?>
Logo

CAPITOL FEDERAL FINANCIAL, INC. EMPLOYEE STOCK OWNERSHIP PLAN 401k Plan overview

Plan NameCAPITOL FEDERAL FINANCIAL, INC. EMPLOYEE STOCK OWNERSHIP PLAN
Plan identification number 003

CAPITOL FEDERAL FINANCIAL, INC. EMPLOYEE STOCK OWNERSHIP PLAN Benefits

401k Plan TypeDefined Contribution Pension
Plan Features/Benefits
  • Profit-sharing
  • Stock bonus
  • Leveraged ESOP - An ESOP that acquires employer securities with borrowed money or other debt-financing techniques. A completed Schedule E must be attached to a Form 5500 filed for an ESOP.

401k Sponsoring company profile

CAPITOL FEDERAL FINANCIAL, INC has sponsored the creation of one or more 401k plans.

Company Name:CAPITOL FEDERAL FINANCIAL, INC
Employer identification number (EIN):272631712
NAIC Classification:522120
NAIC Description:Savings Institutions

Form 5500 Filing Information

Submission information for form 5500 for 401k plan CAPITOL FEDERAL FINANCIAL, INC. EMPLOYEE STOCK OWNERSHIP PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0032021-10-01
0032020-10-01
0032019-10-01
0032018-10-01
0032017-10-01
0032016-10-01ANGELA TOYNE ANGELA TOYNE2018-04-18
0032015-10-01ANGELA TOYNE ANGELA TOYNE2017-04-10
0032014-10-01DANIELLE HUNNINGHAKE DANIELLE HUNNINGHAKE2016-04-14
0032013-10-01DANIELLE HUNNINGHAKE DANIELLE HUNNINGHAKE2015-04-16
0032012-10-01DANIELLE HUNNINGHAKE DANIELLE HUNNINGHAKE2014-04-16
0032011-10-01DANIELLE HUNNINGHAKE DANIELLE HUNNINGHAKE2013-03-29
0032010-10-01MARY CULVER MARY CULVER2012-04-05

Plan Statistics for CAPITOL FEDERAL FINANCIAL, INC. EMPLOYEE STOCK OWNERSHIP PLAN

401k plan membership statisitcs for CAPITOL FEDERAL FINANCIAL, INC. EMPLOYEE STOCK OWNERSHIP PLAN

Measure Date Value
2021: CAPITOL FEDERAL FINANCIAL, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2021 401k membership
Total participants, beginning-of-year2021-10-01801
Total number of active participants reported on line 7a of the Form 55002021-10-01552
Number of retired or separated participants receiving benefits2021-10-010
Number of other retired or separated participants entitled to future benefits2021-10-01237
Total of all active and inactive participants2021-10-01789
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2021-10-012
Total participants2021-10-01791
Number of participants with account balances2021-10-01774
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2021-10-0116
2020: CAPITOL FEDERAL FINANCIAL, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2020 401k membership
Total participants, beginning-of-year2020-10-01822
Total number of active participants reported on line 7a of the Form 55002020-10-01595
Number of retired or separated participants receiving benefits2020-10-010
Number of other retired or separated participants entitled to future benefits2020-10-01203
Total of all active and inactive participants2020-10-01798
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2020-10-012
Total participants2020-10-01800
Number of participants with account balances2020-10-01796
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2020-10-0114
2019: CAPITOL FEDERAL FINANCIAL, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2019 401k membership
Total participants, beginning-of-year2019-10-01850
Total number of active participants reported on line 7a of the Form 55002019-10-01654
Number of retired or separated participants receiving benefits2019-10-010
Number of other retired or separated participants entitled to future benefits2019-10-01193
Total of all active and inactive participants2019-10-01847
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2019-10-011
Total participants2019-10-01848
Number of participants with account balances2019-10-01771
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2019-10-016
2018: CAPITOL FEDERAL FINANCIAL, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2018 401k membership
Total participants, beginning-of-year2018-10-01762
Total number of active participants reported on line 7a of the Form 55002018-10-01570
Number of retired or separated participants receiving benefits2018-10-010
Number of other retired or separated participants entitled to future benefits2018-10-01143
Total of all active and inactive participants2018-10-01713
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2018-10-010
Total participants2018-10-01713
Number of participants with account balances2018-10-01704
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2018-10-019
