SEC Form 4 · accession 0001490906-15-000010
Capitol Federal Financial, Inc. · CFFN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Tara Van Houweling
Officer — Principal Accounting Officer
Period of report
Jan 9, 2015
Accepted (ET)
Jan 13, 2015 · 10:16 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 stock | Jan 9, 2015 | F | 653 | $12.44 | D | 19,827 | D | |
| CFFN common stock | holding | — | — | — | 27,016 | 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 2013 | $11.69 | holding | — | — | — | Dec 31, 2015 | Dec 31, 2015 | CFFN common stock | 1,359 | 1,359 | D |
| CFFN phantom stock 2014 | $12.11 | holding | — | — | — | Dec 31, 2016 | Dec 31, 2016 | CFFN common stock | 902 | 902 | D |
| CFFN phantom stock 2015 | $12.78 | holding | — | — | — | Dec 31, 2017 | Dec 31, 2017 | CFFN common stock | 1,018 | 1,018 | D |
| CFFN incentive stock optionF1 | $11.91 | holding | — | — | — | — | May 14, 2022 | CFFN common stock | 33,584 | 33,584 | D |
| CFFN non-qualified stock optionF2 | $11.91 | holding | — | — | — | — | May 14, 2027 | CFFN common stock | 6,416 | 6,416 | D |
Explanation of responses
- F18,396 options vested or will vest on January 10, 2013, January 10, 2014, January 10, 2015 and January 10, 2016.
- F21,604 options vested or will vest on January 10, 2013, January 10, 2014, January 10, 2015 and January 10, 2016.