John B. Dicus - Jun 8, 2021 Form 4 Insider Report for Capitol Federal Financial, Inc. (CFFN)

Role
Chairman, President and CEO, Director
Signature
/s/ Cara J Puglisi, under Power of Attorney
Stock symbol
CFFN
Transactions as of
Jun 8, 2021
Transactions value $
-$189,886
Form type
4
Date filed
6/9/2021, 01:17 PM
Next filing
Jan 3, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CFFN CFFN common stock Options Exercise $300K +25.2K +1.95% $11.91 1.31M Jun 8, 2021 Direct
transaction CFFN CFFN common stock Sale -$38.4K -2.96K -0.22% $13.00 1.31M Jun 8, 2021 Direct
transaction CFFN CFFN common stock Sale -$1.3K -100 -0.01% $13.01 1.31M Jun 8, 2021 Direct
transaction CFFN CFFN common stock Sale -$104K -8.01K -0.61% $13.01 1.3M Jun 8, 2021 Direct
transaction CFFN CFFN common stock Sale -$46K -3.53K -0.27% $13.02 1.3M Jun 8, 2021 Direct
holding CFFN CFFN common stock 85.9K Jun 8, 2021 ESOP
holding CFFN CFFN common stock 226 Jun 8, 2021 Spouse for Child 1
holding CFFN CFFN common stock 226 Jun 8, 2021 Spouse for Child 2
holding CFFN CFFN common stock 226 Jun 8, 2021 Spouse for Child 3
holding CFFN CFFN common stock 6.72K Jun 8, 2021 By custodian for child 1
holding CFFN CFFN common stock 6.79K Jun 8, 2021 Custodian for Child 2
holding CFFN CFFN common stock 6.79K Jun 8, 2021 Custodian for Child 3

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 Incentive Stock Option Options Exercise -$300K -25.2K -100% $11.91 0 Jun 8, 2021 CFFN common stock 25.2K $11.91 Direct F2
holding CFFN CFFN Phantom Stock 2018 11.7K Jun 8, 2021 CFFN commnon stock 11.7K $12.77 Direct F1
holding CFFN CFFN Phantom Stock 2019 10.9K Jun 8, 2021 CFFN commnon stock 10.9K $13.73 Direct F1
holding CFFN CFFN Phantom Stock 2020 7.09K Jun 8, 2021 CFFN common stock 7.09K $12.50 Direct F1
holding CFFN CFFN Non-qualified Stock Option 100K Jun 8, 2021 CFFN common stock 100K $11.91 Direct F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 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.
F2 All options are vested.