Rick C. Jackson - 31 Dec 2021 Form 4 Insider Report for Capitol Federal Financial, Inc. (CFFN)

Role
Executive Vice President
Signature
/s/ Kent G Townsend, under Power of Attorney
Issuer symbol
CFFN
Transactions as of
31 Dec 2021
Net transactions value
+$10,072
Form type
4
Filing time
03 Jan 2022, 11:00:45 UTC
Next filing
08 Sep 2022
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 $58,052 +4,546 +3.5% $12.77 133,684 31 Dec 2021 Direct F1
transaction CFFN CFFN common stock Disposed to Issuer $51,506 -4,546 -3.4% $11.33 129,138 31 Dec 2021 Direct F1
holding CFFN CFFN common stock 15,195 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 $58,052 -4,546 -100% $12.77 0 31 Dec 2021 CFFN common stock 4,546 $12.77 Direct F1, F2
transaction CFFN CFFN Phantom Stock 2021 Award $61,579 +5,435 $11.33 5,435 31 Dec 2021 CFFN common stock 5,435 $11.33 Direct F2
holding CFFN CFFN Phantom Stock 2019 2,976 31 Dec 2021 CFFN common stock 2,976 $13.73 Direct F2
holding CFFN CFFN Phantom Stock 2020 1,919 31 Dec 2021 CFFN common stock 1,919 $12.50 Direct F2
holding CFFN CFFN Non-qualified Stock Option 55,910 31 Dec 2021 CFFN common stock 55,910 $14.43 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 are vested and exercisable