SEC Form 4 · accession 0001490906-16-000129
Capitol Federal Financial, Inc. · CFFN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Marilyn S Ward
Director
Period of report
Nov 1, 2016
Accepted (ET)
Nov 3, 2016 · 5:14 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 | Nov 1, 2016 | M | 15,000 | $11.91 | A | 192,338 | D | |
| CFFN common stock | Nov 1, 2016 | S | 15,000 | $14.491 | D | 177,338 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| CFFN Non-qualified Stock OptionF1 | $11.91 | Nov 1, 2016 | M | 15,000 | D | — | May 14, 2027 | CFFN common stock | 15,000 | 0 | D |
Explanation of responses
- F1All options were vested.