Sec Form 4 Filing - DICUS JOHN B @ Capitol Federal Financial, Inc. - 2019-06-06

Insider filing report for Changes in Beneficial Ownership
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FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
DICUS JOHN B
2. Issuer Name and Ticker or Trading Symbol
Capitol Federal Financial, Inc. [ CFFN]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X __ Director _____ 10% Owner
X __ Officer (give title below) _____ Other (specify below)
Chairman and President
(Last) (First) (Middle)
C/O CAPITOL FEDERAL FINANCIAL, 700 SOUTH KANSAS AVENUE
3. Date of Earliest Transaction (MM/DD/YY)
06/06/2019
(Street)
TOPEKA, KS66603
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
CFFN common stock 83,244 I ESOP
CFFN common stock 226 I Spouse for Child 1
CFFN common stock 226 I Spouse for Child 2
CFFN common stock 226 I Spouse for Child 3
CFFN common stock 6,723 I By custodian for child 1
CFFN common stock 6,791 I Custodian for Child 2
CFFN common stock 6,791 I Custodian for Child 3
CFFN common stock 06/06/2019 M 8,396 A $ 11.91 1,289,407 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4, and 5)
6. Date Exercisable and Expiration Date
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 4)
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
11. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
CFFN Phantom Stock 2016 $ 16.46 12/31/2019( 1 ) 12/31/2019 CFFN common stock 9,113 9,113 D
CFFN Phantom Stock 2017 $ 13.41 01/02/2021( 1 ) 01/02/2021 CFFN common stock 11,185 11,185 D
CFFN Phantom Stock 2018 $ 12.77 01/02/2022 01/02/2022 CFFN commnon stock 11,746 11,746 D
CFFN Incentive Stock Option $ 11.91 06/06/2019 M 8,396 ( 2 ) 05/14/2022 CFFN common stock 8,396 $ 11.91 25,188 D
CFFN Non-qualified Stock Option $ 11.91 ( 2 ) 05/14/2027 CFFN common stock 100,116 100,116 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
DICUS JOHN B
C/O CAPITOL FEDERAL FINANCIAL
700 SOUTH KANSAS AVENUE
TOPEKA, KS66603
X Chairman and President
Signatures
Cara J Puglisi, Power of Attorney 06/06/2019
Signature of Reporting Person Date
Explanation of Responses:
( 1 )Phantom stock units are acquired under the Company's Deferred Incentive Bonus Plan. The units are deemed sold and settled in cash three years from date of acquisition.
( 2 )All options are vested.

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

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