SEC Form 4 · accession 0001490906-17-000008
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
Dec 30, 2016
Accepted (ET)
Jan 3, 2017 · 2:46 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 | Dec 30, 2016 | M | 2,532 | $12.11 | A | 55,552 | D | |
| CFFN common stock | Dec 30, 2016 | D | 2,532 | $16.46 | 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 phantom stock 2014 | $12.11 | Dec 30, 2016 | M | 2,532 | D | Dec 31, 2016 | Dec 31, 2016 | CFFN common stock | 2,532 | 0 | D |
| CFFN Phantom StockF1 | $16.46 | Dec 30, 2016 | A | 2,752 | A | Dec 31, 2019 | Dec 31, 2019 | CFFN Phantom Stock | 2,752 | 2,752 | D |
| CFFN phantom stock 2015F1 | $12.78 | holding | — | — | — | Dec 31, 2017 | Dec 31, 2017 | CFFN common stock | 2,957 | 2,957 | D |
| CFFN Phantom StockF1 | $12.56 | holding | — | — | — | Dec 31, 2018 | Dec 31, 2018 | CFFN Phantom Stock | 2,780 | 2,780 | D |
Explanation of responses
- F1Phantom 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.