Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| TFS Financial CORPTFSL · Entity 3924 | Chief Retail Officer | December 08, 2023 | December 12, 2023 |
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.
TFS Financial CORP
Report date December 08, 2023 · Filed December 12, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 9,482 |
Ending reported balance
After 2023-12-08 transaction · row 3
3 source rows · reconciled sequenceRow 1 · 2023-12-08 · Exercise / conversion · Acquired 12,000 · Balance 21,482 F1: These common shares were acquired upon the vesting and settlement of certain restricted stock units (RSUs). Row 2 · 2023-12-08 · Tax withholding · Disposed 3,642 · Balance 17,840 F2: These common shares were delivered to the issuer to pay for applicable withholding tax due upon the exercise of certain restricted stock units. Row 3 · 2023-12-08 · Sale · Disposed 8,358 · Balance 9,482 |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2023-12-08 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2023-12-08 · Exercise / conversion · Disposed 12,000 · 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 cashpayment 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 12,000 Restricted Stock Units ("RSUs"). These RSUs vest 100% December 10, 2023. |
| Common StockSEC Table I · non-derivative | IndirectESOP | 5,487 |
Reported balance
Holding disclosure · report date 2023-12-08 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 5,487 F3: Reflects transactions not required to be reported under Section 16 of the Securities Exchange Act, as amended. |
| Common StockSEC Table I · non-derivative | Indirect401k | 11,693 |
Reported balance
Holding disclosure · report date 2023-12-08 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 11,693 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 2024-12-10 | Direct | 5,000 |
Reported balance
Holding disclosure · report date 2023-12-08 · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · Balance 5,000 F6: On December 11, 2014, the reporting person received a grant of 5,000 stock options. These stock options vest on December 10, 2017. |
| Employee Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $14.74 · Expires 2028-01-05 | Direct | 11,000 |
Reported balance
Holding disclosure · report date 2023-12-08 · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · Balance 11,000 F7: On January 5, 2018, the reporting person received a grant of 11,000 stock options. These options will fully vest on December 10, 2020 |
Filing footnotes · ownership attribution and instrument terms
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 cashpayment 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 12,000 Restricted Stock Units ("RSUs"). These RSUs vest 100% December 10, 2023.
F6: On December 11, 2014, the reporting person received a grant of 5,000 stock options. These stock options vest on December 10, 2017.
F7: On January 5, 2018, the reporting person received a grant of 11,000 stock options. These options will 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 |
|---|---|---|---|---|---|---|
| December 08, 2023 Filed Dec 12, 2023 22:02 UTC | TFS Financial CORP TFSL · Entity 3924 | Exercise / conversionRestricted Stock Units · Derivative | 12,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001381668-23-000124 · wk-form4_1702418569.xml · derivative · entry 6 Holmes Russell C. · CIK 0001820711 · Chief Retail Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 12,000 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 cashpayment in the amount of any cash dividend paid per share of common stock. F5 · derivative.exercise_date: On December 17, 2020, the reporting person received a grant of 12,000 Restricted Stock Units ("RSUs"). These RSUs vest 100% December 10, 2023. F5 · derivative.expiration_date: On December 17, 2020, the reporting person received a grant of 12,000 Restricted Stock Units ("RSUs"). These RSUs vest 100% December 10, 2023. Read SEC document |
| December 08, 2023 Filed Dec 12, 2023 22:02 UTC | TFS Financial CORP TFSL · Entity 3924 | SaleCommon Stock | 8,358 | $13.45 | $112,415.10 |
DisclosureSEC source: 0001381668-23-000124 · wk-form4_1702418569.xml · nonDerivative · entry 3 Holmes Russell C. · CIK 0001820711 · Chief Retail Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 9,482 Read SEC document |
| December 08, 2023 Filed Dec 12, 2023 22:02 UTC | TFS Financial CORP TFSL · Entity 3924 | Tax withholdingCommon Stock | 3,642 | $13.45 | $48,984.90 |
DisclosureSEC source: 0001381668-23-000124 · wk-form4_1702418569.xml · nonDerivative · entry 2 Holmes Russell C. · CIK 0001820711 · Chief Retail Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 17,840 F2 · shares: These common shares were delivered to the issuer to pay for applicable withholding tax due upon the exercise of certain restricted stock units. Read SEC document |
