Filing Details

Accession Number:
0000927089-10-000329
Form Type:
4
Zero Holdings:
No
Publication Time:
2010-12-23 16:39:02
Reporting Period:
2010-12-21
Filing Date:
2010-12-23
Accepted Time:
2010-12-23 16:39:02
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
1185016 B John Dicus C/O Capitol Federal Financial
700 South Kansas Avenue
Topeka KS 66603
Chairman And President Yes 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 50,000 $10.00 50,000 No 4 P Direct
Common Stock Acquisiton 2010-12-21 1,199,761 $0.00 1,249,761 No 4 J Direct
Common Stock Acquisiton 2010-12-21 57,921 $0.00 57,921 No 4 J Indirect ESOP
Common Stock Acquisiton 2010-12-21 6,723 $0.00 6,723 No 4 J Indirect Custodian for Child 1
Common Stock Acquisiton 2010-12-21 6,791 $0.00 6,791 No 4 J Indirect Custodian for Child 2
Common Stock Acquisiton 2010-12-21 6,791 $0.00 6,791 No 4 J Indirect Custodian for Child 3
Common Stock Acquisiton 2010-12-21 226 $0.00 226 No 4 J Indirect Spouse for Child 1
Common Stock Acquisiton 2010-12-21 226 $0.00 226 No 4 J Indirect Spouse for Child 2
Common Stock Acquisiton 2010-12-21 226 $0.00 226 No 4 J Indirect Spouse for Child 3
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
No 4 J Direct
No 4 J Indirect ESOP
No 4 J Indirect Custodian for Child 1
No 4 J Indirect Custodian for Child 2
No 4 J Indirect Custodian for Child 3
No 4 J Indirect Spouse for Child 1
No 4 J Indirect Spouse for Child 2
No 4 J Indirect Spouse for Child 3
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Phantom Stock 2008 Acquisiton 2010-12-21 4,027 $0.00 4,027 $13.69
Common Stock Phantom Stock 2009 Acquisiton 2010-12-21 7,445 $0.00 7,445 $20.14
Common Stock Phantom Stock 2010 Acquisiton 2010-12-21 6,487 $0.00 6,487 $13.90
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
4,027 2011-01-25 No 4 J Direct
7,445 2012-01-25 No 4 J Direct
6,487 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 phantom stock unit for a share of common stock of Capitol Federal Financial was exchanged for a phantom stock unit for 2.2637 shares of Capitol Federal Financial, Inc.'s common stock, rounded down to the nearest share.
  3. 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.