SEC Form 4 · accession 0001490906-18-000065
Capitol Federal Financial, Inc. · CFFN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Morris J Huey II
Director
Period of report
Nov 2, 2018
Accepted (ET)
Nov 2, 2018 · 3:30 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 stockF1 | Nov 2, 2018 | M | 5,000 | $11.91 | A | 255,655 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| CFFN Non-qualified Stock Option May, 2012F2 | $11.91 | Nov 2, 2018 | A | 0 | A | — | May 14, 2027 | CFFN common stock | 0 | 15,000 | D |
| CFFN Non-qualified Stock Option May, 2012F2 | $11.91 | Nov 2, 2018 | M | 5,000 | D | — | May 14, 2027 | CFFN common stock | 5,000 | 10,000 | D |
Explanation of responses
- F1Restricted stock award.
- F23,750 options will vest on January 10, 2013, January 10, 2014, January 10, 2015 and January 10, 2016.