Filing Details
- Accession Number:
- 0001490906-16-000084
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-01-21 14:34:45
- Reporting Period:
- 2016-01-08
- Filing Date:
- 2016-01-21
- Accepted Time:
- 2016-01-21 14:34:45
- 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 |
|---|---|---|---|---|---|---|---|
| 1560043 | G. Natalie Haag | C/O Capitol Federal Financial 700 Kansas Avenue Topeka KS 66601 | Executive Vice President | No | 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 |
|---|---|---|---|---|---|---|---|---|---|---|
| Cffn Common Stock | Acquisiton | 2016-01-08 | 3,200 | $12.02 | 38,321 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Cffn Common Stock | 4,776 | Indirect | ESOP |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Cffn Common Stock | CFFN Phantom Stock | $12.56 | 2018-12-31 | 2,780 | 2,780 | Direct | |
| Cffn Common Stock | CFFN Incentive Stock Option | $11.85 | 2022-09-25 | 33,752 | 33,752 | Direct | |
| Cffn Common Stock | CFFN phantom stock 2014 | $12.11 | 2016-12-31 | 2,407 | 2,407 | Direct | |
| Cffn Common Stock | CFFN Non-qualified Stock Option | $11.85 | 2027-09-25 | 14,248 | 14,248 | Direct | |
| Cffn Common Stock | CFFN phantom stock 2015 | $12.78 | 2017-12-31 | 2,854 | 2,854 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2018-12-31 | 2,780 | 2,780 | Direct |
| 2022-09-25 | 33,752 | 33,752 | Direct |
| 2016-12-31 | 2,407 | 2,407 | Direct |
| 2027-09-25 | 14,248 | 14,248 | Direct |
| 2017-12-31 | 2,854 | 2,854 | Direct |
Footnotes
- Shares acquired pursuant to Rule 10b5-1 purchase plan.
- The phantom stock units are acquired under the Issuer's Deferred Incentive Bonus Plan and settled in cash three years from the date of acquisition.
- 8,438 options vested on January 10, 2013, January 10, 2014, January 10, 2015 and January 10, 2016.
- 3,562 options vested on January 10, 2013, January 10, 2014, January 10, 2015 and January 10, 2016.
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