2017: CAPITOL FEDERAL FINANCIAL, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2017 401k membership
Total participants, beginning-of-year2017-10-01667
Total number of active participants reported on line 7a of the Form 55002017-10-01604
Number of retired or separated participants receiving benefits2017-10-010
Number of other retired or separated participants entitled to future benefits2017-10-01111
Total of all active and inactive participants2017-10-01715
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2017-10-011
Total participants2017-10-01716
Number of participants with account balances2017-10-01708
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2017-10-0113
2016: CAPITOL FEDERAL FINANCIAL, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2016 401k membership
Total participants, beginning-of-year2016-10-01647
Total number of active participants reported on line 7a of the Form 55002016-10-01509
Number of retired or separated participants receiving benefits2016-10-010
Number of other retired or separated participants entitled to future benefits2016-10-01104
Total of all active and inactive participants2016-10-01613
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-10-010
Total participants2016-10-01613
Number of participants with account balances2016-10-01606
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-10-016
2015: CAPITOL FEDERAL FINANCIAL, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2015 401k membership
Total participants, beginning-of-year2015-10-01700
Total number of active participants reported on line 7a of the Form 55002015-10-01522
Number of retired or separated participants receiving benefits2015-10-010
Number of other retired or separated participants entitled to future benefits2015-10-01101
Total of all active and inactive participants2015-10-01623
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-10-010
Total participants2015-10-01623
Number of participants with account balances2015-10-01612
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-10-016
2014: CAPITOL FEDERAL FINANCIAL, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2014 401k membership
Total participants, beginning-of-year2014-10-01652
Total number of active participants reported on line 7a of the Form 55002014-10-01524
Number of retired or separated participants receiving benefits2014-10-010
Number of other retired or separated participants entitled to future benefits2014-10-0179
Total of all active and inactive participants2014-10-01603
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-10-010
Total participants2014-10-01603
Number of participants with account balances2014-10-01601
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-10-017
2013: CAPITOL FEDERAL FINANCIAL, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2013 401k membership
Total participants, beginning-of-year2013-10-01666
Total number of active participants reported on line 7a of the Form 55002013-10-01535
Number of retired or separated participants receiving benefits2013-10-010
Number of other retired or separated participants entitled to future benefits2013-10-0180
Total of all active and inactive participants2013-10-01615
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-10-011
Total participants2013-10-01616
Number of participants with account balances2013-10-01613
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-10-0111
2012: CAPITOL FEDERAL FINANCIAL, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2012 401k membership
Total participants, beginning-of-year2012-10-01682
Total number of active participants reported on line 7a of the Form 55002012-10-01560
Number of retired or separated participants receiving benefits2012-10-0112
Number of other retired or separated participants entitled to future benefits2012-10-0150
Total of all active and inactive participants2012-10-01622
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-10-011
Total participants2012-10-01623
Number of participants with account balances2012-10-01621
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-10-017
2011: CAPITOL FEDERAL FINANCIAL, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2011 401k membership
Total participants, beginning-of-year2011-10-01679
Total number of active participants reported on line 7a of the Form 55002011-10-01568
Number of retired or separated participants receiving benefits2011-10-010
Number of other retired or separated participants entitled to future benefits2011-10-0170
Total of all active and inactive participants2011-10-01638
