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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
 
 
XML Data rendering:  Statement of Changes in Beneficial Ownership of Securities by an Insider — wf-form4_157808402739969.xml/3.6
 
                                                                                                                                                                                
<?xml version="1.0" encoding="windows-1252"?>
<ownershipDocument>
<schemaVersion> X0306 </schemaVersion>
<documentType> 4 </documentType>
<periodOfReport> 2019-12-31 </periodOfReport>
<notSubjectToSection16> 0 </notSubjectToSection16>
<issuer>
<issuerCik> 0001490906 </issuerCik>
<issuerName> Capitol Federal Financial, Inc. </issuerName>
<issuerTradingSymbol> CFFN </issuerTradingSymbol>
</issuer>
<reportingOwner>
<reportingOwnerId>
<rptOwnerCik> 0001185016 </rptOwnerCik>
<rptOwnerName> DICUS JOHN B </rptOwnerName>
</reportingOwnerId>
<reportingOwnerAddress>
<rptOwnerStreet1> C/O CAPITOL FEDERAL FINANCIAL </rptOwnerStreet1>
<rptOwnerStreet2> 700 SOUTH KANSAS AVENUE </rptOwnerStreet2>
<rptOwnerCity> TOPEKA </rptOwnerCity>
<rptOwnerState> KS </rptOwnerState>
<rptOwnerZipCode> 66603 </rptOwnerZipCode>
<rptOwnerStateDescription></rptOwnerStateDescription>
</reportingOwnerAddress>
<reportingOwnerRelationship>
<isDirector> 1 </isDirector>
<isOfficer> 1 </isOfficer>
<isTenPercentOwner> 0 </isTenPercentOwner>
<isOther> 0 </isOther>
<officerTitle> Chairman and President </officerTitle>
<otherText></otherText>
</reportingOwnerRelationship>
</reportingOwner>
<nonDerivativeTable>
<nonDerivativeTransaction>
<securityTitle>
<value> CFFN common stock </value>
</securityTitle>
<transactionDate>
<value> 2019-12-31 </value>
</transactionDate>
<transactionCoding>
<transactionFormType> 4 </transactionFormType>
<transactionCode> M </transactionCode>
<equitySwapInvolved> 0 </equitySwapInvolved>
</transactionCoding>
<transactionAmounts>
<transactionShares>
<value> 9113 </value>
<footnoteId id="F1"/>
</transactionShares>
<transactionPricePerShare>
<value> 16.46 </value>
</transactionPricePerShare>
<transactionAcquiredDisposedCode>
<value> A </value>
</transactionAcquiredDisposedCode>
</transactionAmounts>
<postTransactionAmounts>
<sharesOwnedFollowingTransaction>
<value> 1298520 </value>
</sharesOwnedFollowingTransaction>
</postTransactionAmounts>
<ownershipNature>
<directOrIndirectOwnership>
<value> D </value>
</directOrIndirectOwnership>
</ownershipNature>
</nonDerivativeTransaction>
<nonDerivativeTransaction>
<securityTitle>
<value> CFFN common stock </value>
</securityTitle>
<transactionDate>
<value> 2019-12-31 </value>
</transactionDate>
<transactionCoding>
<transactionFormType> 4 </transactionFormType>
<transactionCode> D </transactionCode>
<equitySwapInvolved> 0 </equitySwapInvolved>
</transactionCoding>
<transactionAmounts>
<transactionShares>
<value> 9113 </value>
<footnoteId id="F1"/>
</transactionShares>
<transactionPricePerShare>
<value> 13.73 </value>
</transactionPricePerShare>
<transactionAcquiredDisposedCode>
<value> D </value>
</transactionAcquiredDisposedCode>
</transactionAmounts>
<postTransactionAmounts>
<sharesOwnedFollowingTransaction>
<value> 1289407 </value>
</sharesOwnedFollowingTransaction>
