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TFS Financial CORP

For the period ended Dec 31, 2023. Filed Feb 8, 2024.

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A company's report for each of its first three quarters. The financial statements are not audited. It shows how the business has moved since the last annual report, and what management says changed.

Dec 31, 2023 · Filed Feb 8, 2024

TFSL$16.59+1.0%Stored close · as of Nov 9, 2026

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Item 5. Other Information

Securities Trading Plans of Directors and Executive Officers

Transactions in our securities by our executive officers are required to be made in accordance with our Insider Trading Policy and Guidelines with Respect to Certain Transactions in Company Securities, which, among other things, requires that the transaction be in accordance with applicable U.S. federal securities laws that prohibit trading while in the possession of material nonpublic information. Rule 10b5-1 under the Securities Exchange Act of 1934 provides an affirmative defense that enables prearranged transactions in securities in a manner that avoids concerns about initiating transactions at a future date while possibly in possession of material nonpublic information.

On December 13, 2023, Meredith S. Weil, our Chief Operating Officer, and, effective January 1, 2024, our Chief Financial Officer, adopted a Trading Plan that is intended to satisfy the affirmative defense conditions of the Exchange Act Rule 10b5-1(c). Ms. Weil's plan is for the potential exercise of 32,400 vested stock options with an expiration date of December 10, 2024, and 108,300 vested stock options with an expiration date of May 28, 2025, and sale of the shares of common stock underlying such stock options. The Trading Plan expires May 28, 2025, or earlier, upon completion of all transactions subject to the trading plan.

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The text of this filing, as the company filed it with the SEC, without its images or exhibits. This is not investment advice.