Tara Van Houweling - Dec 31, 2021 Form 4 Insider Report for Capitol Federal Financial, Inc. (CFFN)

Role
Principal Accounting Officer
Signature
/s/ Kent G Townsend, under Power of Attorney
Stock symbol
CFFN
Transactions as of
Dec 31, 2021
Transactions value $
$2,855
Form type
4
Date filed
1/3/2022, 11:03 AM
Next filing
Jan 3, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CFFN CFFN common stock Options Exercise $18.8K +1.47K +7.92% $12.77 20K Dec 31, 2021 Direct F1
transaction CFFN CFFN common stock Disposed to Issuer -$16.7K -1.47K -7.34% $11.33 18.6K Dec 31, 2021 Direct F1
holding CFFN CFFN common stock 34.6K Dec 31, 2021 ESOP

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction CFFN CFFN Phantom Stock 2018 Options Exercise -$18.8K -1.47K -100% $12.77 0 Dec 31, 2021 CFFN common stock 1.47K $12.77 Direct F1, F2
transaction CFFN CFFN Phantom Stock 2021 Award $19.5K +1.72K $11.33 1.72K Dec 31, 2021 CFFN common stock 1.72K $11.33 Direct F2
holding CFFN CFFN Phantom Stock 2019 953 Dec 31, 2021 CFFN common stock 953 $13.73 Direct F2
holding CFFN CFFN Phantom Stock 2020 615 Dec 31, 2021 CFFN common stock 615 $12.50 Direct F2
holding CFFN CFFN Non-qualified Stock Option 6.42K Dec 31, 2021 CFFN common stock 6.42K $11.91 Direct F3
holding CFFN CFFN Incentive Stock Option 8.58K Dec 31, 2021 CFFN common stock 8.58K $11.91 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
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.