</postTransactionAmounts>
<ownershipNature>
<directOrIndirectOwnership>
<value> D </value>
</directOrIndirectOwnership>
</ownershipNature>
</nonDerivativeTransaction>
<nonDerivativeHolding>
<securityTitle>
<value> CFFN common stock </value>
</securityTitle>
<postTransactionAmounts>
<sharesOwnedFollowingTransaction>
<value> 84557 </value>
</sharesOwnedFollowingTransaction>
</postTransactionAmounts>
<ownershipNature>
<directOrIndirectOwnership>
<value> I </value>
</directOrIndirectOwnership>
<natureOfOwnership>
<value> ESOP </value>
</natureOfOwnership>
</ownershipNature>
</nonDerivativeHolding>
<nonDerivativeHolding>
<securityTitle>
<value> CFFN common stock </value>
</securityTitle>
<postTransactionAmounts>
<sharesOwnedFollowingTransaction>
<value> 226 </value>
</sharesOwnedFollowingTransaction>
</postTransactionAmounts>
<ownershipNature>
<directOrIndirectOwnership>
<value> I </value>
</directOrIndirectOwnership>
<natureOfOwnership>
<value> Spouse for Child 1 </value>
</natureOfOwnership>
</ownershipNature>
</nonDerivativeHolding>
<nonDerivativeHolding>
<securityTitle>
<value> CFFN common stock </value>
</securityTitle>
<postTransactionAmounts>
<sharesOwnedFollowingTransaction>
<value> 226 </value>
</sharesOwnedFollowingTransaction>
</postTransactionAmounts>
<ownershipNature>
<directOrIndirectOwnership>
<value> I </value>
</directOrIndirectOwnership>
<natureOfOwnership>
<value> Spouse for Child 2 </value>
</natureOfOwnership>
</ownershipNature>
</nonDerivativeHolding>
<nonDerivativeHolding>
<securityTitle>
<value> CFFN common stock </value>
</securityTitle>
<postTransactionAmounts>
<sharesOwnedFollowingTransaction>
<value> 226 </value>
</sharesOwnedFollowingTransaction>
</postTransactionAmounts>
<ownershipNature>
<directOrIndirectOwnership>
<value> I </value>
</directOrIndirectOwnership>
<natureOfOwnership>
<value> Spouse for Child 3 </value>
</natureOfOwnership>
</ownershipNature>
</nonDerivativeHolding>
<nonDerivativeHolding>
<securityTitle>
<value> CFFN common stock </value>
</securityTitle>
<postTransactionAmounts>
<sharesOwnedFollowingTransaction>
<value> 6723 </value>
</sharesOwnedFollowingTransaction>
</postTransactionAmounts>
<ownershipNature>
<directOrIndirectOwnership>
<value> I </value>
</directOrIndirectOwnership>
<natureOfOwnership>
<value> By custodian for child 1 </value>
</natureOfOwnership>
</ownershipNature>
</nonDerivativeHolding>
<nonDerivativeHolding>
<securityTitle>
<value> CFFN common stock </value>
</securityTitle>
<postTransactionAmounts>
<sharesOwnedFollowingTransaction>
<value> 6791 </value>
</sharesOwnedFollowingTransaction>
</postTransactionAmounts>
<ownershipNature>
<directOrIndirectOwnership>
<value> I </value>
</directOrIndirectOwnership>
<natureOfOwnership>
<value> Custodian for Child 2 </value>
</natureOfOwnership>
</ownershipNature>
</nonDerivativeHolding>
<nonDerivativeHolding>
<securityTitle>
<value> CFFN common stock </value>
</securityTitle>
<postTransactionAmounts>
<sharesOwnedFollowingTransaction>
<value> 6791 </value>
</sharesOwnedFollowingTransaction>
</postTransactionAmounts>
<ownershipNature>
<directOrIndirectOwnership>
<value> I </value>
</directOrIndirectOwnership>
<natureOfOwnership>
<value> Custodian for Child 3 </value>
</natureOfOwnership>
</ownershipNature>
</nonDerivativeHolding>
