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4//SEC Filing

Capitol Federal Financial Inc 4

Accession 0001490906-17-000008

$CFFNCIK 0001490906operating

View on SEC.gov Company Profile

Filed

Jan 2, 7:00 PM ET

Accepted

Jan 3, 2:46 PM ET

Size

13.3 KB

Accession

0001490906-17-000008

Insider Transaction Report

Form 4

Period: 2016-12-30

Capitol Federal Financial IncCFFN

Ricketts Carlton A.

Executive Vice President

Transactions

Exercise/Conversion
CFFN phantom stock 2014
2016-12-30$12.11/sh−2,532$30,663→ 0 total
Exercise: $12.11From: 2016-12-31Exp: 2016-12-31→ CFFN common stock (2,532 underlying)
Award
CFFN Phantom Stock
2016-12-30$16.46/sh+2,752$45,298→ 2,752 total
Exercise: $16.46From: 2019-12-31Exp: 2019-12-31→ CFFN Phantom Stock (2,752 underlying)
Disposition to Issuer
CFFN common stock
2016-12-30$16.46/sh−2,532$41,677→ 53,020 total
Exercise/Conversion
CFFN common stock
2016-12-30$12.11/sh+2,532$30,663→ 55,552 total

Holdings

CFFN common stock
(indirect: ESOP)
36,237
CFFN phantom stock 2015
Exercise: $12.78From: 2017-12-31Exp: 2017-12-31→ CFFN common stock (2,957 underlying)
2,957
CFFN Phantom Stock
Exercise: $12.56From: 2018-12-31Exp: 2018-12-31→ CFFN Phantom Stock (2,780 underlying)
2,780

Footnotes (1)

[F1]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

1 file

4
wf-form4_148347280220207.xmlPrimary
FORM 4

Issuer

Capitol Federal Financial Inc

CIK 0001490906

Entity typeoperating

IncorporatedMD

Related Parties

1

filerCIK 0001490906

Filing Metadata

Form type: 4
Filed: Jan 2, 7:00 PM ET
Accepted: Jan 3, 2:46 PM ET
Size: 13.3 KB

View on SEC.gov