Filing Details
- Accession Number:
- 0001490906-17-000052
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-08-08 16:52:32
- Reporting Period:
- 2017-08-07
- Filing Date:
- 2017-08-08
- Accepted Time:
- 2017-08-08 16:52:32
- 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 | 2017-08-07 | 525 | $13.92 | 53,545 | No | 4 | P | Direct | |
| Cffn Common Stock | Acquisiton | 2017-08-08 | 4,000 | $14.06 | 57,545 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct | |
| No | 4 | P | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Cffn Common Stock | 37,973 | 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 | $12.78 | 2017-12-31 | 2017-12-31 | 2,957 | 2,957 | Direct |
| Cffn Phantom Stock | CFFN Phantom Stock | $12.56 | 2018-12-31 | 2018-12-31 | 2,780 | 2,780 | Direct |
| Cffn Phantom Stock | CFFN Phantom Stock | $16.46 | 2019-12-31 | 2019-12-31 | 2,752 | 2,752 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2017-12-31 | 2,957 | 2,957 | Direct |
| 2018-12-31 | 2,780 | 2,780 | Direct |
| 2019-12-31 | 2,752 | 2,752 | Direct |
Footnotes
- 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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