Sec Form 4 Filing - Jackson Rick C @ Capitol Federal Financial, Inc. - 2019-12-31

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
Jackson Rick C
2. Issuer Name and Ticker or Trading Symbol
Capitol Federal Financial, Inc. [ CFFN]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
X __ Officer (give title below) _____ Other (specify below)
Executive Vice President
(Last) (First) (Middle)
CAPITOL FEDERAL FINANCIAL, 700 SOUTH KANSAS AVENUE, SUITE 517
3. Date of Earliest Transaction (MM/DD/YY)
12/31/2019
(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 commnon stock 12/31/2019 M 2,940 ( 1 ) A $ 16.46 132,078 D
CFFN commnon stock 12/31/2019 D 2,940 ( 1 ) D $ 13.73 129,138 D
CFFN common stock 10,044 I ESOP
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 M 2,940 ( 1 ) 12/31/2019 12/31/2019 CFFN common stock 2,940 ( 2 ) $ 16.46 0 D
CFFN Phantom Stock 2017 $ 13.41 12/31/2020 12/31/2020 CFFN common stock 3,979 ( 2 ) 3,979 D
CFFN Phantom Stock 2018 $ 12.77 12/31/2021 12/31/2021 CFFN commnon stock 4,546 ( 2 ) 4,546 D
CFFN Phantom Stock 2019 $ 13.73 12/31/2019 A 2,976 12/31/2022 12/31/2022 CFFN commnon stock 2,976 ( 2 ) $ 13.73 2,976 D
CFFN Incentive Stock Option $ 14.43 ( 3 ) 01/26/2020 CFFN common stock 34,630 34,630 D
CFFN Non-qualified Stock Option $ 14.43 ( 3 ) 01/26/2025 CFFN common stock 55,910 55,910 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Jackson Rick C
CAPITOL FEDERAL FINANCIAL
700 SOUTH KANSAS AVENUE, SUITE 517
TOPEKA, KS66603
Executive Vice President
Signatures
/s/ Cara J Puglisi, under the Power of Attorney 01/03/2020
Signature of Reporting Person Date
Explanation of Responses:
( 1 )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.
( 2 )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.
( 3 )All options are vested and exercisable.

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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