|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
|
| ||||||||||||||||||||||||||||||||||||||
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
CFFN phantom stock 2014 | $ 12.78 | 12/31/2014 | M | 2,854 | (1) | 12/31/2017 | CFFN common stock | 2,854 | $ 12.78 | 2,854 | D | ||||
CFFN phantom stock 2013 | $ 11.69 | (1) | 12/31/2015 | CFFN common stock | 309 | 309 | D | ||||||||
CFFN phantom stock 2014 | $ 12.11 | (1) | 12/31/2016 | CFFN common stock | 2,407 | 2,407 | D | ||||||||
CFFN incentive stock option | $ 11.85 | (2) | 09/25/2022 | CFFN common stock | 33,752 | 33,752 | D | ||||||||
CFFN non-qualified stock option | $ 11.85 | (3) | 09/25/2027 | CFFN common stock | 14,248 | 14,248 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Haag Natalie G. C/O CAPITOL FEDERAL FINANCIAL 700 KANSAS AVENUE TOPEKA, KS 66601 |
Executive Vice President |
James D. Wempe, Power of Attorney | 01/02/2015 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | The phantom stock units are acquired under the Issuer's Deferred Incentive Bonus Plan and settled in cash three years from the date of acquisition. |
(2) | 8,438 options vested or will vest on January 10, 2013, January 10, 2014, January 10, 2015 and January 10, 2016. |
(3) | 3,562 options vested or will vest on January 10, 2013, January 10, 2014, January 10, 2015 and January 10, 2016. |