Van Houweling Tara 4

4 · Capitol Federal Financial, Inc. · Filed Jan 3, 2022

Form 4

Period: 2021-12-31

Principal Accounting Officer

Transactions

Exercise/Conversion
CFFN Phantom Stock 2018
2021-12-31$12.77/sh−1,471$18,785→ 0 total
Exercise: $12.77From: 2021-12-31Exp: 2021-12-31→ CFFN common stock (1,471 underlying)
Award
CFFN Phantom Stock 2021
2021-12-31$11.33/sh+1,723$19,522→ 1,723 total
Exercise: $11.33From: 2024-12-31Exp: 2024-12-31→ CFFN common stock (1,723 underlying)
Exercise/Conversion
CFFN common stock
2021-12-31$12.77/sh+1,471$18,785→ 20,036 total
Disposition to Issuer
CFFN common stock
2021-12-31$11.33/sh−1,471$16,666→ 18,565 total

Holdings

CFFN Incentive Stock Option
Exercise: $11.91Exp: 2022-05-14→ CFFN common stock (8,584 underlying)
8,584
CFFN common stock
(indirect: ESOP)
34,646
CFFN Phantom Stock 2020
Exercise: $12.50From: 2023-12-31Exp: 2023-12-31→ CFFN common stock (615 underlying)
615
CFFN Phantom Stock 2019
Exercise: $13.73From: 2022-12-31Exp: 2022-12-31→ CFFN common stock (953 underlying)
953
CFFN Non-qualified Stock Option
Exercise: $11.91Exp: 2027-05-14→ CFFN common stock (6,416 underlying)
6,416

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 have vested.

Documents

1 file