Filing Details

Accession Number:
0000927089-10-000328
Form Type:
4
Zero Holdings:
No
Publication Time:
2010-12-23 16:13:14
Reporting Period:
2010-12-21
Filing Date:
2010-12-23
Accepted Time:
2010-12-23 16:13:14
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
1482480 C Rick Jackson 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
Common Stock Acquisiton 2010-12-21 5,000 $10.00 5,000 No 4 P Direct
Common Stock Acquisiton 2010-12-21 60,753 $0.00 65,753 No 4 J Direct
Common Stock Acquisiton 2010-12-21 25,237 $0.00 25,237 No 4 J Indirect ESOP
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
No 4 J Direct
No 4 J Indirect ESOP
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Incentive Stock Option Acquisiton 2010-12-21 34,634 $0.00 34,634 $14.43
Common Stock Non-Qualified Stock Option Acquisiton 2010-12-21 55,913 $0.00 55,913 $14.43
Common Stock Phantom Stock 2010 Acquisiton 2010-12-21 249 $0.00 249 $13.90
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
34,634 2020-01-26 No 4 J Direct
55,913 2025-01-26 No 4 J Direct
249 2012-12-31 No 4 J Direct
Footnotes
  1. In accordance with the Plan of Conversion and Reorganization of Capitol Federal Savings Bank MHC, effective December 21, 2010, each outstanding share of common stock of Capitol Federal Financial was exchanged for 2.2637 shares of Capitol Federal Financial, Inc.'s common stock.
  2. In accordance with the Plan of Conversation and Reorganization of Capitol Federal Savings Bank MHC, effective December 21, 2010, each outstanding stock option or phantom stock unit for a share of common stock of Capitol Federal Financial was exchanged for a stock option or phantom stock unit for 2.2637 shares of Capitol Federal Financial, Inc.'s common stock, rounded down to the nearest share. The exercise price was determined by dividing the original exercise price of the exchanged stock option by the 2.2637 exchange ratio, rounded down to the nearest whole number.
  3. A total of 6,927 (adjusted to give effect to the 2.2637 exchange ratio as a result of the Plan of Conversion and Reorganization of Capitol Federal Savings Bank MHC) options vested or will vest on each of the following dates: January 26, 2010, January 26, 2011, January 26, 2012, January 26, 2013 and January 26, 2014.
  4. 11,200 options (adjusted to give effect to the 2.2637 exchange ratio as a result of the Plan of Conversion and Reorganization of Capitol Federal Savings Bank MHC) vested or will vest on January 26, 2010, January 26, 2011, January 26, 2012, January 26, 2013 and January 26, 2014.
  5. Phantom stock units were acquired under the Company's Deferred Incentive Bonus Plan. The units are deemed sold and settled in cash approximately three years from date of acquisition.