0001490906-16-000131.txt : 20161104
0001490906-16-000131.hdr.sgml : 20161104
20161104170922
ACCESSION NUMBER: 0001490906-16-000131
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20161103
FILED AS OF DATE: 20161104
DATE AS OF CHANGE: 20161104
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Capitol Federal Financial Inc
CENTRAL INDEX KEY: 0001490906
STANDARD INDUSTRIAL CLASSIFICATION: SAVINGS INSTITUTION, FEDERALLY CHARTERED [6035]
IRS NUMBER: 000000000
STATE OF INCORPORATION: MD
FISCAL YEAR END: 0930
BUSINESS ADDRESS:
STREET 1: 700 S KANSAS AVENUE
CITY: TOPEKA
STATE: KS
ZIP: 66603
BUSINESS PHONE: 785-235-1341
MAIL ADDRESS:
STREET 1: 700 S KANSAS AVENUE
CITY: TOPEKA
STATE: KS
ZIP: 66603
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Ricketts Carlton A.
CENTRAL INDEX KEY: 0001560044
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34814
FILM NUMBER: 161975937
MAIL ADDRESS:
STREET 1: C/O CAPITOL FEDERAL FINANCIAL
STREET 2: 700 KANSAS AVENUE
CITY: TOPEKA
STATE: KS
ZIP: 66601
4
1
wf-form4_147829374918647.xml
FORM 4
X0306
4
2016-11-03
0
0001490906
Capitol Federal Financial Inc
CFFN
0001560044
Ricketts Carlton A.
C/O CAPITOL FEDERAL FINANCIAL
700 KANSAS AVENUE
TOPEKA
KS
66601
0
1
0
0
Executive Vice President
CFFN common stock
2016-11-03
4
M
0
51000
11.91
A
104020
D
CFFN common stock
2016-11-03
4
M
0
28295
14.19
A
132315
D
CFFN common stock
2016-11-03
4
S
0
79295
14.4317
D
53020
D
CFFN common stock
36237
I
ESOP
CFFN Non-qualified Stock Option
11.91
2016-11-04
4
M
0
17416
11.91
D
2027-05-14
CFFN common stock
17416.0
0
D
CFFN Incentive Stock Option
11.91
2016-11-04
4
M
0
33584
11.91
D
2022-05-14
CFFN common stock
33584.0
0
D
CFFN Incentive Stock Option
14.19
2016-11-04
4
M
0
28295
14.19
D
2017-10-19
CFFN common stock
28295.0
0
D
CFFN phantom stock 2014
12.11
2016-12-31
2016-12-31
CFFN common stock
2532.0
2532
D
CFFN Phantom Stock
12.56
2018-12-31
2018-12-31
CFFN Phantom Stock
2780.0
2780
D
CFFN phantom stock 2015
12.78
2017-12-31
2017-12-31
CFFN common stock
2957.0
2957
D
All options are 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.
James D. Wempe, Power of Attorney
2016-11-04