Lehman Daniel L. 4

4 · Capitol Federal Financial, Inc. · Filed Jan 3, 2020

Form 4

Period: 2019-12-31

Executive Vice President

Transactions

Exercise/Conversion
CFFN Phantom Stock 2016
2019-12-31$16.46/sh−971$15,983→ 0 total
Exercise: $16.46From: 2019-12-31Exp: 2019-12-31→ CFFN common stock (971 underlying)
Exercise/Conversion
CFFN common stock
2019-12-31$16.46/sh+971$15,983→ 11,560 total
Award
CFFN Phantom Stock 2019
2019-12-31$13.73/sh+2,546$34,957→ 2,546 total
Exercise: $13.73From: 2022-12-31Exp: 2022-12-31→ CFFN commnon stock (2,546 underlying)
Disposition to Issuer
CFFN common stock
2019-12-31$13.73/sh−971$13,332→ 10,589 total

Holdings

CFFN Phantom Stock 2017
Exercise: $13.41From: 2020-12-31Exp: 2020-12-31→ CFFN common stock (3,154 underlying)
3,154
CFFN commnon stock
(indirect: By IRA)
51,387
CFFN common stock
(indirect: ESOP)
4,249
CFFN Phantom Stock 2018
Exercise: $12.77From: 2021-12-31Exp: 2021-12-31→ CFFN common stock (3,798 underlying)
3,798

Footnotes (2)

[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 Issuer's Deferred Incentive Bonus Plan and are settled in cash three years from the date of acquisition.

Documents

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