</nonDerivativeTable>
<derivativeTable>
<derivativeTransaction>
<securityTitle>
<value> CFFN Phantom Stock 2016 </value>
</securityTitle>
<conversionOrExercisePrice>
<value> 16.46 </value>
</conversionOrExercisePrice>
<transactionDate>
<value> 2019-12-31 </value>
</transactionDate>
<transactionCoding>
<transactionFormType> 4 </transactionFormType>
<transactionCode> M </transactionCode>
<equitySwapInvolved> 0 </equitySwapInvolved>
</transactionCoding>
<transactionAmounts>
<transactionShares>
<value> 9113 </value>
<footnoteId id="F1"/>
</transactionShares>
<transactionPricePerShare>
<value> 16.46 </value>
</transactionPricePerShare>
<transactionAcquiredDisposedCode>
<value> D </value>
</transactionAcquiredDisposedCode>
</transactionAmounts>
<exerciseDate>
<value> 2019-12-31 </value>
</exerciseDate>
<expirationDate>
<value> 2019-12-31 </value>
</expirationDate>
<underlyingSecurity>
<underlyingSecurityTitle>
<value> CFFN common stock </value>
</underlyingSecurityTitle>
<underlyingSecurityShares>
<value> 9113.0 </value>
<footnoteId id="F2"/>
</underlyingSecurityShares>
</underlyingSecurity>
<postTransactionAmounts>
<sharesOwnedFollowingTransaction>
<value> 0 </value>
</sharesOwnedFollowingTransaction>
</postTransactionAmounts>
<ownershipNature>
<directOrIndirectOwnership>
<value> D </value>
</directOrIndirectOwnership>
</ownershipNature>
</derivativeTransaction>
<derivativeHolding>
<securityTitle>
<value> CFFN Phantom Stock 2017 </value>
</securityTitle>
<conversionOrExercisePrice>
<value> 13.41 </value>
</conversionOrExercisePrice>
<exerciseDate>
<value> 2020-12-31 </value>
</exerciseDate>
<expirationDate>
<value> 2020-12-31 </value>
</expirationDate>
<underlyingSecurity>
<underlyingSecurityTitle>
<value> CFFN common stock </value>
</underlyingSecurityTitle>
<underlyingSecurityShares>
<value> 11185.0 </value>
<footnoteId id="F2"/>
</underlyingSecurityShares>
</underlyingSecurity>
<postTransactionAmounts>
<sharesOwnedFollowingTransaction>
<value> 11185 </value>
</sharesOwnedFollowingTransaction>
</postTransactionAmounts>
<ownershipNature>
<directOrIndirectOwnership>
<value> D </value>
</directOrIndirectOwnership>
</ownershipNature>
</derivativeHolding>
<derivativeHolding>
<securityTitle>
<value> CFFN Phantom Stock 2018 </value>
</securityTitle>
<conversionOrExercisePrice>
<value> 12.77 </value>
</conversionOrExercisePrice>
<exerciseDate>
<value> 2021-12-31 </value>
</exerciseDate>
<expirationDate>
<value> 2021-12-31 </value>
</expirationDate>
<underlyingSecurity>
<underlyingSecurityTitle>
<value> CFFN commnon stock </value>
</underlyingSecurityTitle>
<underlyingSecurityShares>
<value> 11746.0 </value>
<footnoteId id="F2"/>
</underlyingSecurityShares>
</underlyingSecurity>
<postTransactionAmounts>
<sharesOwnedFollowingTransaction>
<value> 11746 </value>
</sharesOwnedFollowingTransaction>
</postTransactionAmounts>
<ownershipNature>
<directOrIndirectOwnership>
<value> D </value>
</directOrIndirectOwnership>
</ownershipNature>
</derivativeHolding>
<derivativeTransaction>
<securityTitle>
<value> CFFN Phantom Stock 2019 </value>
</securityTitle>
<conversionOrExercisePrice>
<value> 13.73 </value>
</conversionOrExercisePrice>
<transactionDate>
<value> 2019-12-31 </value>
</transactionDate>
<transactionCoding>
