John B. Dicus - 31 Dec 2022 Form 4 Insider Report for Capitol Federal Financial, Inc. (CFFN)

Reporting relationship: Chairman, President and CEO, Director
Issuer ticker: CFFN
Reported as of: 31 Dec 2022
Net transaction value: +$55,507
SEC form: 4
Accepted by SEC: 03 Jan 2023, 09:57:38 UTC
Prior SEC filing: 03 Jan 2022
Next SEC filing: 02 Jan 2024
Source filing: View source filing
Reporting owner signature: /s/ Kent G. Townsend, under Power of Attorney

Key filing fact

John B. Dicus filed Form 4 for Capitol Federal Financial, Inc. (CFFN) on 03 Jan 2023.

Key facts

This page summarizes John B. Dicus's Form 4 filing for Capitol Federal Financial, Inc. (CFFN).
4 reported transactions and 5 derivative rows are listed below.
Accepted by SEC: 03 Jan 2023, 09:57.

Change

Previous filing in this sequence was filed on 03 Jan 2022.
Current net transaction value: +$55,507.

Research use

This tells you what this filing adds before you inspect full transaction and derivative tables.
You can trace every row back to the original SEC filing document.

Evidence

Filed on Form 4

Ownership activity is grounded in SEC Form 4 disclosures.

View source filing

Reported non-derivative transactions

Shares, units, or other non-derivative securities reported in this filing.

CFFN transaction

CFFN common stock

Options Exercise

Transaction value: $149,987
Shares: +10,924
Change %: +0.84%
Price: $13.73
Shares after: 1,310,924
Date: 31 Dec 2022
Ownership: Direct
Footnotes: F1

CFFN transaction

CFFN common stock

Disposed to Issuer

Transaction value: $94,493
Shares: -10,924
Change %: -0.83%
Price: $8.65
Shares after: 1,300,000
Date: 31 Dec 2022
Ownership: Direct
Footnotes: F1

CFFN holding

CFFN common stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 88,297
Date: 31 Dec 2022
Ownership: ESOP

CFFN holding

CFFN common stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 226
Date: 31 Dec 2022
Ownership: Spouse for Child 1

CFFN holding

CFFN common stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 226
Date: 31 Dec 2022
Ownership: Spouse for Child 2

CFFN holding

CFFN common stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 226
Date: 31 Dec 2022
Ownership: Spouse for Child 3

CFFN holding

CFFN common stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 6,723
Date: 31 Dec 2022
Ownership: By custodian for child 1

CFFN holding

CFFN common stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 6,791
Date: 31 Dec 2022
Ownership: Custodian for Child 2

CFFN holding

CFFN common stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 6,791
Date: 31 Dec 2022
Ownership: Custodian for Child 3

Reported derivative securities

Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.

CFFN transaction Derivative

CFFN Phantom Stock 2019

Options Exercise

Transaction value: $149,987
Shares: -10,924
Change %: -100%
Price: $13.73
Shares after: 0
Date: 31 Dec 2022
Ownership: Direct
Underlying class: CFFN common stock
Underlying amount: 10,924
Exercise price: $13.73
Footnotes: F1, F2

CFFN transaction Derivative

CFFN Phantom Stock 2022

Award

Transaction value: $150,000
Shares: +17,341
Change %
Price: $8.65
Shares after: 17,341
Date: 31 Dec 2022
Ownership: Direct
Underlying class: CFFN common stock
Underlying amount: 17,341
Exercise price: $8.65
Footnotes: F2

CFFN holding Derivative

CFFN Phantom Stock 2020

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 7,093
Date: 31 Dec 2022
Ownership: Direct
Underlying class: CFFN common stock
Underlying amount: 7,093
Exercise price: $12.50
Footnotes: F2

CFFN holding Derivative

CFFN Phantom Stock 2021

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 13,239
Date: 31 Dec 2022
Ownership: Direct
Underlying class: CFFN common stock
Underlying amount: 13,239
Exercise price: $11.33
Footnotes: F2

CFFN holding Derivative

CFFN Non-qualified Stock Option

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 100,116
Date: 31 Dec 2022
Ownership: Direct
Underlying class: CFFN common stock
Underlying amount: 100,116
Exercise price: $11.91
Footnotes: F3

^* marks a reported price that did not pass the local price check.

Additional SEC filing notes

Filing notes and footnotes

Explanation of responses 3 footnotes

Footnote 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.

Footnote 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.

Footnote F3

All options are vested.