Capitol Federal Financial (CFFN) Form 3 Capitol Federal Financial / Daniel L. Lehman ownership change

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

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1. Name and Address of Reporting Person^*

Lehman Daniel L.

(Last) (First) (Middle)

700 SOUTH KANSAS AVENUE

(Street)

TOPEKA KS 66603

(City) (State) (Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
11/01/2016

3. Issuer Name and Ticker or Trading Symbol
Capitol Federal Financial Inc [ CFFN ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
Executive Vice President

5. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
CFFN common stock	17,463	D
CFFN common stock	33,522	I	ESOP

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
CFFN Incentive Stock Option	(1)	05/14/2022	CFFN common stock	8,584	11.91	D
CFFN Non-qualified Stock Option	(1)	05/14/2027	CFFN common stock	6,416	11.91	D
CFFN phantom stock 2013	12/31/2016(2)	12/31/2016	CFFN common stock	951	12.11	D
CFFN phantom stock 2014	12/31/2017(2)	12/31/2017	CFFN common stock	1,052	12.78	D
CFFN phantom stock 2015	12/31/2018(2)	12/31/2018	CFFN common stock	1,004	12.56	D

Explanation of Responses:

1. All options are exercisable.

2. 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.

Remarks:

	James D. Wempe, Power of Attorney	11/02/2016
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (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).
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