Filing Details
- Accession Number:
- 0001490906-15-000031
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-05-15 17:04:52
- Reporting Period:
- 2015-05-15
- Filing Date:
- 2015-05-15
- Accepted Time:
- 2015-05-15 17:04:52
- 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 |
|---|---|---|---|---|---|---|---|
| 1587901 | H Frank Wright | C/O Capitol Federal Financial, Inc. 700 S. 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 Common Stock | Disposition | 2015-05-15 | 6,443 | $12.09 | 5,437 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Cffn Common Stock | 47,832 | Indirect | ESOP |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Cffn Common Stock | CFFN non-qualified stock option | $13.10 | 2028-10-29 | 9,000 | 9,000 | Direct | |
| Cffn Common Stock | CFFN incentive stock option | $13.10 | 2023-10-29 | 3,000 | 3,000 | Direct | |
| Cffn Common Stock | CFFN incentive stock option | $11.91 | 2022-05-14 | 35,584 | 35,584 | Direct | |
| Cffn Common Stock | CFFN non-qualified stock option | $11.91 | 2027-05-14 | 6,416 | 6,416 | Direct | |
| Cffn Common Stock | CFFN phantom stock | $11.69 | 2015-12-31 | 2,635 | 2,635 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2028-10-29 | 9,000 | 9,000 | Direct |
| 2023-10-29 | 3,000 | 3,000 | Direct |
| 2022-05-14 | 35,584 | 35,584 | Direct |
| 2027-05-14 | 6,416 | 6,416 | Direct |
| 2015-12-31 | 2,635 | 2,635 | Direct |
Footnotes
- 3,000 options vested or will vest on April 29, 2014, April 29, 2015 and April 29, 2016.
- 3,000 options will vest on April 29, 2017.
- 8,396 options vested or will vest on January 10, 2013, January 10, 2014, January 10, 2015 and January 10, 2016.
- 1,604 options vested or will vest on January 10, 2013, January 10, 2014, January 10, 2015 and January 10, 2016.
- 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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