John B. Dicus - Dec 31, 2024 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
Stock symbol
CFFN
Transactions as of
Dec 31, 2024
Transactions value $
$3,493
Form type
4
Date filed
1/3/2025, 08:48 AM
Previous filing
Jan 2, 2024
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 Options Exercise $150K +13.2K +0.99% $11.33 1.35M Dec 31, 2024 Direct F1
transaction CFFN CFFN common stock Disposed to Issuer -$78.2K -13.2K -0.98% $5.91 1.33M Dec 31, 2024 Direct F1
holding CFFN CFFN common stock 91.4K Dec 31, 2024 ESOP
holding CFFN CFFN common stock 11.4K Dec 31, 2024 Trust 1 F2
holding CFFN CFFN common stock 817K Dec 31, 2024 Trust 2 F3
holding CFFN CFFN common stock 467K Dec 31, 2024 Trust 3 F4

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 2021 Options Exercise -$150K -13.2K -100% $11.33 0 Dec 31, 2024 CFFN common stock 13.2K $11.33 Direct F1, F5
transaction CFFN CFFN Phantom Stock 2024 Award $81.7K +13.8K $5.91 13.8K Dec 31, 2024 CFFN common stock 13.8K $5.91 Direct F5
holding CFFN CFFN Phantom Stock 2022 17.3K Dec 31, 2024 CFFN common stock 17.3K $8.65 Direct F5
holding CFFN CFFN Non-qualified Stock Option 100K Dec 31, 2024 CFFN common stock 100K $11.91 Direct F5, F6
* 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 John C Dicus TTEE Dicus Marital Trust GST Exempt
F3 John C Dicus Trustee Dicus Marital Trust GST Nonexempt
F4 John C Dicus TTEE Dicus Family Trust
F5 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.
F6 All options are vested.