SEC Form 4 · accession 0001490906-17-000026
Capitol Federal Financial, Inc. · CFFN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kent G Townsend
Officer — Executive Vice President
Period of report
Feb 6, 2017
Accepted (ET)
Feb 8, 2017 · 5:24 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 | Feb 6, 2017 | M | 90,000 | $11.91 | A | 216,082 | D | |
| CFFN common stock | Feb 6, 2017 | M | 13,804 | $14.96 | A | 229,886 | D | |
| CFFN common stock | Feb 6, 2017 | S | 85,815 | $15.1643 | D | 144,071 | D | |
| CFFN common stock | Feb 7, 2017 | S | 12,040 | $15.1652 | D | 132,031 | D | |
| CFFN common stock | Feb 8, 2017 | S | 5,949 | $15.0617 | D | 126,082 | D | |
| CFFN common stock | holding | — | — | — | 71,484 | 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 Incentive Stock OptionF1 | $11.91 | Feb 6, 2017 | M | 15,595 | D | — | May 14, 2022 | CFFN common stock | 15,595 | 17,989 | D |
| CFFN Non-qualified Stock OptionF1 | $11.91 | Feb 6, 2017 | M | 56,416 | D | — | May 14, 2027 | CFFN common stock | 56,416 | 0 | D |
| CFFN Non-qualified Stock OptionF1 | $14.96 | Feb 6, 2017 | M | 13,804 | D | — | Aug 23, 2020 | CFFN common stock | 13,804 | 0 | D |
| CFFN Incentive Stock OptionF1 | $11.91 | Feb 7, 2017 | M | 12,040 | D | — | May 14, 2022 | CFFN common stock | 12,040 | 5,949 | D |
| CFFN Incentive Stock OptionF1 | $11.91 | Feb 8, 2017 | M | 5,949 | D | — | May 14, 2022 | CFFN common stock | 5,949 | 0 | D |
| CFFN phantom stock 2014F2 | $12.11 | holding | — | — | — | Dec 31, 2016 | Dec 31, 2016 | CFFN common stock | 3,731 | 3,731 | D |
| CFFN phantom stock 2015F2 | $12.78 | holding | — | — | — | Dec 31, 2017 | Dec 31, 2017 | CFFN common stock | 4,436 | 4,436 | D |
| CFFN Phantom StockF2 | $12.56 | holding | — | — | — | Dec 31, 2018 | Dec 31, 2018 | CFFN Phantom Stock | 4,137 | 4,137 | D |
Explanation of responses
- F1All options were 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.