Carlton A. Ricketts Form 4 Capitol Federal Financial / Carlton A. Ricketts ownership change

SEC Form 4

FORM 4

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

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

1. Name and Address of Reporting Person^*

Ricketts Carlton A.

(Last) (First) (Middle)

C/O CAPITOL FEDERAL FINANCIAL

700 KANSAS AVENUE

(Street)

TOPEKA KS 66601

(City) (State) (Zip)

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

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

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

3. Date of Earliest Transaction (Month/Day/Year)
11/03/2016

4. 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 Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
CFFN common stock	11/03/2016		M		51,000	A	$11.91	104,020	D
CFFN common stock	11/03/2016		M		28,295	A	$14.19	132,315	D
CFFN common stock	11/03/2016		S		79,295	D	$14.4317	53,020	D
CFFN common stock								36,237	I	ESOP

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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 Securities Underlying Derivative Security (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: 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 Non-qualified Stock Option	$11.91	11/04/2016		M			17,416	(1)	05/14/2027	CFFN common stock	17,416	$11.91	0	D
CFFN Incentive Stock Option	$11.91	11/04/2016		M			33,584	(1)	05/14/2022	CFFN common stock	33,584	$11.91	0	D
CFFN Incentive Stock Option	$14.19	11/04/2016		M			28,295	(1)	10/19/2017	CFFN common stock	28,295	$14.19	0	D
CFFN phantom stock 2014	$12.11							12/31/2016(2)	12/31/2016	CFFN common stock	2,532		2,532	D
CFFN Phantom Stock	$12.56							12/31/2018(2)	12/31/2018	CFFN Phantom Stock	2,780		2,780	D
CFFN phantom stock 2015	$12.78							12/31/2017(2)	12/31/2017	CFFN common stock	2,957		2,957	D

Explanation of Responses:

1. All options are vested.

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	11/04/2016
	** 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 4 (b)(v).
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