TFS Financial CORP
For the period ended Mar 31, 2024. Filed May 9, 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.
Mar 31, 2024 · Filed May 9, 2024
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Item 5. Other Information
Securities Trading Plans of Directors and Executive Officers
Transactions in our securities by our directors and 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.
In the second quarter of fiscal year 2024, the following trading plans, intended to satisfy the affirmative defense of Rule 10b5-1, were terminated or adopted:
| Name · Title · Date PlanAdopted/Terminated (1) · Duration of Plan · Number of Shares of Company's Common Stock to be Purchased, Exercised, or Sold (2) | |||||
|---|---|---|---|---|---|
| Daniel F. Weir | Director | Terminated January 11, 2024 | September 12, 2023 through February 8, 2024 | 149 | Sell up to 100,000 shares |
| Cathy W. Zbanek | Chief Synergy Officer | AdoptedFebruary 2, 2024 | February 2, 2024 through May 28, 2025 | P481D | Exercise up to 140,700 stock options |
(1) Trading Plans may terminate on an earlier date if all contemplated transactions are completed, upon termination by broker or holder of the Trading Plan, or as otherwise provided in the Trading Plan.
(2) Subject to certain conditions set forth in the Trading Plan.
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