Filing Details
- Accession Number:
- 0001490906-19-000055
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-08-07 15:16:57
- Reporting Period:
- 2019-08-06
- Accepted Time:
- 2019-08-07 15:16:57
- 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 66603 | 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 Commnon Stock | Acquisiton | 2019-08-06 | 2,015 | $13.00 | 61,264 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Cffn Commnon Stock | CFFN Phantom Stock 2018 | Acquisiton | 2019-08-06 | 0 | $12.77 | 0 | $12.77 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 4,296 | 2022-01-02 | 2022-01-02 | No | 4 | A | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Cffn Common Stock | 13,042 | 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 2016 | $16.46 | 2019-12-31 | 2019-12-31 | 2,690 | 2,690 | Direct |
| Cffn Common Stock | CFFN Phantom Stock 2017 | $13.41 | 2021-01-02 | 2021-01-02 | 3,694 | 3,694 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2019-12-31 | 2,690 | 2,690 | Direct |
| 2021-01-02 | 3,694 | 3,694 | 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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