Filing Details
- Accession Number:
- 0000927089-10-000335
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-12-23 17:41:33
- Reporting Period:
- 2010-12-21
- Filing Date:
- 2010-12-23
- Accepted Time:
- 2010-12-23 17:41:33
- 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 |
|---|---|---|---|---|---|---|---|
| 1316781 | M Jeffrey Johnson | C/O Capitol Federal Financial Inc 700 Kansas Avenue Topeka KS 66603 | Yes | No | 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 | 20,000 | $10.00 | 20,000 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2010-12-21 | 24,900 | $0.00 | 44,900 | No | 4 | J | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct | |
| No | 4 | J | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Non-Qualified Stock Option | Acquisiton | 2010-12-21 | 113,185 | $0.00 | 113,185 | $14.35 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 113,185 | 2021-01-25 | 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 for a share of common stock of Capitol Federal Financial was exchanged for a stock option 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.
- All of the options are currently exercisable.
Billionaire Hedge Funds
