John B. Dicus - 08 Jun 2021 Form 4 Insider Report for Capitol Federal Financial, Inc. (CFFN)

Reporting relationship: Chairman, President and CEO, Director
Issuer ticker: CFFN
Reported as of: 08 Jun 2021
Net transaction value: -$189,886
SEC form: 4
Accepted by SEC: 09 Jun 2021, 13:17:52 UTC
Next SEC filing: 03 Jan 2022
Source filing: View source filing
Reporting owner signature: /s/ Cara J Puglisi, under Power of Attorney

Filing notes and source

Key filing fact

John B. Dicus filed Form 4 for Capitol Federal Financial, Inc. (CFFN) on 09 Jun 2021.

Key facts

This page summarizes John B. Dicus's Form 4 filing for Capitol Federal Financial, Inc. (CFFN).
6 reported transactions and 5 derivative rows are listed below.
Accepted by SEC: 09 Jun 2021, 13:17.

Change

No earlier filing in this sequence is available for direct comparison.
Current net transaction value: -$189,886.

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: $299,989
Shares: +25,188
Change %: +2%
Price: $11.91
Shares after: 1,314,595
Date: 08 Jun 2021
Ownership: Direct

CFFN transaction

CFFN common stock

Sale

Transaction value: $38,415
Shares: -2,955
Change %: -0.22%
Price: $13.00
Shares after: 1,311,640
Date: 08 Jun 2021
Ownership: Direct

CFFN transaction

CFFN common stock

Sale

Transaction value: $1,300
Shares: -100
Change %: -0.01%
Price: $13.00
Shares after: 1,311,540
Date: 08 Jun 2021
Ownership: Direct

CFFN transaction

CFFN common stock

Sale

Transaction value: $104,171
Shares: -8,007
Change %: -0.61%
Price: $13.01
Shares after: 1,303,533
Date: 08 Jun 2021
Ownership: Direct

CFFN transaction

CFFN common stock

Sale

Transaction value: $46,000
Shares: -3,533
Change %: -0.27%
Price: $13.02
Shares after: 1,300,000
Date: 08 Jun 2021
Ownership: Direct

CFFN holding

CFFN common stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 85,862
Date: 08 Jun 2021
Ownership: ESOP

CFFN holding

CFFN common stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 226
Date: 08 Jun 2021
Ownership: Spouse for Child 1

CFFN holding

CFFN common stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 226
Date: 08 Jun 2021
Ownership: Spouse for Child 2

CFFN holding

CFFN common stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 226
Date: 08 Jun 2021
Ownership: Spouse for Child 3

CFFN holding

CFFN common stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 6,723
Date: 08 Jun 2021
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: 08 Jun 2021
Ownership: Custodian for Child 2

CFFN holding

CFFN common stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 6,791
Date: 08 Jun 2021
Ownership: Custodian for Child 3

Reported derivative securities

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

CFFN transaction Derivative

CFFN Incentive Stock Option

Options Exercise

Transaction value: $299,989
Shares: -25,188
Change %: -100%
Price: $11.91
Shares after: 0
Date: 08 Jun 2021
Ownership: Direct
Underlying class: CFFN common stock
Underlying amount: 25,188
Exercise price: $11.91
Footnotes: F2

CFFN holding Derivative

CFFN Phantom Stock 2018

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 11,746
Date: 08 Jun 2021
Ownership: Direct
Underlying class: CFFN commnon stock
Underlying amount: 11,746
Exercise price: $12.77
Footnotes: F1

CFFN holding Derivative

CFFN Phantom Stock 2019

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 10,924
Date: 08 Jun 2021
Ownership: Direct
Underlying class: CFFN commnon stock
Underlying amount: 10,924
Exercise price: $13.73
Footnotes: F1

CFFN holding Derivative

CFFN Phantom Stock 2020

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 7,093
Date: 08 Jun 2021
Ownership: Direct
Underlying class: CFFN common stock
Underlying amount: 7,093
Exercise price: $12.50
Footnotes: F1

CFFN holding Derivative

CFFN Non-qualified Stock Option

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 100,116
Date: 08 Jun 2021
Ownership: Direct
Underlying class: CFFN common stock
Underlying amount: 100,116
Exercise price: $11.91
Footnotes: F2

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

Additional SEC filing notes

Filing notes and footnotes

Explanation of responses 2 footnotes

Footnote 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.

Footnote F2

All options are vested.