Offerings // Capitol Federal Financial, Inc.

CFFN offering history

Every offering-related filing in Capitol Federal Financial, Inc.’s recent SEC record — registrations (announced capacity) kept separate from pricing documents (executed sales). Reviewed 720 filings back to May 6, 2010.

Last executed offering

None found

in filings back to May 6, 2010

Last registration (announced)

Sep 17, 2018

S-3ASR — capacity, not a sale

Executed, last 12 months

424B pricings + 8-K 3.02 sales

Registered, last 12 months

S-1/S-3/F-series registrations

Date	Filing		What it means
Sep 17, 2018	RW →	WITHDRAWN	Registration withdrawn
Sep 17, 2018	S-3ASR →	REGISTERED	Automatic shelf registration — effective immediately (large filers)
Sep 14, 2018	S-3 →	REGISTERED	S-3 registration — capacity to sell shares, not a sale yet
Dec 28, 2010	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Dec 16, 2010	FWP →	MARKETING	Free-writing prospectus — offering being marketed
Dec 10, 2010	FWP →	MARKETING	Free-writing prospectus — offering being marketed
Nov 17, 2010	FWP →	MARKETING	Free-writing prospectus — offering being marketed
Nov 16, 2010	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Nov 16, 2010	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Nov 16, 2010	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Nov 15, 2010	FWP →	MARKETING	Free-writing prospectus — offering being marketed
Nov 12, 2010	FWP →	MARKETING	Free-writing prospectus — offering being marketed
Nov 12, 2010	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Nov 5, 2010	FWP →	MARKETING	Free-writing prospectus — offering being marketed
Aug 26, 2010	FWP →	MARKETING	Free-writing prospectus — offering being marketed
Aug 18, 2010	FWP →	MARKETING	Free-writing prospectus — offering being marketed
Jul 29, 2010	FWP →	MARKETING	Free-writing prospectus — offering being marketed
Jul 19, 2010	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Jul 16, 2010	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Jul 16, 2010	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Jul 9, 2010	S-1/A →	REGISTERED	S-1/A registration — capacity to sell shares, not a sale yet
Jul 9, 2010	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Jun 25, 2010	S-1/A →	REGISTERED	S-1/A registration — capacity to sell shares, not a sale yet
May 6, 2010	S-1 →	REGISTERED	S-1 registration — capacity to sell shares, not a sale yet

CFFN offering-related filings from SEC EDGAR, newest first (capped at 40). Each links to the original document.

Two honest limits. (1) A 424B takedown can price shares or notes— EDGAR’s metadata doesn’t say which, so open the document: large investment-grade filers use these mostly for bond deals (no dilution), small-caps mostly for shares. (2) At-the-market (ATM) programs sell shares gradually and individual sales are not separately filed — the visible footprint is the enabling shelf and its 424B5; actual ATM share counts surface later in the 10-Q/10-K share count. Educational information from public filings, not investment advice.

Is a shelf active now? →Do they need money? →Red flags →Full CFFN workspace →

CFFN offering FAQ

When did CFFN last execute an offering?

No executed-offering document (424B pricing supplement or 8-K item 3.02) appears in the 720 filings EDGAR returns for Capitol Federal Financial, Inc., reviewed back to 2010-05-06.

When did CFFN last announce or register an offering?

The most recent registration is a S-3ASR filed 2018-09-17. A registration is capacity to sell shares — not a sale.

Does an offering always mean dilution?

Registered direct offerings and shelf takedowns issue new shares and dilute existing holders. Resale registrations (424B3/B7) let existing holders sell and do not create new shares. Secondary sales by insiders also do not dilute. Each row here is labeled with what it is.