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Section 1: 4/A (FORM 4/A)

Ownership Submission
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 OF SECURITIES

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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(Print or Type Responses)
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 (Month/Day/Year)
01/02/2019
(Street)

TOPEKA, KS 66603
4. If Amendment, Date Original Filed (Month/Day/Year)
01/08/2019
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 (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 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 phantom stock 2015 01/02/2019   M   11,427 A $12.56 1,292,438 D  
CFFN phantom stock 2015 01/02/2019   D   11,427 D $12.77 1,281,011 D  
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

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. SEC 1474 (9-02)

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 (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 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
(Month/Day/Year)
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 01/02/2019   A   11,746   01/02/2022(1) 01/02/2022 CFFN commnon stock 11,746 $12.77 11,746 D  
CFFN Incentive Stock Option $11.91               (2) 05/14/2022 CFFN common stock 33,584   33,584 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, KS 66603
  X     Chairman and President  

Signatures

 Cara J Puglisi, Power of Attorney   01/08/2019
**Signature of Reporting Person Date

Explanation of Responses:

* 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).
(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.

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number. (Back To Top)