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Dicus John B – ‘4’ for 12/31/19 re: Capitol Federal Financial, Inc.

On:  Friday, 1/3/20, at 3:40pm ET   ·   For:  12/31/19   ·   Accession #:  1490906-20-20   ·   File #:  1-34814

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

 1/03/20  Dicus John B                      4                      1:15K  Capitol Federal Financial, Inc.   Capitol Fed’l Fin’l, 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      3K 
                Securities by an Insider --                                      
                wf-form4_157808402739969.xml/3.6


        

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
 
 
Plain Text rendering:  Statement of Changes in Beneficial Ownership of Securities by an Insider — wf-form4_157808402739969.xml/3.6
 
                                                                                                                                                                                
Ownership Document
 
Schema Version:  X0306
Document Type:  4
Period of Report:  12/31/19
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
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 and President
Other Text:
Non-Derivative Table:
Non-Derivative Transaction:
Security Title:
Value:  CFFN common stock
Transaction Date:
Value:  12/31/19
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  M
Equity Swap Involved?  No
Transaction Amounts:
Transaction Shares:
Value:  9,113
Footnote ID:  F1
Transaction Price Per Share:
Value:  16.46
Transaction Acquired-Disposed Code:
Value:  A
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  1,298,520
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Non-Derivative Transaction:
Security Title:
Value:  CFFN common stock
Transaction Date:
Value:  12/31/19
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  D
Equity Swap Involved?  No
Transaction Amounts:
Transaction Shares:
Value:  9,113
Footnote ID:  F1
Transaction Price Per Share:
Value:  13.73
Transaction Acquired-Disposed Code:
Value:  D
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  1,289,407
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:  84,557
Ownership Nature:
Direct or Indirect Ownership:
Value:  I
Nature of Ownership:
Value:  ESOP
Non-Derivative Holding:
Security Title:
Value:  CFFN common stock
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  226
Ownership Nature:
Direct or Indirect Ownership:
Value:  I
Nature of Ownership:
Value:  Spouse for Child 1
Non-Derivative Holding:
Security Title:
Value:  CFFN common stock
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  226
Ownership Nature:
Direct or Indirect Ownership:
Value:  I
Nature of Ownership:
Value:  Spouse for Child 2
Non-Derivative Holding:
Security Title:
Value:  CFFN common stock
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  226
Ownership Nature:
Direct or Indirect Ownership:
Value:  I
Nature of Ownership:
Value:  Spouse for Child 3
Non-Derivative Holding:
Security Title:
Value:  CFFN common stock
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  6,723
Ownership Nature:
Direct or Indirect Ownership:
Value:  I
Nature of Ownership:
Value:  By custodian for child 1
Non-Derivative Holding:
Security Title:
Value:  CFFN common stock
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  6,791
Ownership Nature:
Direct or Indirect Ownership:
Value:  I
Nature of Ownership:
Value:  Custodian for Child 2
Non-Derivative Holding:
Security Title:
Value:  CFFN common stock
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  6,791
Ownership Nature:
Direct or Indirect Ownership:
Value:  I
Nature of Ownership:
Value:  Custodian for Child 3
Derivative Table:
Derivative Transaction:
Security Title:
Value:  CFFN Phantom Stock 2016
Conversion or Exercise Price:
Value:  16.46
Transaction Date:
Value:  12/31/19
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  M
Equity Swap Involved?  No
Transaction Amounts:
Transaction Shares:
Value:  9,113
Footnote ID:  F1
Transaction Price Per Share:
Value:  16.46
Transaction Acquired-Disposed Code:
Value:  D
Exercise Date:
Value:  12/31/19
Expiration Date:
Value:  12/31/19
Underlying Security:
Underlying Security Title:
Value:  CFFN common stock
Underlying Security Shares:
Value:  9,113.0
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 2017
Conversion or Exercise Price:
Value:  13.41
Exercise Date:
Value:  12/31/20
Expiration Date:
Value:  12/31/20
Underlying Security:
Underlying Security Title:
Value:  CFFN common stock
Underlying Security Shares:
Value:  11,185.0
Footnote ID:  F2
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  11,185
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Derivative Holding:
Security Title:
Value:  CFFN Phantom Stock 2018
Conversion or Exercise Price:
Value:  12.77
Exercise Date:
Value:  12/31/21
Expiration Date:
Value:  12/31/21
Underlying Security:
Underlying Security Title:
Value:  CFFN commnon stock
Underlying Security Shares:
Value:  11,746.0
Footnote ID:  F2
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  11,746
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Derivative Transaction:
Security Title:
Value:  CFFN Phantom Stock 2019
Conversion or Exercise Price:
Value:  13.73
Transaction Date:
Value:  12/31/19
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  A
Equity Swap Involved?  No
Transaction Amounts:
Transaction Shares:
Value:  10,924
Transaction Price Per Share:
Value:  13.73
Transaction Acquired-Disposed Code:
Value:  A
Exercise Date:
Value:  12/31/22
Expiration Date:
Value:  12/31/22
Underlying Security:
Underlying Security Title:
Value:  CFFN commnon stock
Underlying Security Shares:
Value:  10,924.0
Footnote ID:  F2
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  10,924
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Derivative Holding:
Security Title:
Value:  CFFN Incentive Stock Option
Conversion or Exercise Price:
Value:  11.91
Exercise Date:
Footnote ID:  F3
Expiration Date:
Value:  5/14/22
Underlying Security:
Underlying Security Title:
Value:  CFFN common stock
Underlying Security Shares:
Value:  25,188.0
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  25,188
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:  100,116.0
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/ Cara J Puglisi, under the Power of Attorney
Signature Date:  1/3/20


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