Van Houweling Tara 4

4 · Capitol Federal Financial, Inc. · Filed Jan 4, 2021

Form 4

Period: 2020-12-31

Principal Accounting Officer

Transactions

Exercise/Conversion
CFFN commnon stock
[F1]
2020-12-31$13.41/sh+1,257$16,856→ 19,822 total
Disposition to Issuer
CFFN commnon stock
[F1]
2020-12-31$12.50/sh−1,257$15,713→ 18,565 total
Exercise/Conversion
CFFN Phantom Stock 2017
[F1][F2]
2020-12-31$13.41/sh−1,257$16,856→ 0 total
Exercise: $13.41From: 2020-12-31Exp: 2020-12-31→ CFFN common stock (1,257 underlying)
Award
CFFN Phantom Stock 2020
[F2]
2020-12-31$12.50/sh+615$7,688→ 615 total
Exercise: $12.50From: 2023-12-31Exp: 2023-12-31→ CFFN common stock (615 underlying)

Holdings

CFFN common stock
(indirect: ESOP)
33,746
CFFN Phantom Stock 2018
[F2]
Exercise: $12.77From: 2021-12-31Exp: 2021-12-31→ CFFN commnon stock (1,471 underlying)
1,471
CFFN Phantom Stock 2019
[F2]
Exercise: $13.73From: 2022-12-31Exp: 2022-12-31→ CFFN commnon stock (953 underlying)
953
CFFN Non-qualified Stock Option
[F3]
Exercise: $11.91Exp: 2027-05-14→ CFFN common stock (6,416 underlying)
6,416
CFFN Incentive Stock Option
[F3]
Exercise: $11.91Exp: 2022-05-14→ CFFN common stock (8,584 underlying)
8,584

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.

Signature

/s/ Cara J Puglisi, under Power of Attorney|2021-01-04

Documents

1 file