SEC Form 4 · accession 0001490906-16-000110
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
Aug 3, 2016
Accepted (ET)
Aug 5, 2016 · 5:32 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 | Aug 3, 2016 | M | 25,000 | $11.91 | A | 43,565 | D | |
| CFFN common stock | Aug 3, 2016 | S | 18,286 | $14.02 | D | 25,279 | D | |
| CFFN common stock | Aug 4, 2016 | S | 6,714 | $14.05 | D | 18,565 | 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 Incentive Stock OptionF1 | $11.91 | Aug 3, 2016 | M | 25,000 | D | — | May 14, 2022 | CFFN common stock | 25,000 | 8,584 | D |
| CFFN Non-qualified Stock OptionF1 | $11.91 | holding | — | — | — | — | May 14, 2027 | CFFN common stock | 6,416 | 6,416 | D |
| CFFN Phantom StockF2 | $12.56 | holding | — | — | — | — | Dec 31, 2018 | CFFN Phantom Stock | 965 | 965 | D |
| CFFN phantom stock 2014F2 | $12.11 | holding | — | — | — | — | Dec 31, 2016 | CFFN common stock | 902 | 902 | D |
| CFFN phantom stock 2015F2 | $12.78 | holding | — | — | — | — | Dec 31, 2017 | CFFN common stock | 1,018 | 1,018 | D |
Explanation of responses
- F1All options have vested.
- F2The phantom stock units were acquired under the Issuer's Deferred Incentive Bonus Plan and settled in cash three years from the date of acquisition.