Filing Details
- Accession Number:
- 0001490906-17-000026
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-02-08 17:24:26
- Reporting Period:
- 2017-02-06
- Filing Date:
- 2017-02-08
- Accepted Time:
- 2017-02-08 17:24:26
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1490906 | Capitol Federal Financial Inc | CFFN | () | 4 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1220300 | G Kent Townsend | C/O Capitol Federal Financial, Inc. 700 South 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 | Acquisiton | 2017-02-06 | 90,000 | $11.91 | 216,082 | No | 4 | M | Direct | |
| Cffn Common Stock | Acquisiton | 2017-02-06 | 13,804 | $14.96 | 229,886 | No | 4 | M | Direct | |
| Cffn Common Stock | Disposition | 2017-02-06 | 85,815 | $15.16 | 144,071 | No | 4 | S | Direct | |
| Cffn Common Stock | Disposition | 2017-02-07 | 12,040 | $15.17 | 132,031 | No | 4 | S | Direct | |
| Cffn Common Stock | Disposition | 2017-02-08 | 5,949 | $15.06 | 126,082 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Cffn Common Stock | CFFN Incentive Stock Option | Disposition | 2017-02-06 | 15,595 | $11.91 | 15,595 | $11.91 |
| Cffn Common Stock | CFFN Non-qualified Stock Option | Disposition | 2017-02-06 | 56,416 | $11.91 | 56,416 | $11.91 |
| Cffn Common Stock | CFFN Non-qualified Stock Option | Disposition | 2017-02-06 | 13,804 | $14.96 | 13,804 | $14.96 |
| Cffn Common Stock | CFFN Incentive Stock Option | Disposition | 2017-02-07 | 12,040 | $11.91 | 12,040 | $11.91 |
| Cffn Common Stock | CFFN Incentive Stock Option | Disposition | 2017-02-08 | 5,949 | $11.91 | 5,949 | $11.91 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 17,989 | 2022-05-14 | No | 4 | M | Direct | |
| 0 | 2027-05-14 | No | 4 | M | Direct | |
| 0 | 2020-08-23 | No | 4 | M | Direct | |
| 5,949 | 2022-05-14 | No | 4 | M | Direct | |
| 0 | 2022-05-14 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Cffn Common Stock | 71,484 | 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 2014 | $12.11 | 2016-12-31 | 2016-12-31 | 3,731 | 3,731 | Direct |
| Cffn Common Stock | CFFN phantom stock 2015 | $12.78 | 2017-12-31 | 2017-12-31 | 4,436 | 4,436 | Direct |
| Cffn Phantom Stock | CFFN Phantom Stock | $12.56 | 2018-12-31 | 2018-12-31 | 4,137 | 4,137 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2016-12-31 | 3,731 | 3,731 | Direct |
| 2017-12-31 | 4,436 | 4,436 | Direct |
| 2018-12-31 | 4,137 | 4,137 | Direct |
Footnotes
- All options were vested.
- 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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