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

Role
Principal Accounting Officer
Signature
/s/ Kent G Townsend, under Power of Attorney
Issuer symbol
CFFN
Transactions as of
31 Dec 2021
Net transactions value
+$2,855
Form type
4
Filing time
03 Jan 2022, 11:03:51 UTC
Next filing
03 Jan 2023
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CFFN CFFN common stock Options Exercise $18,785 +1,471 +7.9% $12.77 20,036 31 Dec 2021 Direct F1
transaction CFFN CFFN common stock Disposed to Issuer $16,666 -1,471 -7.3% $11.33 18,565 31 Dec 2021 Direct F1
holding CFFN CFFN common stock 34,646 31 Dec 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 $18,785 -1,471 -100% $12.77 0 31 Dec 2021 CFFN common stock 1,471 $12.77 Direct F1, F2
transaction CFFN CFFN Phantom Stock 2021 Award $19,522 +1,723 $11.33 1,723 31 Dec 2021 CFFN common stock 1,723 $11.33 Direct F2
holding CFFN CFFN Phantom Stock 2019 953 31 Dec 2021 CFFN common stock 953 $13.73 Direct F2
holding CFFN CFFN Phantom Stock 2020 615 31 Dec 2021 CFFN common stock 615 $12.50 Direct F2
holding CFFN CFFN Non-qualified Stock Option 6,416 31 Dec 2021 CFFN common stock 6,416 $11.91 Direct F3
holding CFFN CFFN Incentive Stock Option 8,584 31 Dec 2021 CFFN common stock 8,584 $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.