JOHN B. DICUS - 28 Jul 2025 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
28 Jul 2025
Transactions value $
$0
Form type
4
Filing time
30 Jul 2025, 13:09:49 UTC
Previous filing
03 Jan 2025
SEC
View on sec.gov

Reporting Owners (1)

Name Relationship Address Signature Signature date CIK
DICUS JOHN B Chairman, President and CEO, Director C/O CAPITOL FEDERAL FINANCIAL, INC., 700 SOUTH KANSAS AVENUE, TOPEKA /s/ Kent G. Townsend, under Power of Attorney 30 Jul 2025 0001185016

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CFFN CFFN common stock Will/Inheritance $0 +414K $0.00 414K 28 Jul 2025 Trust 4 F1, F2
transaction CFFN CFFN common stock Will/Inheritance $0 +233K $0.00 233K 28 Jul 2025 Trust 5 F3, F4
transaction CFFN CFFN common stock Will/Inheritance $0 -817K -100% $0.00 0 28 Jul 2025 Trust 2 F5, F6
transaction CFFN CFFN common stock Will/Inheritance $0 -11.4K -100% $0.00 0 28 Jul 2025 Trust 1 F7, F8
transaction CFFN CFFN common stock Will/Inheritance $0 -467K -100% $0.00 0 28 Jul 2025 Trust 3 F9, F10
holding CFFN CFFN common stock 1.33M 28 Jul 2025 Direct
holding CFFN CFFN common stock 91.4K 28 Jul 2025 ESOP

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
holding CFFN CFFN Phantom Stock 2022 17.3K 28 Jul 2025 CFFN common stock 17.3K $8.65 Direct F11
holding CFFN CFFN Phantom Stock 2024 13.8K 28 Jul 2025 CFFN common stock 13.8K $5.91 Direct F11
holding CFFN CFFN Non-qualified Stock Option 100K 28 Jul 2025 CFFN common stock 100K $11.91 Direct F12
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Transaction reflects receipt by John B. Dicus GST Nonexempt Trust dated June 19, 2024 of distribution of 408,725 shares from John C. Dicus Marital Trust GST Nonexempt and 5,718 shares from John C. Dicus Marital Trust GST Exempt.
F2 John B. Dicus GST Nonexempt Trust dated June 19, 2024.
F3 Transaction reflects receipt by John B. Dicus Irrevocable Trust GST dated 12/12/2012 of distribution of 233,464 shares from John C. Dicus Family Trust.
F4 John B. Dicus Irrevocable Trust GST dated 12/12/2012.
F5 Transaction reflects distribution of shares by John C. Dicus Marital Trust GST Nonexempt to beneficiaries.
F6 John C. Dicus Marital Trust GST Nonexempt.
F7 Transaction reflects distribution of shares by John C. Dicus Marital Trust GST Exempt to beneficiaries.
F8 John C. Dicus Marital Trust GST Exempt.
F9 Transaction reflects distribution of shares by John C. Dicus Family Trust to beneficiaries.
F10 John C. Dicus Family Trust.
F11 The phantom stock units were acquired under the Issuer's Deferred Incentive Bonus Plan and are settled in cash three years from the date of acquisition.
F12 All options are vested.