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-10-010
Total participants2011-10-01638
Number of participants with account balances2011-10-01587
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-10-0123
2010: CAPITOL FEDERAL FINANCIAL, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2010 401k membership
Total participants, beginning-of-year2010-10-01712
Total number of active participants reported on line 7a of the Form 55002010-10-01588
Number of retired or separated participants receiving benefits2010-10-018
Number of other retired or separated participants entitled to future benefits2010-10-0153
Total of all active and inactive participants2010-10-01649
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2010-10-010
Total participants2010-10-01649
Number of participants with account balances2010-10-01588
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2010-10-0138

Financial Data on CAPITOL FEDERAL FINANCIAL, INC. EMPLOYEE STOCK OWNERSHIP PLAN

Measure Date Value
2022 : CAPITOL FEDERAL FINANCIAL, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2022 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2022-09-30$-22,883,372
Total unrealized appreciation/depreciation of assets2022-09-30$-22,883,372
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2022-09-30$35,766,588
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2022-09-30$37,212,983
Expenses. Interest paid2022-09-30$1,209,422
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-1022022-09-30$1,209,422
Total income from all sources (including contributions)2022-09-30$-17,374,679
Total loss/gain on sale of assets2022-09-30$-286,746
Total of all expenses incurred2022-09-30$5,184,457
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2022-09-30$3,926,626
Total contributions o plan (from employers,participants, others, non cash contrinutions)2022-09-30$262,682
Value of total assets at end of year2022-09-30$60,175,257
Value of total assets at beginning of year2022-09-30$84,180,788
Total of administrative expenses incurred including professional, contract, advisory and management fees2022-09-30$48,409
Total interest from all sources2022-09-30$7,676
Total dividends received (eg from common stock, registered investment company shares)2022-09-30$5,525,081
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2022-09-30No
Was this plan covered by a fidelity bond2022-09-30Yes
Value of fidelity bond cover2022-09-30$20,000,000
If this is an individual account plan, was there a blackout period2022-09-30No
Were there any nonexempt tranactions with any party-in-interest2022-09-30No
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2022-09-30$35,766,588
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2022-09-30$37,212,983
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2022-09-30No
Value of net income/loss2022-09-30$-22,559,136
Value of net assets at end of year (total assets less liabilities)2022-09-30$24,408,669
Value of net assets at beginning of year (total assets less liabilities)2022-09-30$46,967,805
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2022-09-30No
Were any loans by the plan or fixed income obligations due to the plan in default2022-09-30No
Were any leases to which the plan was party in default or uncollectible2022-09-30No
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2022-09-30$224,921
Interest earned on other investments2022-09-30$7,676
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2022-09-30Yes
Was there a failure to transmit to the plan any participant contributions2022-09-30No
Has the plan failed to provide any benefit when due under the plan2022-09-30No
Assets. Invements in employer securities at end of year2022-09-30$60,175,257
Assets. Invements in employer securities at beginning of year2022-09-30$83,955,867
Contributions received in cash from employer2022-09-30$262,682
Income. Dividends from common stock2022-09-30$5,525,081
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2022-09-30$3,926,626
Contract administrator fees2022-09-30$48,409
Did the plan have assets held for investment2022-09-30Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2022-09-30No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2022-09-30No
Aggregate proceeds on sale of assets2022-09-30$4,117,873
Aggregate carrying amount (costs) on sale of assets2022-09-30$4,404,619
Opinion of an independent qualified public accountant for this plan2022-09-30Unqualified
Accountancy firm name2022-09-30SSC CPAS, P.A.
