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Capitol Federal Financial, Inc.·4

Jan 3, 12:03 PM ET

Lehman Daniel L. 4

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

Insider Transaction Report

Form 4
Period: 2021-12-31
Capitol Federal Financial, Inc.CFFN
Lehman Daniel L.
Executive Vice President
Transactions
  • Exercise/Conversion

    CFFN common stock

    [F1]
    2021-12-31$12.77/sh+3,798$48,500→ 14,041 total
  • Disposition to Issuer

    CFFN common stock

    [F1]
    2021-12-31$11.33/sh−3,798$43,031→ 10,243 total
  • Exercise/Conversion

    CFFN Phantom Stock 2018

    [F1][F2]
    2021-12-31$12.77/sh−3,798$48,500→ 0 total
    Exercise: $12.77From: 2021-12-31Exp: 2021-12-31→ CFFN common stock (3,798 underlying)
  • Award

    CFFN Phantom Stock 2021

    [F2]
    2021-12-31$11.33/sh+4,747$53,784→ 4,747 total
    Exercise: $11.33From: 2024-12-31Exp: 2024-12-31→ CFFN common stock (4,747 underlying)
Holdings

  • CFFN common stock

    (indirect: By IRA)
    51,387

  • CFFN common stock

    (indirect: ESOP)
    7,670

  • CFFN Phantom Stock 2019

    [F2]
    Exercise: $13.73From: 2022-12-31Exp: 2022-12-31→ CFFN common stock (2,546 underlying)
    2,546

  • CFFN Phantom Stock 2020

    [F2]
    Exercise: $12.50From: 2023-12-31Exp: 2023-12-31→ CFFN common stock (1,687 underlying)
    1,687
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 Issuers Deferred Incentive Bonus Plan and are settled in cash three years from the date of acquisition.
Signature
/s/ Kent G Townsend, under Power of Attorney|2022-01-03

Documents

1 file
  • 4
    wf-form4_164122937721448.xmlPrimary

    FORM 4