SEC Form 4 · accession 0001490906-15-000005
Capitol Federal Financial, Inc. · CFFN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Carlton A. Ricketts
Officer — Executive Vice President
Period of report
Dec 31, 2014
Accepted (ET)
Jan 5, 2015 · 10:44 am 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 | 1,276 | $11.54 | A | 48,933 | D | |
| CFFN common stockF1 | Dec 31, 2014 | D | 1,276 | $12.78 | D | 47,657 | D | |
| CFFN common stock | holding | — | — | — | 29,866 | 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 2012F1 | $11.54 | Dec 31, 2014 | M | 1,276 | D | Dec 31, 2014 | Dec 31, 2014 | CFFN common stock | 1,276 | 0 | D |
| CFFN phantom stock 2015F2 | $12.78 | Dec 31, 2014 | A | 2,957 | A | Dec 31, 2017 | Dec 31, 2017 | CFFN common stock | 2,957 | 2,957 | D |
| CFFN phantom stock 2013 | $11.69 | holding | — | — | — | Dec 31, 2015 | Dec 31, 2015 | CFFN common stock | 1,818 | 1,818 | D |
| CFFN phantom stock 2014 | $12.11 | holding | — | — | — | Dec 31, 2016 | Dec 31, 2016 | CFFN common stock | 2,532 | 2,532 | D |
| CFFN incentive stock optionF3 | $14.19 | holding | — | — | — | — | Oct 19, 2017 | CFFN common stock | 28,295 | 28,295 | 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 | 17,416 | 17,416 | 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.
- F2The phantom stock units were acquired under the Issuer's Deferred Bonus Plan and settled in cash three years from date of acquisition.
- F3All options are exercisable.
- F48,396 options vest on January 10, 2013, January 10, 2014, January 10, 2015 and January 10,2016.
- F54,354 options vest on January 10, 2013, January 10, 2014, January 10, 2015 and January 10, 2016.