Filing Details
- Accession Number:
- 0001490906-16-000131
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-11-04 17:09:22
- Reporting Period:
- 2016-11-03
- Filing Date:
- 2016-11-04
- Accepted Time:
- 2016-11-04 17:09:22
- 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 |
|---|---|---|---|---|---|---|---|
| 1560044 | A. Carlton Ricketts | 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 | 2016-11-03 | 51,000 | $11.91 | 104,020 | No | 4 | M | Direct | |
| Cffn Common Stock | Acquisiton | 2016-11-03 | 28,295 | $14.19 | 132,315 | No | 4 | M | Direct | |
| Cffn Common Stock | Disposition | 2016-11-03 | 79,295 | $14.43 | 53,020 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Cffn Common Stock | CFFN Non-qualified Stock Option | Disposition | 2016-11-04 | 17,416 | $11.91 | 17,416 | $11.91 |
| Cffn Common Stock | CFFN Incentive Stock Option | Disposition | 2016-11-04 | 33,584 | $11.91 | 33,584 | $11.91 |
| Cffn Common Stock | CFFN Incentive Stock Option | Disposition | 2016-11-04 | 28,295 | $14.19 | 28,295 | $14.19 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2027-05-14 | No | 4 | M | Direct | |
| 0 | 2022-05-14 | No | 4 | M | Direct | |
| 0 | 2017-10-19 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Cffn Common Stock | 36,237 | 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 2014 | $12.11 | 2016-12-31 | 2016-12-31 | 2,532 | 2,532 | Direct |
| Cffn Phantom Stock | CFFN Phantom Stock | $12.56 | 2018-12-31 | 2018-12-31 | 2,780 | 2,780 | Direct |
| Cffn Common Stock | CFFN phantom stock 2015 | $12.78 | 2017-12-31 | 2017-12-31 | 2,957 | 2,957 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2016-12-31 | 2,532 | 2,532 | Direct |
| 2018-12-31 | 2,780 | 2,780 | Direct |
| 2017-12-31 | 2,957 | 2,957 | Direct |
Footnotes
- All options are vested.
- Phantom 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.
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