SEC Info℠  
    Home      Search      My Interests      Help      Sign In      Please Sign In

Dicus John B – ‘4’ for 12/31/23 re: Capitol Federal Financial, Inc.

On:  Tuesday, 1/2/24, at 1:45pm ET   ·   For:  12/31/23   ·   As:  Director and Officer   ·   Accession #:  1185016-24-2   ·   File #:  1-34814

Previous ‘4’:  ‘4’ on 1/3/23 for 12/31/22   ·   Latest ‘4’:  This Filing

Find Words in Filings emoji
 		  in    Show  and   ↓Hints

  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer

 1/02/24  Dicus John B                      4          Dir.,Off.   1:10K  Capitol Federal Financial, Inc.

Statement of Changes in Beneficial Ownership of Securities by an Insider   —   Form 4   —   SEA’34

Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 4           Statement of Changes in Beneficial Ownership of     HTML     10K 
                Securities by an Insider --                                      
                wk-form4_1704221137.xml/5.8


        

This ‘4’ Document is an XML Data File that may be rendered in various formats:

  Form 4    –   Plain Text   –  SEC Website  –  EDGAR System  –    XML Data    –  <?xml?> File
 
 
SEC Info℠ rendering:  Statement of Changes in Beneficial Ownership of Securities by an Insider — wk-form4_1704221137.xml/5.8
 

The SEC has not released XSLT Stylesheets needed to render this File’s XML Data as a Form.

This is our “Plain Text” rendering:
 
                                                                                                                                                                                
Ownership Document
 
Schema Version:  X0508
Document Type:  4
Period of Report:  12/31/23
Not Subject to Section 16:  0
Issuer:
Issuer CIK:  1490906
Issuer Name:  Capitol Federal Financial, Inc.
Issuer Trading Symbol:  CFFN
Reporting Owner:
Reporting Owner ID:
Owner CIK:  1185016
Owner Name:  DICUS JOHN B
Reporting Owner Address:
Owner Street 1:  C/O CAPITOL FEDERAL FINANCIAL, INC.
Owner Street 2:  700 SOUTH KANSAS AVENUE
Owner City:  TOPEKA
Owner State:  KS
Owner ZIP Code:  66603
Owner State Description:
Reporting Owner Relationship:
Is Director?  Yes
Is Officer?  Yes
Is Ten Percent Owner?  No
Is Other?  No
Officer Title:  Chairman, President and CEO
Aff 10b5 One:  0
Non-Derivative Table:
Non-Derivative Transaction:
Security Title:
Value:  CFFN common stock
Transaction Date:
Value:  12/31/23
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  M
Equity Swap Involved?  No
Transaction Amounts:
Transaction Shares:
Value:  7,093
Footnote ID:  F1
Transaction Price Per Share:
Value:  12.50
Transaction Acquired-Disposed Code:
Value:  A
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  1,307,093
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Non-Derivative Transaction:
Security Title:
Value:  CFFN common stock
Transaction Date:
Value:  12/31/23
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  D
Equity Swap Involved?  No
Transaction Amounts:
Transaction Shares:
Value:  7,093
Footnote ID:  F1
Transaction Price Per Share:
Value:  6.45
Transaction Acquired-Disposed Code:
Value:  D
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  1,300,000
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Non-Derivative Holding:
Security Title:
Value:  CFFN common stock
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  89,789
Ownership Nature:
Direct or Indirect Ownership:
Value:  I
Nature of Ownership:
Value:  ESOP
Derivative Table:
Derivative Transaction:
Security Title:
Value:  CFFN Phantom Stock 2020
Conversion or Exercise Price:
Value:  12.50
Transaction Date:
Value:  12/31/23
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  M
Equity Swap Involved?  No
Transaction Amounts:
Transaction Shares:
Value:  7,093
Footnote ID:  F1
Transaction Price Per Share:
Value:  12.50
Transaction Acquired-Disposed Code:
Value:  D
Exercise Date:
Value:  12/31/23
Expiration Date:
Value:  12/31/23
Underlying Security:
Underlying Security Title:
Value:  CFFN common stock
Underlying Security Shares:
Value:  7,093
Footnote ID:  F2
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  0
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Derivative Holding:
Security Title:
Value:  CFFN Phantom Stock 2021
Conversion or Exercise Price:
Value:  11.33
Exercise Date:
Value:  12/31/24
Expiration Date:
Value:  12/31/24
Underlying Security:
Underlying Security Title:
Value:  CFFN common stock
Underlying Security Shares:
Value:  13,239
Footnote ID:  F2
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  13,239
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Derivative Holding:
Security Title:
Value:  CFFN Phantom Stock 2022
Conversion or Exercise Price:
Value:  8.65
Exercise Date:
Value:  12/31/25
Expiration Date:
Value:  12/31/25
Underlying Security:
Underlying Security Title:
Value:  CFFN common stock
Underlying Security Shares:
Value:  17,341
Footnote ID:  F2
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  17,341
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Derivative Holding:
Security Title:
Value:  CFFN Non-qualified Stock Option
Conversion or Exercise Price:
Value:  11.91
Exercise Date:
Footnote ID:  F3
Expiration Date:
Value:  5/14/27
Underlying Security:
Underlying Security Title:
Value:  CFFN common stock
Underlying Security Shares:
Value:  100,116
Footnote ID:  F2
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  100,116
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Footnotes:
Footnote - 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.
Footnote - 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.
Footnote - F3:  All options are vested.
Remarks:
Owner Signature:
Signature Name:  /s/ Kent G. Townsend, under Power of Attorney
Signature Date:  1/2/24


↑Top
Filing Submission 0001185016-24-000002   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)
Copyright © 2024 Fran Finnegan & Company LLC – All Rights Reserved.
About — Privacy — Redactions — Help — Sun., Apr. 28, 5:37:56.2am ET