Filing Details
- Accession Number:
- 0000927089-10-000329
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-12-23 16:39:02
- Reporting Period:
- 2010-12-21
- Filing Date:
- 2010-12-23
- Accepted Time:
- 2010-12-23 16:39:02
- 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 |
---|---|---|---|---|---|---|---|
1185016 | B John Dicus | C/O Capitol Federal Financial 700 South Kansas Avenue Topeka KS 66603 | Chairman And President | Yes | Yes | No | No |
Reported Non-Derivative Transactions
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 | 50,000 | $10.00 | 50,000 | No | 4 | P | Direct | |
Common Stock | Acquisiton | 2010-12-21 | 1,199,761 | $0.00 | 1,249,761 | No | 4 | J | Direct | |
Common Stock | Acquisiton | 2010-12-21 | 57,921 | $0.00 | 57,921 | No | 4 | J | Indirect | ESOP |
Common Stock | Acquisiton | 2010-12-21 | 6,723 | $0.00 | 6,723 | No | 4 | J | Indirect | Custodian for Child 1 |
Common Stock | Acquisiton | 2010-12-21 | 6,791 | $0.00 | 6,791 | No | 4 | J | Indirect | Custodian for Child 2 |
Common Stock | Acquisiton | 2010-12-21 | 6,791 | $0.00 | 6,791 | No | 4 | J | Indirect | Custodian for Child 3 |
Common Stock | Acquisiton | 2010-12-21 | 226 | $0.00 | 226 | No | 4 | J | Indirect | Spouse for Child 1 |
Common Stock | Acquisiton | 2010-12-21 | 226 | $0.00 | 226 | No | 4 | J | Indirect | Spouse for Child 2 |
Common Stock | Acquisiton | 2010-12-21 | 226 | $0.00 | 226 | No | 4 | J | Indirect | Spouse for Child 3 |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Direct | |
No | 4 | J | Direct | |
No | 4 | J | Indirect | ESOP |
No | 4 | J | Indirect | Custodian for Child 1 |
No | 4 | J | Indirect | Custodian for Child 2 |
No | 4 | J | Indirect | Custodian for Child 3 |
No | 4 | J | Indirect | Spouse for Child 1 |
No | 4 | J | Indirect | Spouse for Child 2 |
No | 4 | J | Indirect | Spouse for Child 3 |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Phantom Stock 2008 | Acquisiton | 2010-12-21 | 4,027 | $0.00 | 4,027 | $13.69 |
Common Stock | Phantom Stock 2009 | Acquisiton | 2010-12-21 | 7,445 | $0.00 | 7,445 | $20.14 |
Common Stock | Phantom Stock 2010 | Acquisiton | 2010-12-21 | 6,487 | $0.00 | 6,487 | $13.90 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
4,027 | 2011-01-25 | No | 4 | J | Direct | |
7,445 | 2012-01-25 | No | 4 | J | Direct | |
6,487 | 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 phantom stock unit for a share of common stock of Capitol Federal Financial was exchanged for a phantom stock unit for 2.2637 shares of Capitol Federal Financial, Inc.'s common stock, rounded down to the nearest share.
- 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.