Filing Details
- Accession Number:
- 0001490906-21-000027
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-02-04 10:20:43
- Reporting Period:
- 2021-02-02
- Accepted Time:
- 2021-02-04 10:20:43
- 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 |
|---|---|---|---|---|---|---|---|
| 1770707 | S. Anthony Barry | C/O Capitol Federal Financial 700 South Kansas Avenue, Suite 517 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 Common Stock | Acquisiton | 2021-02-02 | 10,000 | $12.63 | 34,777 | 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 Common Stock | CFFN Phantom Stock 2020 | Acquisiton | 2021-02-02 | 0 | $12.50 | 0 | $12.50 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 1,687 | 2023-12-31 | 2023-12-31 | No | 4 | A | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Cffn Common Stock | 1,302 | Indirect | ESOP |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Cffn Commnon Stock | CFFN Phantom Stock 2019 | $13.73 | 2022-12-31 | 2022-12-31 | 2,742 | 2,742 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2022-12-31 | 2,742 | 2,742 | Direct |
Footnotes
- The phantom stock units were acquired under the Issuers Deferred Incentive Bonus Plan and are settled in cash three years from the date of acquisition.
Billionaire Hedge Funds
