Filing Details
- Accession Number:
- 0001490906-21-000042
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-06-09 13:17:52
- Reporting Period:
- 2021-06-08
- Accepted Time:
- 2021-06-09 13:17:52
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1490906 | Capitol Federal Financial Inc. | CFFN | () | 4 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1185016 | B John Dicus | C/O Capitol Federal Financial 700 South Kansas Avenue Topeka KS 66603 | Chairman, President And Ceo | Yes | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Cffn Common Stock | Acquisiton | 2021-06-08 | 25,188 | $11.91 | 1,314,595 | No | 4 | M | Direct | |
| Cffn Common Stock | Disposition | 2021-06-08 | 2,955 | $13.00 | 1,311,640 | No | 4 | S | Direct | |
| Cffn Common Stock | Disposition | 2021-06-08 | 100 | $13.01 | 1,311,540 | No | 4 | S | Direct | |
| Cffn Common Stock | Disposition | 2021-06-08 | 8,007 | $13.01 | 1,303,533 | No | 4 | S | Direct | |
| Cffn Common Stock | Disposition | 2021-06-08 | 3,533 | $13.02 | 1,300,000 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Cffn Common Stock | CFFN Incentive Stock Option | Disposition | 2021-06-08 | 25,188 | $11.91 | 25,188 | $11.91 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2022-05-14 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Cffn Common Stock | 85,862 | Indirect | ESOP |
| Cffn Common Stock | 226 | Indirect | Spouse for Child 1 |
| Cffn Common Stock | 226 | Indirect | Spouse for Child 2 |
| Cffn Common Stock | 226 | Indirect | Spouse for Child 3 |
| Cffn Common Stock | 6,723 | Indirect | By custodian for child 1 |
| Cffn Common Stock | 6,791 | Indirect | Custodian for Child 2 |
| Cffn Common Stock | 6,791 | Indirect | Custodian for Child 3 |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Cffn Commnon Stock | CFFN Phantom Stock 2018 | $12.77 | 2021-12-31 | 2021-12-31 | 11,746 | 11,746 | Direct |
| Cffn Commnon Stock | CFFN Phantom Stock 2019 | $13.73 | 2022-12-31 | 2022-12-31 | 10,924 | 10,924 | Direct |
| Cffn Common Stock | CFFN Phantom Stock 2020 | $12.50 | 2023-12-31 | 2023-12-31 | 7,093 | 7,093 | Direct |
| Cffn Common Stock | CFFN Non-qualified Stock Option | $11.91 | 2027-05-14 | 100,116 | 100,116 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2021-12-31 | 11,746 | 11,746 | Direct |
| 2022-12-31 | 10,924 | 10,924 | Direct |
| 2023-12-31 | 7,093 | 7,093 | Direct |
| 2027-05-14 | 100,116 | 100,116 | Direct |
Footnotes
- 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.
- All options are vested.
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