Van Houweling Tara 4

4 · Capitol Federal Financial, Inc. · Filed Jan 3, 2023

Form 4

Period: 2022-12-31

Principal Accounting Officer

Transactions

Exercise/Conversion
CFFN common stock
2022-12-31$13.73/sh+953$13,085→ 19,518 total
Exercise/Conversion
CFFN Phantom Stock 2019
2022-12-31$13.73/sh−953$13,085→ 0 total
Exercise: $13.73From: 2022-12-31Exp: 2022-12-31→ CFFN common stock (953 underlying)
Disposition to Issuer
CFFN common stock
2022-12-31$8.65/sh−953$8,243→ 18,565 total
Award
CFFN Phantom Stock 2022
2022-12-31$8.65/sh+2,825$24,436→ 2,825 total
Exercise: $8.65From: 2025-12-31Exp: 2025-12-31→ CFFN common stock (2,825 underlying)

Holdings

CFFN common stock
(indirect: ESOP)
38,692
CFFN Phantom Stock 2020
Exercise: $12.50From: 2023-12-31Exp: 2023-12-31→ CFFN common stock (615 underlying)
615
CFFN Phantom Stock 2021
Exercise: $11.33From: 2024-12-31Exp: 2024-12-31→ CFFN common stock (1,723 underlying)
1,723
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