SEC Form 4 · accession 0001490906-16-000062
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
Dec 31, 2015
Accepted (ET)
Jan 4, 2016 · 11:46 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 | Dec 31, 2015 | M | 1,359 | $11.69 | A | 21,186 | D | |
| CFFN common stock | Dec 31, 2015 | D | 1,359 | $12.56 | D | 19,827 | D | |
| CFFN common stock | holding | — | — | — | 28,169 | 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 | Dec 31, 2015 | M | 1,359 | D | Dec 31, 2015 | Dec 31, 2015 | CFFN common stock | 1,359 | 0 | D |
| CFFN Phantom StockF1 | $12.56 | Dec 31, 2015 | A | 965 | A | — | Dec 31, 2018 | CFFN Phantom Stock | 965 | 965 | D |
| CFFN phantom stock 2015F1 | $12.78 | holding | — | — | — | — | Dec 31, 2017 | CFFN common stock | 1,018 | 1,018 | D |
| CFFN phantom stock 2014F1 | $12.11 | holding | — | — | — | — | Dec 31, 2016 | CFFN common stock | 902 | 902 | D |
| CFFN Non-qualified Stock OptionF2 | $11.91 | holding | — | — | — | — | May 14, 2027 | CFFN common stock | 6,416 | 6,416 | D |
| CFFN Incentive Stock OptionF3 | $11.91 | holding | — | — | — | — | May 14, 2022 | CFFN common stock | 33,584 | 33,584 | D |
Explanation of responses
- F1Phantom 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.
- F21,604 options vested or will vest on January 10, 2013, January 10, 2014, January 10, 2015 and January 10, 2016.
- F38,396 options vested or will vest on January 10, 2013, January 10, 2014, January 10, 2015 and January 10, 2016.