SEC Form 4 · accession 0001490906-16-000131
Capitol Federal Financial, Inc. · CFFN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Carlton A. Ricketts
Officer — Executive Vice President
Period of report
Nov 3, 2016
Accepted (ET)
Nov 4, 2016 · 5:09 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 3, 2016 | M | 51,000 | $11.91 | A | 104,020 | D | |
| CFFN common stock | Nov 3, 2016 | M | 28,295 | $14.19 | A | 132,315 | D | |
| CFFN common stock | Nov 3, 2016 | S | 79,295 | $14.4317 | D | 53,020 | D | |
| CFFN common stock | holding | — | — | — | 36,237 | 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 Non-qualified Stock OptionF1 | $11.91 | Nov 4, 2016 | M | 17,416 | D | — | May 14, 2027 | CFFN common stock | 17,416 | 0 | D |
| CFFN Incentive Stock OptionF1 | $11.91 | Nov 4, 2016 | M | 33,584 | D | — | May 14, 2022 | CFFN common stock | 33,584 | 0 | D |
| CFFN Incentive Stock OptionF1 | $14.19 | Nov 4, 2016 | M | 28,295 | D | — | Oct 19, 2017 | CFFN common stock | 28,295 | 0 | D |
| CFFN phantom stock 2014F2 | $12.11 | holding | — | — | — | Dec 31, 2016 | Dec 31, 2016 | CFFN common stock | 2,532 | 2,532 | D |
| CFFN Phantom StockF2 | $12.56 | holding | — | — | — | Dec 31, 2018 | Dec 31, 2018 | CFFN Phantom Stock | 2,780 | 2,780 | D |
| CFFN phantom stock 2015F2 | $12.78 | holding | — | — | — | Dec 31, 2017 | Dec 31, 2017 | CFFN common stock | 2,957 | 2,957 | D |
Explanation of responses
- F1All options are vested.
- F2Phantom 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.