Capitol Federal Financial Inc 4

4 · Capitol Federal Financial Inc · Filed Nov 4, 2016

Form 4

Period: 2016-11-03

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 total
Exercise: $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 total
Exercise: $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 total
Exercise: $14.19Exp: 2017-10-19→ CFFN common stock (28,295 underlying)

Holdings

CFFN Phantom Stock
Exercise: $12.56From: 2018-12-31Exp: 2018-12-31→ CFFN Phantom Stock (2,780 underlying)
2,780
CFFN common stock
(indirect: ESOP)
36,237
CFFN phantom stock 2014
Exercise: $12.11From: 2016-12-31Exp: 2016-12-31→ CFFN common stock (2,532 underlying)
2,532
CFFN phantom stock 2015
Exercise: $12.78From: 2017-12-31Exp: 2017-12-31→ CFFN common stock (2,957 underlying)
2,957

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

1 file