SEC Form 4 · accession 0001490906-17-000014
Capitol Federal Financial, Inc. · CFFN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John B Dicus
Officer — Chairman and President · Director
Period of report
Dec 30, 2016
Accepted (ET)
Jan 4, 2017 · 4:43 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 | 10,495 | $12.11 | A | 1,291,506 | D | |
| CFFN common stock | Dec 30, 2016 | D | 10,495 | $16.46 | D | 1,281,011 | D | |
| CFFN common stock | holding | — | — | — | 80,261 | I | ESOP | |
| CFFN common stock | holding | — | — | — | 226 | I | Spouse for Child 1 | |
| CFFN common stock | holding | — | — | — | 226 | I | Spouse for Child 2 | |
| CFFN common stock | holding | — | — | — | 226 | I | Spouse for Child 3 | |
| CFFN common stock | holding | — | — | — | 6,723 | I | By custodian for child 1 | |
| CFFN common stock | holding | — | — | — | 6,791 | I | Custodian for Child 2 | |
| CFFN common stock | holding | — | — | — | 6,791 | I | Custodian for Child 3 |
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 | 10,495 | D | Dec 31, 2016 | Dec 31, 2016 | CFFN common stock | 10,495 | 0 | D |
| CFFN Phantom StockF1 | $16.46 | Dec 30, 2016 | A | 9,113 | A | Dec 31, 2019 | Dec 31, 2019 | CFFN Phantom Stock | 9,113 | 9,113 | D |
| CFFN phantom stock 2015F1 | $12.78 | holding | — | — | — | Dec 31, 2017 | Dec 31, 2017 | CFFN common stock | 11,737 | 11,737 | D |
| CFFN Phantom StockF1 | $12.56 | holding | — | — | — | Dec 31, 2018 | Dec 31, 2018 | CFFN Phantom Stock | 11,427 | 11,427 | D |
| CFFN Incentive Stock OptionF2 | $11.91 | holding | — | — | — | — | May 14, 2022 | CFFN common stock | 33,584 | 33,584 | D |
| CFFN Non-qualified Stock OptionF2 | $11.91 | holding | — | — | — | — | May 14, 2027 | CFFN common stock | 100,116 | 100,116 | 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.