Capitol Federal Financial Files 8-K on Jan 23 Event, Confirms NASDAQ Listing

Ticker: CFFN · Form: 8-K · Filed: Jan 25, 2024 · CIK: 1490906

Capitol Federal Financial, INC. 8-K Filing Summary
FieldDetail
CompanyCapitol Federal Financial, INC. (CFFN)
Form Type8-K
Filed DateJan 25, 2024
Risk Levellow
Pages2
Reading Time3 min
Key Dollar Amounts$0.01
Sentimentneutral

Complexity: simple

Sentiment: neutral

Topics: regulation-fd, corporate-governance, compliance

TL;DR

**CFFN filed an 8-K for a Jan 23 event, confirming its NASDAQ listing and non-emerging growth status.**

AI Summary

Capitol Federal Financial, Inc. (CFFN) filed an 8-K on January 25, 2024, reporting an event that occurred on January 23, 2024, under Regulation FD Disclosure. This filing indicates that the company is not an emerging growth company and its Common Stock, par value $0.01 per share, is registered on The NASDAQ Stock Market LLC. This matters to investors as it confirms CFFN's status as an established public company and its compliance with disclosure requirements, providing transparency regarding its operations and financial health.

Why It Matters

This filing confirms Capitol Federal Financial's compliance with SEC disclosure rules and its status as a non-emerging growth company, which can influence investor perception of its stability and maturity.

Risk Assessment

Risk Level: low — This 8-K is a routine disclosure filing and does not indicate any specific new risks or material changes to the company's operations.

Analyst Insight

Investors should note this routine compliance filing as it provides basic company information and confirms its listing, but it does not contain new material information that would warrant immediate action.

Key Numbers

Key Players & Entities

FAQ

What was the date of the earliest event reported in this 8-K filing?

The date of the earliest event reported in this 8-K filing was January 23, 2024.

Under which specific items of Form 8-K was this report filed?

This report was filed under ITEM 7.01 (Regulation FD Disclosure) and ITEM 9.01 (Financial Statements and Exhibits).

What is the trading symbol for Capitol Federal Financial, Inc.'s Common Stock?

The trading symbol for Capitol Federal Financial, Inc.'s Common Stock is CFFN.

Is Capitol Federal Financial, Inc. considered an 'emerging growth company' according to this filing?

No, Capitol Federal Financial, Inc. is not considered an 'emerging growth company' as indicated by the unchecked box in the filing.

What is the state of incorporation for Capitol Federal Financial, Inc.?

Capitol Federal Financial, Inc. is incorporated in Maryland.

Filing Stats: 668 words · 3 min read · ~2 pages · Grade level 10.9 · Accepted 2024-01-25 13:37:47

Key Financial Figures

Filing Documents

07 SUBMISSION OF MATTERS TO A VOTE OF SECURITY HOLDERS

Item 5.07 SUBMISSION OF MATTERS TO A VOTE OF SECURITY HOLDERS Capitol Federal Financial, Inc. (the "Company") held its Annual Meeting of Stockholders on January 23, 2024 (the "Annual Meeting"). Holders of record of the Company's common stock at the close of business on December 1, 2023 were entitled to vote on three items at the Annual Meeting. Stockholders elected Morris J. Huey, II and Carlton A. Ricketts each to a three-year term as director. The stockholders approved, on an advisory basis, the compensation of the Company's named executive officers, as disclosed in the Company's proxy statement for the Annual Meeting (the "Say on Pay Vote"). The stockholders also ratified the appointment of Deloitte & Touche LLP as the Company's independent auditors for the fiscal year ending September 30, 2024. The final voting results of each item are set forth below. Number of Votes For Against Abstained Broker Non-Votes Proposal 1. Election of the following directors for the terms indicated: Morris J. Huey, II (three years) 77,515,506 24,139,188 248,286 11,127,334 Carlton A. Ricketts (three years) 57,233,322 44,395,278 274,380 11,127,334 The following directors had their term of office continue after the meeting: John B. Dicus James G. Morris Jeffrey R. Thompson Michel' Philipp Cole Michael T. McCoy, M.D. Jeffrey M. Johnson Number of Votes For Against Abstained Broker Non-Votes Proposal 2. Stockholder approval, on advisory basis, of executive compensation 96,784,710 4,436,413 663,535 11,145,656 Number of Votes For Against Abstained Broker Non-Votes Proposal 3. Ratification of Deloitte & Touche LLP as independent auditors 104,131,603 8,132,922 747,468 —

01 REGULATION FD DISCLOSURE

ITEM 7.01 REGULATION FD DISCLOSURE Attached hereto as Exhibit 99 and incorporated herein by reference are the slides from the Company's presentation at the Annual Meeting on January 23, 2024.

01 FINANCIAL STATEMENTS AND EXHIBITS

ITEM 9.01 FINANCIAL STATEMENTS AND EXHIBITS (d) Exhibits Exhibit 99 – Annual Meeting slide presentation Exhibit 104 – Cover page interactive data file (embedded within the Inline XBRL document)

SIGNATURES

SIGNATURES Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized. CAPITOL FEDERAL FINANCIAL, INC. Date: January 25, 2024 By: /s/ Kent G. Townsend Kent G. Townsend, Executive Vice-President, Chief Financial Officer, and Treasurer

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