Accountancy firm EIN2022-09-30481215584
2021 : CAPITOL FEDERAL FINANCIAL, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2021 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2021-09-30$15,039,863
Total unrealized appreciation/depreciation of assets2021-09-30$15,039,863
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2021-09-30$37,212,983
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2021-09-30$38,613,850
Expenses. Interest paid2021-09-30$1,254,950
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-1022021-09-30$1,254,950
Total income from all sources (including contributions)2021-09-30$23,251,616
Total loss/gain on sale of assets2021-09-30$1,796,990
Total of all expenses incurred2021-09-30$7,203,078
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2021-09-30$5,944,472
Total contributions o plan (from employers,participants, others, non cash contrinutions)2021-09-30$0
Value of total assets at end of year2021-09-30$84,180,788
Value of total assets at beginning of year2021-09-30$69,533,117
Total of administrative expenses incurred including professional, contract, advisory and management fees2021-09-30$3,656
Total interest from all sources2021-09-30$6,293
Total dividends received (eg from common stock, registered investment company shares)2021-09-30$6,408,470
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2021-09-30No
Was this plan covered by a fidelity bond2021-09-30Yes
Value of fidelity bond cover2021-09-30$20,000,000
If this is an individual account plan, was there a blackout period2021-09-30No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2021-09-30$0
Were there any nonexempt tranactions with any party-in-interest2021-09-30No
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2021-09-30$37,212,983
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2021-09-30$38,613,850
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2021-09-30No
Value of net income/loss2021-09-30$16,048,538
Value of net assets at end of year (total assets less liabilities)2021-09-30$46,967,805
Value of net assets at beginning of year (total assets less liabilities)2021-09-30$30,919,267
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2021-09-30No
Were any loans by the plan or fixed income obligations due to the plan in default2021-09-30No
Were any leases to which the plan was party in default or uncollectible2021-09-30No
Value of interest in registered invesment companies (eg mutual funds) at end of year2021-09-30$224,921
Interest earned on other investments2021-09-30$6,293
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2021-09-30Yes
Was there a failure to transmit to the plan any participant contributions2021-09-30No
Has the plan failed to provide any benefit when due under the plan2021-09-30No
Assets. Invements in employer securities at end of year2021-09-30$83,955,867
Assets. Invements in employer securities at beginning of year2021-09-30$69,533,117
Income. Dividends from common stock2021-09-30$6,408,470
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2021-09-30$5,944,472
Contract administrator fees2021-09-30$3,656
Did the plan have assets held for investment2021-09-30Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2021-09-30No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2021-09-30No
Aggregate proceeds on sale of assets2021-09-30$7,302,607
Aggregate carrying amount (costs) on sale of assets2021-09-30$5,505,617
Opinion of an independent qualified public accountant for this plan2021-09-30Unqualified
Accountancy firm name2021-09-30SSC CPAS, P.A.
Accountancy firm EIN2021-09-30481215584
2020 : CAPITOL FEDERAL FINANCIAL, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2020 401k financial data
Unrealized appreciation/depreciation of real estate assets2020-09-30$0
Unrealized appreciation/depreciation of other (non real estate) assets2020-09-30$-33,820,519
Total unrealized appreciation/depreciation of assets2020-09-30$-33,820,519
Total transfer of assets to this plan2020-09-30$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2020-09-30$38,613,850
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2020-09-30$39,970,621
Expenses. Interest paid2020-09-30$1,299,045
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-1022020-09-30$1,299,045
Total income from all sources (including contributions)2020-09-30$-28,739,259
Total loss/gain on sale of assets2020-09-30$-409,709
Total of all expenses incurred2020-09-30$7,100,159
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2020-09-30$5,704,418
Value of total corrective distributions2020-09-30$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)2020-09-30$281,384
Value of total assets at end of year2020-09-30$69,533,117
Value of total assets at beginning of year2020-09-30$106,729,306
Total of administrative expenses incurred including professional, contract, advisory and management fees2020-09-30$96,696
