SEC Form 4 · accession 0001490906-17-000010
Capitol Federal Financial, Inc. · CFFN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Rick C Jackson
Officer — Executive Vice President
Period of report
Dec 30, 2016
Accepted (ET)
Jan 3, 2017 · 4:28 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 | 2,752 | $12.11 | A | 129,552 | D | |
| CFFN common stock | Dec 30, 2016 | D | 2,752 | $16.46 | D | 126,800 | D | |
| CFFN common stock | holding | — | — | — | 3,494 | 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 2014F1 | $12.11 | Dec 30, 2016 | M | 2,752 | D | — | Dec 31, 2016 | CFFN common stock | 2,752 | 0 | D |
| CFFN Phantom StockF1 | $16.46 | Dec 30, 2016 | A | 2,940 | A | Dec 31, 2019 | Dec 31, 2019 | CFFN Phantom Stock | 2,940 | 2,940 | D |
| CFFN phantom stock 2015F1 | $12.78 | holding | — | — | — | — | Dec 31, 2017 | CFFN common stock | 3,230 | 3,230 | D |
| CFFN Phantom StockF1 | $12.56 | holding | — | — | — | — | Dec 31, 2018 | CFFN Phantom Stock | 2,979 | 2,979 | D |
| CFFN Incentive Stock OptionF2 | $14.43 | holding | — | — | — | — | Jan 26, 2020 | CFFN common stock | 34,630 | 34,630 | D |
| CFFN Non-qualified Stock OptionF2 | $14.43 | holding | — | — | — | — | Jan 26, 2025 | CFFN common stock | 55,910 | 55,910 | 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.
- F2All options are vested and exercisable.