| December 08, 2023 Filed Dec 12, 2023 22:02 UTC | TFS Financial CORP TFSL · Entity 3924 | Exercise / conversionCommon Stock | 12,000 | $13.45 | $161,400.00 |
DisclosureSEC source: 0001381668-23-000124 · wk-form4_1702418569.xml · nonDerivative · entry 1 Holmes Russell C. · CIK 0001820711 · Chief Retail Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 21,482 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 (RSUs). Read SEC document |
| December 17, 2020 Filed Dec 21, 2020 18:34 UTC Amendment | TFS Financial CORP TFSL · Entity 3924 | GrantRestricted Stock Units · Derivative | 12,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001381668-20-000185 · wf-form4a_160857565163901.xml · derivative · entry 1 Holmes Russell C. · CIK 0001820711 · Chief Retail Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,000 Underlying: Common Stock · 12,000 shares Expires not disclosed F1 · derivative.exercise_price: The original Form 4, filed on December 21, 2020, reporting the award of RSUs had an incorrect explanation of the vesting terms, and is being amended by this Form 4 amendment solely to correct the explanation to read that the RSUs vest 100% on December 10, 2023. F1 · derivative.exercise_date: The original Form 4, filed on December 21, 2020, reporting the award of RSUs had an incorrect explanation of the vesting terms, and is being amended by this Form 4 amendment solely to correct the explanation to read that the RSUs vest 100% on December 10, 2023. F1 · derivative.expiration_date: The original Form 4, filed on December 21, 2020, reporting the award of RSUs had an incorrect explanation of the vesting terms, and is being amended by this Form 4 amendment solely to correct the explanation to read that the RSUs vest 100% on December 10, 2023. Read SEC document |
| December 17, 2020 Filed Dec 21, 2020 16:22 UTC | TFS Financial CORP TFSL · Entity 3924 | GrantRestricted Stock Units · Derivative | 12,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001381668-20-000175 · wf-form4_160856775464367.xml · derivative · entry 4 Holmes Russell C. · CIK 0001820711 · Chief Retail Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,000 Underlying: Common Stock · 12,000 shares Expires not disclosed F2 · 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 cashpayment in the amount of any cash dividend paid per share of common stock. F3 · derivative.exercise_date: On December 17, 2020, the reporting person received a grant of 12,000 Restricted Stock Units ("RSUs"). These RSUs vest in three equal annual installments beginning December 10, 2021. F3 · derivative.expiration_date: On December 17, 2020, the reporting person received a grant of 12,000 Restricted Stock Units ("RSUs"). These RSUs vest in three equal annual installments beginning December 10, 2021. Read SEC document |
| December 10, 2020 Filed Dec 14, 2020 19:39 UTC | TFS Financial CORP TFSL · Entity 3924 | Exercise / conversionRestricted Stock Units · Derivative | 11,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001381668-20-000131 · wf-form4_160797477362611.xml · derivative · entry 5 Holmes Russell C. · CIK 0001820711 · Chief Retail Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 11,000 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 cashpayment in the amount of any cash dividend paid per share of common stock. F5 · derivative.exercise_date: On January 5, 2018, the reporting person received a grant of 11,000 Restricted Stock Units ("RSUs". Theses RSUs fully vest on December 10, 2020 F5 · derivative.expiration_date: On January 5, 2018, the reporting person received a grant of 11,000 Restricted Stock Units ("RSUs". Theses RSUs fully vest on December 10, 2020 Read SEC document |
| December 10, 2020 Filed Dec 14, 2020 19:39 UTC | TFS Financial CORP TFSL · Entity 3924 | Tax withholdingCommon Stock | 3,339 | $17.65 | $58,933.35 |
DisclosureSEC source: 0001381668-20-000131 · wf-form4_160797477362611.xml · nonDerivative · entry 2 Holmes Russell C. · CIK 0001820711 · Chief Retail Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,482 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 |
| December 10, 2020 Filed Dec 14, 2020 19:39 UTC | TFS Financial CORP TFSL · Entity 3924 | Exercise / conversionCommon Stock | 11,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001381668-20-000131 · wf-form4_160797477362611.xml · nonDerivative · entry 1 Holmes Russell C. · CIK 0001820711 · Chief Retail Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,821 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.