<transactionFormType> 4 </transactionFormType>
<transactionCode> A </transactionCode>
<equitySwapInvolved> 0 </equitySwapInvolved>
</transactionCoding>
<transactionAmounts>
<transactionShares>
<value> 10924 </value>
</transactionShares>
<transactionPricePerShare>
<value> 13.73 </value>
</transactionPricePerShare>
<transactionAcquiredDisposedCode>
<value> A </value>
</transactionAcquiredDisposedCode>
</transactionAmounts>
<exerciseDate>
<value> 2022-12-31 </value>
</exerciseDate>
<expirationDate>
<value> 2022-12-31 </value>
</expirationDate>
<underlyingSecurity>
<underlyingSecurityTitle>
<value> CFFN commnon stock </value>
</underlyingSecurityTitle>
<underlyingSecurityShares>
<value> 10924.0 </value>
<footnoteId id="F2"/>
</underlyingSecurityShares>
</underlyingSecurity>
<postTransactionAmounts>
<sharesOwnedFollowingTransaction>
<value> 10924 </value>
</sharesOwnedFollowingTransaction>
</postTransactionAmounts>
<ownershipNature>
<directOrIndirectOwnership>
<value> D </value>
</directOrIndirectOwnership>
</ownershipNature>
</derivativeTransaction>
<derivativeHolding>
<securityTitle>
<value> CFFN Incentive Stock Option </value>
</securityTitle>
<conversionOrExercisePrice>
<value> 11.91 </value>
</conversionOrExercisePrice>
<exerciseDate>
<footnoteId id="F3"/>
</exerciseDate>
<expirationDate>
<value> 2022-05-14 </value>
</expirationDate>
<underlyingSecurity>
<underlyingSecurityTitle>
<value> CFFN common stock </value>
</underlyingSecurityTitle>
<underlyingSecurityShares>
<value> 25188.0 </value>
</underlyingSecurityShares>
</underlyingSecurity>
<postTransactionAmounts>
<sharesOwnedFollowingTransaction>
<value> 25188 </value>
</sharesOwnedFollowingTransaction>
</postTransactionAmounts>
<ownershipNature>
<directOrIndirectOwnership>
<value> D </value>
</directOrIndirectOwnership>
</ownershipNature>
</derivativeHolding>
<derivativeHolding>
<securityTitle>
<value> CFFN Non-qualified Stock Option </value>
</securityTitle>
<conversionOrExercisePrice>
<value> 11.91 </value>
</conversionOrExercisePrice>
<exerciseDate>
<footnoteId id="F3"/>
</exerciseDate>
<expirationDate>
<value> 2027-05-14 </value>
</expirationDate>
<underlyingSecurity>
<underlyingSecurityTitle>
<value> CFFN common stock </value>
</underlyingSecurityTitle>
<underlyingSecurityShares>
<value> 100116.0 </value>
</underlyingSecurityShares>
</underlyingSecurity>
<postTransactionAmounts>
<sharesOwnedFollowingTransaction>
<value> 100116 </value>
</sharesOwnedFollowingTransaction>
</postTransactionAmounts>
<ownershipNature>
<directOrIndirectOwnership>
<value> D </value>
</directOrIndirectOwnership>
</ownershipNature>
</derivativeHolding>
</derivativeTable>
<footnotes>
<footnote id="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>
<footnote id="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>
<footnote id="F3"> All options are vested. </footnote>
</footnotes>
<remarks></remarks>
<ownerSignature>
<signatureName> /s/ Cara J Puglisi, under the Power of Attorney </signatureName>
<signatureDate> 2020-01-03 </signatureDate>
</ownerSignature>
</ownershipDocument>


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Filing Submission 0001490906-20-000020   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)
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