4//SEC Filing
Capitol Federal Financial Inc 4
Accession 0001490906-16-000131
$CFFNCIK 0001490906operating
Filed
Nov 3, 8:00 PM ET
Accepted
Nov 4, 5:09 PM ET
Size
18.0 KB
Accession
0001490906-16-000131
Insider Transaction Report
Form 4
Ricketts Carlton A.
Executive Vice President
Transactions
- Exercise/Conversion
CFFN common stock
2016-11-03$11.91/sh+51,000$607,410→ 104,020 total - Sale
CFFN common stock
2016-11-03$14.43/sh−79,295$1,144,362→ 53,020 total - Exercise/Conversion
CFFN Non-qualified Stock Option
2016-11-04$11.91/sh−17,416$207,425→ 0 totalExercise: $11.91Exp: 2027-05-14→ CFFN common stock (17,416 underlying) - Exercise/Conversion
CFFN Incentive Stock Option
2016-11-04$11.91/sh−33,584$399,985→ 0 totalExercise: $11.91Exp: 2022-05-14→ CFFN common stock (33,584 underlying) - Exercise/Conversion
CFFN common stock
2016-11-03$14.19/sh+28,295$401,506→ 132,315 total - Exercise/Conversion
CFFN Incentive Stock Option
2016-11-04$14.19/sh−28,295$401,506→ 0 totalExercise: $14.19Exp: 2017-10-19→ CFFN common stock (28,295 underlying)
Holdings
- 2,780
CFFN Phantom Stock
Exercise: $12.56From: 2018-12-31Exp: 2018-12-31→ CFFN Phantom Stock (2,780 underlying) - 36,237(indirect: ESOP)
CFFN common stock
- 2,532
CFFN phantom stock 2014
Exercise: $12.11From: 2016-12-31Exp: 2016-12-31→ CFFN common stock (2,532 underlying) - 2,957
CFFN phantom stock 2015
Exercise: $12.78From: 2017-12-31Exp: 2017-12-31→ CFFN common stock (2,957 underlying)
Footnotes (2)
- [F1]All options are vested.
- [F2]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.
Documents
Issuer
Capitol Federal Financial Inc
CIK 0001490906
Entity typeoperating
IncorporatedMD
Related Parties
1- filerCIK 0001490906
Filing Metadata
- Form type
- 4
- Filed
- Nov 3, 8:00 PM ET
- Accepted
- Nov 4, 5:09 PM ET
- Size
- 18.0 KB