Total income from rents2020-09-30$0
Total interest from all sources2020-09-30$15,406
Total dividends received (eg from common stock, registered investment company shares)2020-09-30$5,194,179
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2020-09-30No
Total dividends received from registered investment company shares (eg mutual funds)2020-09-30$0
Administrative expenses professional fees incurred2020-09-30$0
Was this plan covered by a fidelity bond2020-09-30Yes
Value of fidelity bond cover2020-09-30$20,000,000
If this is an individual account plan, was there a blackout period2020-09-30No
Were there any nonexempt tranactions with any party-in-interest2020-09-30No
Amount of non-exempt transactions with any party-in-interest2020-09-30$0
Contributions received from participants2020-09-30$0
Participant contributions at end of year2020-09-30$0
Participant contributions at beginning of year2020-09-30$0
Income. Received or receivable in cash from other sources (including rollovers)2020-09-30$281,384
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2020-09-30$0
Value of other receiveables (less allowance for doubtful accounts) at end of year2020-09-30$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2020-09-30$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2020-09-30$38,613,850
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2020-09-30$39,970,621
Other income not declared elsewhere2020-09-30$0
Administrative expenses (other) incurred2020-09-30$0
Liabilities. Value of operating payables at beginning of year2020-09-30$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2020-09-30No
Income. Non cash contributions2020-09-30$0
Value of net income/loss2020-09-30$-35,839,418
Value of net assets at end of year (total assets less liabilities)2020-09-30$30,919,267
Value of net assets at beginning of year (total assets less liabilities)2020-09-30$66,758,685
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2020-09-30No
Were any loans by the plan or fixed income obligations due to the plan in default2020-09-30No
Amount of loans by the plan or fixed income obligations due to the plan which were in default/classified-as-uncollectible as of the close of the plan year2020-09-30$0
Were any leases to which the plan was party in default or uncollectible2020-09-30No
Amount of leases to which the plan was a party which were in default/classified-as-uncollectible during the year2020-09-30$0
Investment advisory and management fees2020-09-30$0
Value of interest in registered invesment companies (eg mutual funds) at end of year2020-09-30$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2020-09-30$944,685
Income. Interest from loans (other than to participants)2020-09-30$0
Interest earned on other investments2020-09-30$15,406
Income. Interest from US Government securities2020-09-30$0
Income. Interest from corporate debt instruments2020-09-30$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2020-09-30$0
Expenses. Payments to insurance carriers foe the provision of benefits2020-09-30$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2020-09-30$0
Net investment gain/loss from pooled separate accounts2020-09-30$0
Net investment gain or loss from common/collective trusts2020-09-30$0
Net gain/loss from 103.12 investment entities2020-09-30$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2020-09-30Yes
Was there a failure to transmit to the plan any participant contributions2020-09-30No
Has the plan failed to provide any benefit when due under the plan2020-09-30No
Assets. Invements in employer securities at end of year2020-09-30$69,533,117
Assets. Invements in employer securities at beginning of year2020-09-30$105,784,621
Contributions received in cash from employer2020-09-30$0
Employer contributions (assets) at end of year2020-09-30$0
Employer contributions (assets) at beginning of year2020-09-30$0
Income. Dividends from preferred stock2020-09-30$0
Income. Dividends from common stock2020-09-30$5,194,179
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2020-09-30$5,704,418
Contract administrator fees2020-09-30$96,696
Liabilities. Value of benefit claims payable at beginning of year2020-09-30$0
Did the plan have assets held for investment2020-09-30Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2020-09-30No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2020-09-30No
Aggregate proceeds on sale of assets2020-09-30$8,300,947
Aggregate carrying amount (costs) on sale of assets2020-09-30$8,710,656
Liabilities. Value of acquisition indebtedness at beginning of year2020-09-30$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2020-09-30Yes
Opinion of an independent qualified public accountant for this plan2020-09-30Disclaimer
Accountancy firm name2020-09-30SUMMERS, SPENCER & COMPANY, P.A.
