SEC Form 4 · accession 0001490906-16-000084
Capitol Federal Financial, Inc. · CFFN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Natalie G. Haag
Officer — Executive Vice President
Period of report
Jan 8, 2016
Accepted (ET)
Jan 21, 2016 · 2:34 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 8, 2016 | P | 3,200 | $12.017 | A | 38,321 | D | |
| CFFN common stock | holding | — | — | — | 4,776 | 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 StockF2 | $12.56 | holding | — | — | — | — | Dec 31, 2018 | CFFN common stock | 2,780 | 2,780 | D |
| CFFN Incentive Stock OptionF3 | $11.85 | holding | — | — | — | — | Sep 25, 2022 | CFFN common stock | 33,752 | 33,752 | D |
| CFFN phantom stock 2014F2 | $12.11 | holding | — | — | — | — | Dec 31, 2016 | CFFN common stock | 2,407 | 2,407 | D |
| CFFN Non-qualified Stock OptionF4 | $11.85 | holding | — | — | — | — | Sep 25, 2027 | CFFN common stock | 14,248 | 14,248 | D |
| CFFN phantom stock 2015F2 | $12.78 | holding | — | — | — | — | Dec 31, 2017 | CFFN common stock | 2,854 | 2,854 | D |
Explanation of responses
- F1Shares acquired pursuant to Rule 10b5-1 purchase plan.
- F2The phantom stock units are acquired under the Issuer's Deferred Incentive Bonus Plan and settled in cash three years from the date of acquisition.
- F38,438 options vested on January 10, 2013, January 10, 2014, January 10, 2015 and January 10, 2016.
- F43,562 options vested on January 10, 2013, January 10, 2014, January 10, 2015 and January 10, 2016.