |
Reported balance
Holding disclosure · report date 2021-01-04 · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · Balance 26,000 F5: As reported on a Form 4 dated December 15, 2014, the reporting person received a grant of 26,000 stock options. These stock options vest 100% on December 10, 2017. F1: In connection with the retirement of the reporting person effective June 1, 2020, remaining restricted stock units to be issued under the accelerated vesting is issued six months after the reporting person's retirement, in accordance with IRS Section 409A regulations. In addition, all remaining stock options have an adjusted expiration date of June 1, 2023. |
| Employee Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $14.74 · Expires 2023-06-01 | Direct | 17,000 |
Reported balance
Holding disclosure · report date 2021-01-04 · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · Balance 17,000 F6: On January 5, 2018, the reporting person received a grant of 17,000 stock options. These options fully vest on December 10, 2020. F1: In connection with the retirement of the reporting person effective June 1, 2020, remaining restricted stock units to be issued under the accelerated vesting is issued six months after the reporting person's retirement, in accordance with IRS Section 409A regulations. In addition, all remaining stock options have an adjusted expiration date of June 1, 2023. |
Filing footnotes · ownership attribution and instrument terms
F1: In connection with the retirement of the reporting person effective June 1, 2020, remaining restricted stock units to be issued under the accelerated vesting is issued six months after the reporting person's retirement, in accordance with IRS Section 409A regulations. In addition, all remaining stock options have an adjusted expiration date of June 1, 2023.
F2: These common shares were delivered to the issuer to pay for the applicable withholding tax due upon vesting 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: As reported on a Form 4 dated December 15, 2014, the reporting person received a grant of 26,000 stock options. These stock options vest 100% on December 10, 2017.
F6: On January 5, 2018, the reporting person received a grant of 17,000 stock options. These options fully vest on December 10, 2020.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| January 04, 2021 Filed Jan 6, 2021 18:51 UTC | TFS Financial CORP TFSL · Entity 3924 | Exercise / conversionRestricted Stock Units · Derivative | 17,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001381668-21-000002 · wf-form4_160995908923788.xml · derivative · entry 5 Adam Judith Z · CIK 0001388163 · Former Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 17,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_price: 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. F1 · derivative.exercise_date: In connection with the retirement of the reporting person effective June 1, 2020, remaining restricted stock units to be issued under the accelerated vesting is issued six months after the reporting person's retirement, in accordance with IRS Section 409A regulations. In addition, all remaining stock options have an adjusted expiration date of June 1, 2023. F1 · derivative.expiration_date: In connection with the retirement of the reporting person effective June 1, 2020, remaining restricted stock units to be issued under the accelerated vesting is issued six months after the reporting person's retirement, in accordance with IRS Section 409A regulations. In addition, all remaining stock options have an adjusted expiration date of June 1, 2023. Read SEC document |
| January 04, 2021 Filed Jan 6, 2021 18:51 UTC | TFS Financial CORP TFSL · Entity 3924 | Tax withholdingCommon Stock | 4,838 | $17.63 | $85,293.94 |
DisclosureSEC source: 0001381668-21-000002 · wf-form4_160995908923788.xml · nonDerivative · entry 2 Adam Judith Z · CIK 0001388163 · Former Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 78,942 F2 · shares: These common shares were delivered to the issuer to pay for the applicable withholding tax due upon vesting of certain restricted stock units. Read SEC document |
| January 04, 2021 Filed Jan 6, 2021 18:51 UTC | TFS Financial CORP TFSL · Entity 3924 | Exercise / conversionCommon Stock | 17,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001381668-21-000002 · wf-form4_160995908923788.xml · nonDerivative · entry 1 Adam Judith Z · CIK 0001388163 · Former Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 83,780 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: In connection with the retirement of the reporting person effective June 1, 2020, remaining restricted stock units to be issued under the accelerated vesting is issued six months after the reporting person's retirement, in accordance with IRS Section 409A regulations. In addition, all remaining stock options have an adjusted expiration date of June 1, 2023. Read SEC document |
| December 13, 2019 Filed Dec 17, 2019 21:12 UTC | TFS Financial CORP TFSL · Entity 3924 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 40,000 | $0.00 Strike: $8.61 | $0.00 |
DisclosureSEC source: 0001381668-19-000119 · wf-form4_157661712516304.xml · derivative · entry 5 Adam Judith Z · CIK 0001388163 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 40,000 shares Expires 2021-12-19 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_date: The reporting person received a grant of 40,000 stock options on December 19, 2011 which vest 100% on December 15, 2014. Read SEC document |
| December 13, 2019 Filed Dec 17, 2019 21:12 UTC | TFS Financial CORP TFSL · Entity 3924 | Tax withholdingCommon Stock | 24,098 | $20.06 | $483,405.88 |