Accountancy firm EIN2020-09-30481215584
2019 : CAPITOL FEDERAL FINANCIAL, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2019 401k financial data
Unrealized appreciation/depreciation of real estate assets2019-09-30$0
Unrealized appreciation/depreciation of other (non real estate) assets2019-09-30$7,900,981
Total unrealized appreciation/depreciation of assets2019-09-30$7,900,981
Total transfer of assets to this plan2019-09-30$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-09-30$39,970,621
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-09-30$41,284,686
Expenses. Interest paid2019-09-30$1,341,752
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-1022019-09-30$1,341,752
Total income from all sources (including contributions)2019-09-30$15,904,761
Total loss/gain on sale of assets2019-09-30$248,324
Total of all expenses incurred2019-09-30$10,155,861
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-09-30$8,809,868
Value of total corrective distributions2019-09-30$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)2019-09-30$0
Value of total assets at end of year2019-09-30$106,729,306
Value of total assets at beginning of year2019-09-30$102,294,471
Total of administrative expenses incurred including professional, contract, advisory and management fees2019-09-30$4,241
Total income from rents2019-09-30$0
Total interest from all sources2019-09-30$38,833
Total dividends received (eg from common stock, registered investment company shares)2019-09-30$7,714,804
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2019-09-30No
Total dividends received from registered investment company shares (eg mutual funds)2019-09-30$0
Administrative expenses professional fees incurred2019-09-30$0
Was this plan covered by a fidelity bond2019-09-30Yes
Value of fidelity bond cover2019-09-30$20,000,000
If this is an individual account plan, was there a blackout period2019-09-30No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2019-09-30$0
Were there any nonexempt tranactions with any party-in-interest2019-09-30No
Amount of non-exempt transactions with any party-in-interest2019-09-30$0
Contributions received from participants2019-09-30$0
Participant contributions at end of year2019-09-30$0
Participant contributions at beginning of year2019-09-30$0
Income. Received or receivable in cash from other sources (including rollovers)2019-09-30$0
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2019-09-30$0
Value of other receiveables (less allowance for doubtful accounts) at end of year2019-09-30$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2019-09-30$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2019-09-30$39,970,621
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2019-09-30$41,284,686
Other income not declared elsewhere2019-09-30$1,819
Administrative expenses (other) incurred2019-09-30$0
Liabilities. Value of operating payables at beginning of year2019-09-30$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2019-09-30No
Income. Non cash contributions2019-09-30$0
Value of net income/loss2019-09-30$5,748,900
Value of net assets at end of year (total assets less liabilities)2019-09-30$66,758,685
Value of net assets at beginning of year (total assets less liabilities)2019-09-30$61,009,785
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2019-09-30No
Were any loans by the plan or fixed income obligations due to the plan in default2019-09-30No
Amount of loans by the plan or fixed income obligations due to the plan which were in default/classified-as-uncollectible as of the close of the plan year2019-09-30$0
Were any leases to which the plan was party in default or uncollectible2019-09-30No
Amount of leases to which the plan was a party which were in default/classified-as-uncollectible during the year2019-09-30$0
Investment advisory and management fees2019-09-30$0
Value of interest in registered invesment companies (eg mutual funds) at end of year2019-09-30$944,685
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2019-09-30$713,891
Income. Interest from loans (other than to participants)2019-09-30$0
Interest earned on other investments2019-09-30$38,833
Income. Interest from US Government securities2019-09-30$0
Income. Interest from corporate debt instruments2019-09-30$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2019-09-30$0
Expenses. Payments to insurance carriers foe the provision of benefits2019-09-30$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2019-09-30$0
Net investment gain/loss from pooled separate accounts2019-09-30$0
Net investment gain or loss from common/collective trusts2019-09-30$0
Net gain/loss from 103.12 investment entities2019-09-30$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2019-09-30Yes
Was there a failure to transmit to the plan any participant contributions2019-09-30No
Has the plan failed to provide any benefit when due under the plan2019-09-30No
Assets. Invements in employer securities at end of year2019-09-30$105,784,621
Assets. Invements in employer securities at beginning of year2019-09-30$101,580,580
Contributions received in cash from employer2019-09-30$0
Employer contributions (assets) at end of year2019-09-30$0
Employer contributions (assets) at beginning of year2019-09-30$0
Income. Dividends from preferred stock2019-09-30$0
Income. Dividends from common stock2019-09-30$7,714,804
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-09-30$8,809,868
Contract administrator fees2019-09-30$4,241
Liabilities. Value of benefit claims payable at beginning of year2019-09-30$0
Did the plan have assets held for investment2019-09-30Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2019-09-30No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2019-09-30No
Aggregate proceeds on sale of assets2019-09-30$10,094,548
Aggregate carrying amount (costs) on sale of assets2019-09-30$9,846,224
Liabilities. Value of acquisition indebtedness at beginning of year2019-09-30$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2019-09-30Yes
Opinion of an independent qualified public accountant for this plan2019-09-30Disclaimer
Accountancy firm name2019-09-30SUMMERS, SPENCER & COMPANY, P.A.
