Jackson Rick C 4

4 · Capitol Federal Financial, Inc. · Filed Jan 2, 2024

Form 4

Period: 2023-12-31

Executive Vice President

Transactions

Exercise/Conversion
CFFN Phantom Stock 2020
2023-12-31$12.50/sh−1,919$23,988→ 0 total
Exercise: $12.50From: 2023-12-31Exp: 2023-12-31→ CFFN common stock (1,919 underlying)
Exercise/Conversion
CFFN common stock
2023-12-31$12.50/sh+1,919$23,988→ 170,357 total
Disposition to Issuer
CFFN common stock
2023-12-31$6.45/sh−1,919$12,378→ 168,438 total

Holdings

CFFN Phantom Stock 2021
Exercise: $11.33From: 2024-12-31Exp: 2024-12-31→ CFFN common stock (5,435 underlying)
5,435
CFFN common stock
(indirect: ESOP)
20,498
CFFN Phantom Stock 2022
Exercise: $8.65From: 2025-12-31Exp: 2025-12-31→ CFFN common stock (9,147 underlying)
9,147
CFFN Non-qualified Stock Option
Exercise: $14.43Exp: 2025-01-26→ CFFN common stock (55,910 underlying)
55,910

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 and exercisable.

Documents

1 file