SEC Form 4 · accession 0001490906-16-000078
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
Jan 11, 2016
Accepted (ET)
Jan 11, 2016 · 4:23 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 | Jan 11, 2016 | F | 1,213 | $11.9364 | D | 5,024 | D | |
| CFFN common stock | holding | — | — | — | 49,370 | 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 Incentive Stock OptionF1 | $13.10 | holding | — | — | — | — | Oct 29, 2023 | CFFN common stock | 3,000 | 3,000 | D |
| CFFN Incentive Stock OptionF2 | $11.91 | holding | — | — | — | — | May 14, 2022 | CFFN common stock | 35,584 | 35,584 | D |
| CFFN Non-qualified Stock OptionF3 | $13.10 | holding | — | — | — | — | Oct 29, 2028 | CFFN common stock | 9,000 | 9,000 | D |
| CFFN Non-qualified Stock OptionF4 | $11.91 | holding | — | — | — | — | May 14, 2027 | CFFN common stock | 6,416 | 6,416 | D |
Explanation of responses
- F13,000 options vest on April 29, 2017.
- F28,396 options vested or will vest on January 10, 2013, January 10, 2014, January 10, 2015 and January 10, 2016.
- F33,000 options vested or will vest on April 29, 2014, April 29, 2015 and April 29, 2016.
- F41,604 options vested on January 10, 2013, January 10, 2014, January 10, 2015 and January 10, 2016.