Accountancy firm EIN2019-09-30481215584
2018 : CAPITOL FEDERAL FINANCIAL, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2018 401k financial data
Unrealized appreciation/depreciation of real estate assets2018-09-30$0
Unrealized appreciation/depreciation of other (non real estate) assets2018-09-30$-15,530,323
Total unrealized appreciation/depreciation of assets2018-09-30$-15,530,323
Total transfer of assets to this plan2018-09-30$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2018-09-30$41,284,686
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2018-09-30$42,557,388
Expenses. Interest paid2018-09-30$1,383,115
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-1022018-09-30$1,383,115
Total income from all sources (including contributions)2018-09-30$-8,754,448
Total loss/gain on sale of assets2018-09-30$-357,202
Total of all expenses incurred2018-09-30$8,612,521
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2018-09-30$7,171,882
Value of total corrective distributions2018-09-30$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)2018-09-30$0
Value of total assets at end of year2018-09-30$102,294,471
Value of total assets at beginning of year2018-09-30$120,934,142
Total of administrative expenses incurred including professional, contract, advisory and management fees2018-09-30$57,524
Total income from rents2018-09-30$0
Total interest from all sources2018-09-30$26,100
Total dividends received (eg from common stock, registered investment company shares)2018-09-30$7,106,977
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2018-09-30No
Total dividends received from registered investment company shares (eg mutual funds)2018-09-30$0
Administrative expenses professional fees incurred2018-09-30$0
Was this plan covered by a fidelity bond2018-09-30Yes
Value of fidelity bond cover2018-09-30$20,000,000
If this is an individual account plan, was there a blackout period2018-09-30No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2018-09-30$0
Were there any nonexempt tranactions with any party-in-interest2018-09-30No
Amount of non-exempt transactions with any party-in-interest2018-09-30$0
Contributions received from participants2018-09-30$0
Participant contributions at end of year2018-09-30$0
Participant contributions at beginning of year2018-09-30$0
Income. Received or receivable in cash from other sources (including rollovers)2018-09-30$0
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2018-09-30$0
Value of other receiveables (less allowance for doubtful accounts) at end of year2018-09-30$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2018-09-30$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2018-09-30$41,284,686
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2018-09-30$42,557,388
Other income not declared elsewhere2018-09-30$0
Administrative expenses (other) incurred2018-09-30$0
Liabilities. Value of operating payables at beginning of year2018-09-30$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2018-09-30No
Income. Non cash contributions2018-09-30$0
Value of net income/loss2018-09-30$-17,366,969
Value of net assets at end of year (total assets less liabilities)2018-09-30$61,009,785
Value of net assets at beginning of year (total assets less liabilities)2018-09-30$78,376,754
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2018-09-30No
Were any loans by the plan or fixed income obligations due to the plan in default2018-09-30No
Amount of loans by the plan or fixed income obligations due to the plan which were in default/classified-as-uncollectible as of the close of the plan year2018-09-30$0
Were any leases to which the plan was party in default or uncollectible2018-09-30No
Amount of leases to which the plan was a party which were in default/classified-as-uncollectible during the year2018-09-30$0
Investment advisory and management fees2018-09-30$0
Value of interest in registered invesment companies (eg mutual funds) at end of year2018-09-30$713,891
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2018-09-30$844,048
Income. Interest from loans (other than to participants)2018-09-30$0
Interest earned on other investments2018-09-30$26,100
Income. Interest from US Government securities2018-09-30$0
Income. Interest from corporate debt instruments2018-09-30$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2018-09-30$0
Expenses. Payments to insurance carriers foe the provision of benefits2018-09-30$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2018-09-30$0