DisclosureSEC source: 0001381668-19-000119 · wf-form4_157661712516304.xml · nonDerivative · entry 2 Adam Judith Z · CIK 0001388163 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,780 F2 · shares: These common shares were delivered to the issuer to pay the option's exercise price and applicable tax due upon vesting of certain stock options. Read SEC document |
| December 13, 2019 Filed Dec 17, 2019 21:12 UTC | TFS Financial CORP TFSL · Entity 3924 | Exercise / conversionCommon Stock | 40,000 | $8.61 | $344,400.00 |
DisclosureSEC source: 0001381668-19-000119 · wf-form4_157661712516304.xml · nonDerivative · entry 1 Adam Judith Z · CIK 0001388163 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,878 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: These common shares were acquired upon the vesting and settlement of certain stock options. Read SEC document |
| August 08, 2018 Filed Aug 9, 2018 19:49 UTC | TFS Financial CORP TFSL · Entity 3924 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 50,000 | $0.00 Strike: $11.74 | $0.00 |
DisclosureSEC source: 0001381668-18-000081 · wf-form4_153384415010326.xml · derivative · entry 5 Adam Judith Z · CIK 0001388163 · Chief Risk Off of Subsidiary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 50,000 shares Expires 2018-08-10 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_date: The reporting person received a grant of 50,000 stock options that vested in three equal annual installments beginning on August 11, 2011. Read SEC document |
| August 08, 2018 Filed Aug 9, 2018 19:49 UTC | TFS Financial CORP TFSL · Entity 3924 | Tax withholdingCommon Stock | 41,536 | $15.51 | $644,223.36 |
DisclosureSEC source: 0001381668-18-000081 · wf-form4_153384415010326.xml · nonDerivative · entry 2 Adam Judith Z · CIK 0001388163 · Chief Risk Off of Subsidiary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,878 F2 · shares: These common shares were delivered to the issuer to pay the option's exercise price and applicable tax due upon vesting of certain stock options. Read SEC document |
| August 08, 2018 Filed Aug 9, 2018 19:49 UTC | TFS Financial CORP TFSL · Entity 3924 | Exercise / conversionCommon Stock | 50,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001381668-18-000081 · wf-form4_153384415010326.xml · nonDerivative · entry 1 Adam Judith Z · CIK 0001388163 · Chief Risk Off of Subsidiary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 92,414 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: These common shares were acquired upon the vesting and settlement of certain stock options. Read SEC document |
| January 05, 2018 Filed Jan 9, 2018 20:45 UTC | TFS Financial CORP TFSL · Entity 3924 | GrantRestricted Stock Units · Derivative | 17,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001381668-18-000016 · wf-form4_151553070968248.xml · derivative · entry 5 Adam Judith Z · CIK 0001388163 · Chief Risk Off of Subsidiary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,000 Underlying: Common Stock · 17,000 shares Expires not disclosed F3 · derivative.exercise_price: 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. F4 · derivative.exercise_date: On January 5, 2018, the reporting person received a grant of 17,000 Restricted Stock Units ("RSUs"). These RSUs fully vest on December 10, 2020. F4 · derivative.expiration_date: On January 5, 2018, the reporting person received a grant of 17,000 Restricted Stock Units ("RSUs"). These RSUs fully vest on December 10, 2020. Read SEC document |
| January 05, 2018 Filed Jan 9, 2018 20:45 UTC | TFS Financial CORP TFSL · Entity 3924 | GrantEmployee Stock Option (right to buy) · Derivative | 17,000 | $0.00 Strike: $14.74 | $0.00 |
DisclosureSEC source: 0001381668-18-000016 · wf-form4_151553070968248.xml · derivative · entry 4 Adam Judith Z · CIK 0001388163 · Chief Risk Off of Subsidiary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,000 Underlying: Common Stock · 17,000 shares Expires 2028-01-05 F2 · derivative.exercise_date: On January 5, 2018, the reporting person received a grant of 17,000 stock options. These options fully vest on December 10, 2020. Read SEC document |
| December 10, 2017 Filed Dec 11, 2017 20:08 UTC | TFS Financial CORP TFSL · Entity 3924 | Exercise / conversionRestricted Stock Units · Derivative | 13,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001381668-17-000079 · wf-form4_151302290679317.xml · derivative · entry 4 Adam Judith Z · CIK 0001388163 · Chief Risk Off of Subsidiary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 13,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: 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. F4 · derivative.exercise_date: On December 11, 2014, the reporting person received a grant of 13,000 Restricted Stock Units ("RSUs") that fully vest on December 10, 2017. F4 · derivative.expiration_date: On December 11, 2014, the reporting person received a grant of 13,000 Restricted Stock Units ("RSUs") that fully vest on December 10, 2017. Read SEC document |
| December 10, 2017 Filed Dec 11, 2017 20:08 UTC | TFS Financial CORP TFSL · Entity 3924 | Exercise / conversionCommon Stock | 13,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001381668-17-000079 · wf-form4_151302290679317.xml · nonDerivative · entry 1 Adam Judith Z · CIK 0001388163 · Chief Risk Off of Subsidiary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,414 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: These common shares were acquired upon the vesting and settlement of certain restricted stock units. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.