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Filing Details

Accession Number:: 0000927089-10-000328
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2010-12-23 16:13:14
Reporting Period:: 2010-12-21

Filing Date:: 2010-12-23
Accepted Time:: 2010-12-23 16:13:14
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1490906	Capitol Federal Financial Inc	CFFN	Savings Institution, Federally Chartered (6035)	000000000

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1482480	C Rick Jackson	Capitol Federal Financial 700 South Kansas Avenue, Suite 517 Topeka KS 66603	Executive Vice President	No	Yes	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2010-12-21	5,000	$10.00	5,000	No	4	P	Direct
Common Stock	Acquisiton	2010-12-21	60,753	$0.00	65,753	No	4	J	Direct
Common Stock	Acquisiton	2010-12-21	25,237	$0.00	25,237	No	4	J	Indirect	ESOP

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Direct
No	4	J	Direct
No	4	J	Indirect	ESOP

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Incentive Stock Option	Acquisiton	2010-12-21	34,634	$0.00	34,634	$14.43
Common Stock	Non-Qualified Stock Option	Acquisiton	2010-12-21	55,913	$0.00	55,913	$14.43
Common Stock	Phantom Stock 2010	Acquisiton	2010-12-21	249	$0.00	249	$13.90

Remaning Holdings	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
34,634	2020-01-26	No	4	J	Direct
55,913	2025-01-26	No	4	J	Direct
249	2012-12-31	No	4	J	Direct

Footnotes

In accordance with the Plan of Conversion and Reorganization of Capitol Federal Savings Bank MHC, effective December 21, 2010, each outstanding share of common stock of Capitol Federal Financial was exchanged for 2.2637 shares of Capitol Federal Financial, Inc.'s common stock.
In accordance with the Plan of Conversation and Reorganization of Capitol Federal Savings Bank MHC, effective December 21, 2010, each outstanding stock option or phantom stock unit for a share of common stock of Capitol Federal Financial was exchanged for a stock option or phantom stock unit for 2.2637 shares of Capitol Federal Financial, Inc.'s common stock, rounded down to the nearest share. The exercise price was determined by dividing the original exercise price of the exchanged stock option by the 2.2637 exchange ratio, rounded down to the nearest whole number.
A total of 6,927 (adjusted to give effect to the 2.2637 exchange ratio as a result of the Plan of Conversion and Reorganization of Capitol Federal Savings Bank MHC) options vested or will vest on each of the following dates: January 26, 2010, January 26, 2011, January 26, 2012, January 26, 2013 and January 26, 2014.
11,200 options (adjusted to give effect to the 2.2637 exchange ratio as a result of the Plan of Conversion and Reorganization of Capitol Federal Savings Bank MHC) vested or will vest on January 26, 2010, January 26, 2011, January 26, 2012, January 26, 2013 and January 26, 2014.
Phantom stock units were acquired under the Company's Deferred Incentive Bonus Plan. The units are deemed sold and settled in cash approximately three years from date of acquisition.