SEC Form 4 · accession 0001490906-15-000001

Capitol Federal Financial, Inc. · CFFN

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Principal Accounting Officer

Period of report

Dec 31, 2014

Accepted (ET)

Jan 2, 2015 · 12:41 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001490906

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
CFFN common stock^F1	Dec 31, 2014	M	1,213	$11.54	A	21,693	D
CFFN common stock^F1	Dec 31, 2014	D	1,213	$12.78	D	20,480	D
CFFN common stock	holding	—	—		—	27,016	I	ESOP

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
CFFN phantom stock 2012^F2	$11.54	Dec 31, 2014	M	1,213	D	—	Dec 31, 2014	CFFN common stock	1,213	0	D
CFFN phantom stock 2015^F2	$12.78	Dec 31, 2014	A	1,018	A	—	Dec 31, 2017	CFFN common stock	1,018	1,018	D
CFFN phantom stock 2013^F2	$11.69	holding	—	—	—	—	Dec 31, 2015	CFFN common stock	1,359	1,359	D
CFFN phnatom stock 2014^F2	$12.11	holding	—	—	—	—	Dec 31, 2016	CFFN common stock	902	902	D
CFFN Incentive Stock Option^F3	$11.91	holding	—	—	—	—	May 14, 2022	CFFN common stock	33,584	33,584	D
CFFN Non-qualified Stock Option^F4	$11.91	holding	—	—	—	—	May 14, 2027	CFFN common stock	6,416	6,416	D

F1Transaction reflects the deemed conversion of phantom stock units previously acquired under the Issuer's Deferred Incentive Bonus Plan into the underlying shares of common stock and the deemed simultaneous disposition of such shares in connection with the cash settlement of such phantom stock units.
F2The phantom stock units were acquired under the Issuer's Deferred Incentive Bonus Plan and settled in cash three years from the date of acquisition.
F38,396 options vested or will vest on January 10, 2013, January 10, 2014, January 10, 2015 and January 10, 2016.
F41,604 options vested or will vest on January 10, 2013, January 10, 2014, January 10, 2015 and January 10, 2016.