SEC Form 4 · accession 0001490906-18-000008
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
Jan 2, 2018
Accepted (ET)
Jan 3, 2018 · 5:15 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 | Jan 2, 2018 | M | 2,957 | $12.78 | A | 60,502 | D | |
| CFFN common stock | Jan 2, 2018 | D | 2,957 | $13.41 | D | 57,545 | D | |
| CFFN common stock | holding | — | — | — | 40,504 | 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 | Jan 2, 2018 | M | 0 | A | Dec 31, 2017 | Dec 31, 2017 | CFFN common stock | 0 | 2,957 | D |
| CFFN Phantom Stock 2017F1 | $13.41 | Jan 2, 2018 | A | 3,692 | A | Jan 2, 2021 | Jan 2, 2021 | CFFN common stock | 3,692 | 3,692 | D |
| CFFN phantom stock 2015F1 | $12.56 | holding | — | — | — | Dec 31, 2018 | Dec 31, 2018 | CFFN commnon stock | 2,780 | 2,780 | D |
| CFFN Phantom Stock 2016F1 | $16.46 | holding | — | — | — | Dec 31, 2019 | Dec 31, 2019 | CFFN common stock | 2,752 | 2,752 | 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.