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