SEC Form 4 · accession 0001490906-19-000012
Capitol Federal Financial, Inc. · CFFN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Tara Van Houweling
Officer — Principal Accounting Officer
Period of report
Jan 2, 2019
Accepted (ET)
Jan 8, 2019 · 3:14 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 phantom stock 2015 | Jan 2, 2019 | M | 965 | $12.56 | A | 19,530 | D | |
| CFFN phantom stock 2015 | Jan 2, 2019 | D | 965 | $12.77 | D | 18,565 | D | |
| CFFN common stock | holding | — | — | — | 31,685 | 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 2018F1 | $12.77 | Jan 2, 2019 | A | 1,471 | A | Jan 2, 2022 | Jan 2, 2022 | CFFN commnon stock | 1,471 | 1,471 | D |
| CFFN Phantom Stock 2016F1 | $16.46 | holding | — | — | — | Dec 31, 2019 | Dec 31, 2019 | CFFN common stock | 942 | 942 | D |
| CFFN Phantom Stock 2017F1 | $13.41 | holding | — | — | — | Jan 2, 2021 | Jan 2, 2021 | CFFN common stock | 1,257 | 1,257 | D |
| CFFN Non-qualified Stock OptionF2 | $11.91 | holding | — | — | — | — | May 14, 2027 | CFFN common stock | 6,416 | 6,416 | D |
| CFFN Incentive Stock OptionF2 | $11.91 | holding | — | — | — | — | May 14, 2022 | CFFN common stock | 8,584 | 8,584 | 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 have vested.