JOHN B. DICUS - 31 Dec 2021 Form 4 Insider Report for Capitol Federal Financial, Inc. (CFFN)

Role
Chairman, President and CEO, Director
Signature
/s/ Kent G Townsend, under Power of Attorney
Issuer symbol
CFFN
Transactions as of
31 Dec 2021
Transactions value $
$16,916
Form type
4
Filing time
03 Jan 2022, 10:57:55 UTC
Previous filing
09 Jun 2021
Next filing
03 Jan 2023
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CFFN CFFN common stock Disposed to Issuer $150K +11.7K +0.9% $12.77 1.31M 31 Dec 2021 Direct F1
transaction CFFN CFFN common stock Options Exercise -$133K -11.7K -0.9% $11.33 1.3M 31 Dec 2021 Direct F1
holding CFFN CFFN common stock 87K 31 Dec 2021 ESOP
holding CFFN CFFN common stock 226 31 Dec 2021 Spouse for Child 1
holding CFFN CFFN common stock 226 31 Dec 2021 Spouse for Child 2
holding CFFN CFFN common stock 226 31 Dec 2021 Spouse for Child 3
holding CFFN CFFN common stock 6.72K 31 Dec 2021 By custodian for child 1
holding CFFN CFFN common stock 6.79K 31 Dec 2021 Custodian for Child 2
holding CFFN CFFN common stock 6.79K 31 Dec 2021 Custodian for Child 3

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction CFFN CFFN Phantom Stock 2018 Options Exercise -$150K -11.7K -100% $12.77 0 31 Dec 2021 CFFN common stock 11.7K $12.77 Direct F1, F2
transaction CFFN CFFN Phantom Stock 2021 Award $150K +13.2K $11.33 13.2K 31 Dec 2021 CFFN common stock 13.2K $11.33 Direct F2
holding CFFN CFFN Phantom Stock 2019 10.9K 31 Dec 2021 CFFN common stock 10.9K $13.73 Direct F2
holding CFFN CFFN Phantom Stock 2020 7.09K 31 Dec 2021 CFFN common stock 14.2K $12.50 Direct F2
holding CFFN CFFN Non-qualified Stock Option 100K 31 Dec 2021 CFFN common stock 100K $11.91 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Transaction reflects the deemed conversion of phantom stock units previously acquired under the Issuer's Deferred Incentive Bonus Plan into the underlying shares of common stock and the deemed simultaneous disposition of such shares in connection with the cash settlement of such phantom stock units.
F2 The phantom stock units were acquired under the Issuers Deferred Incentive Bonus Plan and are settled in cash three years from the date of acquisition.
F3 All options are vested.