Stefanski Marc A's Form 4 filing
TFS Financial CORP (TFSL) · filed Sep 14, 2021
- Accession no.
- 0001381668-21-000091
- Filed
- Sep 14, 2021
- Trade date
- Sep 10-13, 2021
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 6 non-derivative transactions and 2 derivative transactions. Open-market sales total $2.31M. It was filed 4 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Stefanski Marc ACIK 0001388161 | Director, Officer (Chairman, President and CEO) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Sep 10, 2021 | Common Stock | MOption exerciseAcquired | +400,315 | $9.43 | +$3,774,970.45 | 587,114 | Direct | |
| Sep 10, 2021 | Common Stock | FTax withholdingDisposed | −280,850 | $18.82 | −$5,285,597 | 306,264 | Direct | |
| Sep 10, 2021 | Common Stock | SSaleDisposed | −119,465 | $18.58 | −$2,219,659.7 | 186,799 | Direct | |
| Sep 13, 2021 | Common Stock | MOption exerciseAcquired | +16,385 | $9.43 | +$154,510.55 | 203,184 | Direct | |
| Sep 13, 2021 | Common Stock | FTax withholdingDisposed | −11,698 | $18.95 | −$221,677.1 | 191,486 | Direct | |
| Sep 13, 2021 | Common Stock | SSaleDisposed | −4,687 | $19.06 | −$89,334.22 | 186,799 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Sep 10, 2021 | Common Stock | MOption exerciseDisposed | −400,315 | $9.43 | −$3,774,970.45 | 16,385 | Direct | |
| Sep 13, 2021 | Common Stock | MOption exerciseDisposed | −16,385 | $9.43 | −$154,510.55 | 0 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
No transaction price on this filing refers to a footnote.