SEC Form 4 · accession 0001490906-17-000040
Capitol Federal Financial, Inc. · CFFN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Daniel L. Lehman
Officer — Executive Vice President
Period of report
May 1, 2017
Accepted (ET)
May 1, 2017 · 5:15 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 | May 1, 2017 | S | 314 | $14.6601 | D | 17,149 | D | |
| CFFN common stock | holding | — | — | — | 34,492 | 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 | $12.78 | holding | — | — | — | Dec 31, 2017 | Dec 31, 2017 | CFFN common stock | 1,052 | 1,052 | D |
| CFFN phantom stock 2015F1 | $12.56 | holding | — | — | — | Dec 31, 2018 | Dec 31, 2018 | CFFN common stock | 1,004 | 1,004 | D |
| CFFN Phantom StockF1 | $16.46 | holding | — | — | — | Dec 31, 2019 | Dec 31, 2019 | CFFN common stock | 971 | 971 | 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.