SEC Form 4 · accession 0001490906-15-000025
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
Apr 30, 2015
Accepted (ET)
May 1, 2015 · 2:18 pm EDT
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 | Apr 30, 2015 | F | 309 | $12.00 | D | 11,880 | 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 non-qualified stock optionF1 | $13.10 | holding | — | — | — | — | Oct 29, 2028 | CFFN common stock | 9,000 | 9,000 | D |
| CFFN incentive stock optionF2 | $13.10 | holding | — | — | — | — | Oct 29, 2023 | CFFN common stock | 3,000 | 3,000 | D |
| CFFN incentive stock optionF3 | $11.91 | holding | — | — | — | — | May 14, 2022 | CFFN common stock | 35,584 | 35,584 | D |
| CFFN non-qualified stock optionF4 | $11.91 | holding | — | — | — | — | May 14, 2027 | CFFN common stock | 6,416 | 6,416 | D |
| CFFN phantom stockF5 | $11.69 | holding | — | — | — | — | Dec 31, 2015 | CFFN common stock | 2,635 | 2,635 | D |
Explanation of responses
- F13,000 options vested or will vest on April 29, 2014, April 29, 2015 and April 29, 2015.
- F23,000 options will vest on April 29, 2017.
- 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.
- F5Phantom stock units are acquired under the Company's Deferred Incentive Bonus Plan. The units are deemed sold and settled in cash three years from date of acquisition.