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4//SEC Filing

DICUS JOHN B 4

Accession 0001185016-25-000002

CIK 0001490906other
View on SEC.govCompany Profile

Filed

Jan 2, 7:00 PM ET

Accepted

Jan 3, 8:48 AM ET

Size

16.5 KB

Accession

0001185016-25-000002

Insider Transaction Report

Form 4
Period: 2024-12-31
Capitol Federal Financial, Inc.CFFN
DICUS JOHN B
DirectorChairman, President and CEO
Transactions
  • Award

    CFFN Phantom Stock 2024

    2024-12-31$5.91/sh+13,830$81,735→ 13,830 total
    Exercise: $5.91From: 2027-12-31Exp: 2027-12-31→ CFFN common stock (13,830 underlying)
  • Exercise/Conversion

    CFFN common stock

    2024-12-31$11.33/sh+13,239$149,998→ 1,346,591 total
  • Disposition to Issuer

    CFFN common stock

    2024-12-31$5.91/sh−13,239$78,242→ 1,333,352 total
  • Exercise/Conversion

    CFFN Phantom Stock 2021

    2024-12-31$11.33/sh−13,239$149,998→ 0 total
    Exercise: $11.33From: 2024-12-31Exp: 2024-12-31→ CFFN common stock (13,239 underlying)
Holdings

  • CFFN common stock

    (indirect: ESOP)
    91,429

  • CFFN Phantom Stock 2022

    Exercise: $8.65From: 2025-12-31Exp: 2025-12-31→ CFFN common stock (17,341 underlying)
    17,341

  • CFFN common stock

    (indirect: By Trust)
    11,437

  • CFFN common stock

    (indirect: By Trust)
    466,928

  • CFFN Non-qualified Stock Option

    Exercise: $11.91Exp: 2027-05-14→ CFFN common stock (100,116 underlying)
    100,116

  • CFFN common stock

    (indirect: By Trust)
    817,451
Footnotes (6)
  • [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.

Documents

1 file

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, 8:48 AM ET
Size
16.5 KB
View on SEC.gov