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4//SEC Filing

DICUS JOHN B 4

Accession 0001185016-23-000002

CIK 0001490906other

View on SEC.gov Company Profile

Filed

Jan 2, 7:00 PM ET

Accepted

Jan 3, 10:57 AM ET

Size

19.4 KB

Accession

0001185016-23-000002

Insider Transaction Report

Form 4

Period: 2022-12-31

Capitol Federal Financial, Inc.CFFN

DirectorChairman, President and CEO

Transactions

Exercise/Conversion
CFFN common stock
2022-12-31$13.73/sh+10,924$149,987→ 1,310,924 total
Disposition to Issuer
CFFN common stock
2022-12-31$8.65/sh−10,924$94,493→ 1,300,000 total
Exercise/Conversion
CFFN Phantom Stock 2019
2022-12-31$13.73/sh−10,924$149,987→ 0 total
Exercise: $13.73From: 2022-12-31Exp: 2022-12-31→ CFFN common stock (10,924 underlying)
Award
CFFN Phantom Stock 2022
2022-12-31$8.65/sh+17,341$150,000→ 17,341 total
Exercise: $8.65From: 2025-12-31Exp: 2025-12-31→ CFFN common stock (17,341 underlying)

Holdings

CFFN common stock
(indirect: By Spouse)
226
CFFN common stock
(indirect: By Spouse)
226
CFFN common stock
(indirect: ESOP)
88,297
CFFN common stock
(indirect: By Children)
6,723
CFFN common stock
(indirect: By Children)
6,791
CFFN common stock
(indirect: By Children)
6,791
CFFN common stock
(indirect: By Spouse)
226
CFFN Phantom Stock 2021
Exercise: $11.33From: 2024-12-31Exp: 2024-12-31→ CFFN common stock (13,239 underlying)
13,239
CFFN Non-qualified Stock Option
Exercise: $11.91Exp: 2027-05-14→ CFFN common stock (100,116 underlying)
100,116
CFFN Phantom Stock 2020
Exercise: $12.50From: 2023-12-31Exp: 2023-12-31→ CFFN common stock (7,093 underlying)
7,093

Footnotes (3)

[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.

Documents

1 file

4
wf-form4_167276144406922.xmlPrimary
FORM 4

Issuer

Capitol Federal Financial, Inc.

CIK 0001490906

Entity typeother

Related Parties

1

filerCIK 0001185016

Filing Metadata

Form type: 4
Filed: Jan 2, 7:00 PM ET
Accepted: Jan 3, 10:57 AM ET
Size: 19.4 KB

View on SEC.gov