SEC Form 4 · accession 0001490906-18-000034
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 2, 2018
Accepted (ET)
May 4, 2018 · 9:50 am 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 2, 2018 | P | 4,200 | $12.50 | A | 21,002 | D | |
| CFFN common stock | holding | — | — | — | 38,628 | 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 2015F1 | $12.56 | holding | — | — | — | Dec 31, 2018 | Dec 31, 2018 | CFFN common stock | 1,004 | 1,004 | D |
| CFFN Phantom Stock 2016 | $16.46 | holding | — | — | — | Dec 31, 2019 | Dec 31, 2019 | CFFN common stock | 971 | 971 | D |
| CFFN Phantom Stock 2017 | $13.41 | holding | — | — | — | Jan 2, 2021 | Jan 2, 2021 | CFFN common stock | 3,154 | 3,154 | 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.