SEC Form 4 · accession 0001490906-16-000064

Capitol Federal Financial, Inc. · CFFN

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Executive Vice President

Period of report

Dec 31, 2015

Accepted (ET)

Jan 4, 2016 · 2:20 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 stock	Dec 31, 2015	M	2,635	$11.69	A	8,872	D
CFFN common stock	Dec 31, 2015	D	2,635	$12.56	D	6,237	D
CFFN common stock	holding	—	—		—	49,370	I	ESOP

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
CFFN phantom stock 2012^F1	$11.69	Dec 31, 2015	M	2,635	D	Dec 31, 2015	Dec 31, 2015	CFFN common stock	2,635	0	D
CFFN Incentive Stock Option^F2	$13.10	holding	—	—	—	—	Oct 29, 2023	CFFN common stock	3,000	3,000	D
CFFN Incentive Stock Option^F3	$11.91	holding	—	—	—	—	May 14, 2022	CFFN common stock	35,584	35,584	D
CFFN Non-qualified Stock Option^F4	$13.10	holding	—	—	—	—	Oct 29, 2028	CFFN common stock	9,000	9,000	D
CFFN Non-qualified Stock Option^F5	$11.91	holding	—	—	—	—	May 14, 2027	CFFN common stock	6,416	6,416	D

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.
F23,000 options 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.
F43,000 options vested or will vest on April 29, 2014, April 29, 2015 and April 29, 2016.
F51,604 options vested or will vest on January 10, 2013, January 10, 2014, January 10, 2015 and January 10, 2016.