SEC Form 4 · accession 0001490906-15-000002
Capitol Federal Financial, Inc. · CFFN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Frank H Wright
Officer — Executive Vice President
Period of report
Dec 31, 2014
Accepted (ET)
Jan 2, 2015 · 3:04 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 stockF1 | Dec 31, 2014 | M | 2,282 | $11.54 | A | 15,682 | D | |
| CFFN common stockF1 | Dec 31, 2014 | D | 2,282 | $12.78 | D | 13,400 | D | |
| CFFN common stock | holding | — | — | — | 47,832 | I | ESOP |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| CFFN phantom stock 2011F6 | $11.54 | Dec 31, 2014 | M | 2,282 | D | — | Dec 31, 2014 | CFFN common stock | 2,282 | 0 | D |
| CFFN phantom stock 2012 | $11.69 | holding | — | — | — | Dec 31, 2015 | Dec 31, 2015 | CFFN common stock | 2,635 | 2,635 | D |
| CFFN non-qualified stock optionF2 | $13.10 | holding | — | — | — | — | Oct 29, 2028 | CFFN common stock | 9,000 | 9,000 | D |
| CFFN incentive stock optionF3 | $13.10 | holding | — | — | — | — | Oct 29, 2023 | CFFN common stock | 3,000 | 3,000 | D |
| CFFN incentive stock optionF4 | $11.91 | holding | — | — | — | — | May 14, 2022 | CFFN common stock | 33,584 | 33,584 | D |
| CFFN non-qualified stock optionF5 | $11.91 | holding | — | — | — | — | May 14, 2027 | CFFN common stock | 6,416 | 6,416 | D |
Explanation of responses
- 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.
- F23,000 options vested or will vest on April 29, 2014, April 29, 2015 and April 29, 2016.
- F33,000 options vest on April 29, 2017.
- F48,396 options vested or will vest on January 10, 2013, January 10, 2014, January 10, 2015 and January 10, 2016.
- F51,604 options vested or will vest on January 10, 2013, January 10, 2014, January 10, 2015 and January 10, 2016.
- F6The phantom stock units were acquired under the Issuer's Deferred Incentive Bonus Plan and settled in cash three years from the date of acquisition.