Filing Details
- Accession Number:
- 0001482480-23-000004
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2023-05-22 16:39:19
- Reporting Period:
- 2023-05-19
- Accepted Time:
- 2023-05-22 16:39:19
- 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 |
|---|---|---|---|---|---|---|---|
| 1482480 | C Rick Jackson | C/O Capitol Federal Financial, Inc. 700 South Kansas Avenue Topeka KS 66603 | Executive Vice President | No | 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 | 2023-05-19 | 1,800 | $5.76 | 148,438 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Cffn Common Stock | 18,164 | Indirect | ESOP |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Cffn Common Stock | CFFN Phantom Stock 2020 | $12.50 | 2023-12-31 | 2023-12-31 | 1,919 | 1,919 | Direct |
| Cffn Common Stock | CFFN Phantom Stock 2021 | $11.33 | 2024-12-31 | 2024-12-31 | 5,435 | 5,435 | Direct |
| Cffn Common Stock | CFFN Phantom Stock 2022 | $8.65 | 2025-12-31 | 2025-12-31 | 9,147 | 9,147 | Direct |
| Cffn Common Stock | CFFN Non-qualified Stock Option | $14.43 | 2025-01-26 | 55,910 | 55,910 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2023-12-31 | 1,919 | 1,919 | Direct |
| 2024-12-31 | 5,435 | 5,435 | Direct |
| 2025-12-31 | 9,147 | 9,147 | Direct |
| 2025-01-26 | 55,910 | 55,910 | 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 and exercisable.
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