SEC Form 4 · accession 0001490906-18-000014
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
Jan 1, 2018
Accepted (ET)
Jan 3, 2018 · 5:22 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 | 11,737 | $12.78 | A | 1,292,748 | D | |
| CFFN common stock | Jan 2, 2018 | D | 11,737 | $13.41 | D | 1,281,011 | D | |
| CFFN common stock | holding | — | — | — | 81,738 | 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 | $12.78 | Jan 1, 2018 | M | 0 | A | Dec 31, 2017 | Dec 31, 2017 | CFFN common stock | 0 | 11,737 | D |
| CFFN Phantom Stock 2017F1 | $13.41 | Jan 2, 2018 | A | 11,185 | A | Jan 2, 2021 | Jan 2, 2021 | CFFN common stock | 11,185 | 11,185 | D |
| CFFN phantom stock 2015F1 | $12.56 | holding | — | — | — | Dec 31, 2018 | Dec 31, 2018 | CFFN common stock | 11,427 | 11,427 | D |
| CFFN Phantom Stock 2016F1 | $16.46 | holding | — | — | — | Dec 31, 2019 | Dec 31, 2019 | CFFN common stock | 9,113 | 9,113 | 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.