Net investment gain/loss from pooled separate accounts2018-09-30$0
Net investment gain or loss from common/collective trusts2018-09-30$0
Net gain/loss from 103.12 investment entities2018-09-30$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2018-09-30Yes
Was there a failure to transmit to the plan any participant contributions2018-09-30No
Has the plan failed to provide any benefit when due under the plan2018-09-30No
Assets. Invements in employer securities at end of year2018-09-30$101,580,580
Assets. Invements in employer securities at beginning of year2018-09-30$120,090,094
Contributions received in cash from employer2018-09-30$0
Employer contributions (assets) at end of year2018-09-30$0
Employer contributions (assets) at beginning of year2018-09-30$0
Income. Dividends from preferred stock2018-09-30$0
Income. Dividends from common stock2018-09-30$7,106,977
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2018-09-30$7,171,882
Contract administrator fees2018-09-30$57,524
Liabilities. Value of benefit claims payable at beginning of year2018-09-30$0
Did the plan have assets held for investment2018-09-30Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2018-09-30No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2018-09-30No
Aggregate proceeds on sale of assets2018-09-30$8,830,456
Aggregate carrying amount (costs) on sale of assets2018-09-30$9,187,658
Liabilities. Value of acquisition indebtedness at beginning of year2018-09-30$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2018-09-30Yes
Opinion of an independent qualified public accountant for this plan2018-09-30Disclaimer
Accountancy firm name2018-09-30SUMMERS, SPENCER & COMPANY, PA
Accountancy firm EIN2018-09-30481215584
2017 : CAPITOL FEDERAL FINANCIAL, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2017 401k financial data
Unrealized appreciation/depreciation of real estate assets2017-09-30$0
Unrealized appreciation/depreciation of other (non real estate) assets2017-09-30$5,080,935
Total unrealized appreciation/depreciation of assets2017-09-30$5,080,935
Total transfer of assets to this plan2017-09-30$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-09-30$42,557,388
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-09-30$43,790,029
Expenses. Interest paid2017-09-30$1,423,176
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-1022017-09-30$1,423,176
Total income from all sources (including contributions)2017-09-30$12,758,969
Total loss/gain on sale of assets2017-09-30$388,082
Total of all expenses incurred2017-09-30$8,993,362
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2017-09-30$7,509,605
Value of total corrective distributions2017-09-30$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)2017-09-30$0
Value of total assets at end of year2017-09-30$120,934,142
Value of total assets at beginning of year2017-09-30$118,401,176
Total of administrative expenses incurred including professional, contract, advisory and management fees2017-09-30$60,581
Total income from rents2017-09-30$0
Total interest from all sources2017-09-30$10,883
Total dividends received (eg from common stock, registered investment company shares)2017-09-30$7,279,069
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2017-09-30No
Total dividends received from registered investment company shares (eg mutual funds)2017-09-30$0
Administrative expenses professional fees incurred2017-09-30$0
Was this plan covered by a fidelity bond2017-09-30Yes
Value of fidelity bond cover2017-09-30$20,000,000
If this is an individual account plan, was there a blackout period2017-09-30No
Were there any nonexempt tranactions with any party-in-interest2017-09-30No
Amount of non-exempt transactions with any party-in-interest2017-09-30$0
Contributions received from participants2017-09-30$0
Participant contributions at end of year2017-09-30$0
Participant contributions at beginning of year2017-09-30$0
Income. Received or receivable in cash from other sources (including rollovers)2017-09-30$0
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2017-09-30$0
Value of other receiveables (less allowance for doubtful accounts) at end of year2017-09-30$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2017-09-30$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2017-09-30$42,557,388
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2017-09-30$43,790,029
Other income not declared elsewhere2017-09-30$0
Administrative expenses (other) incurred2017-09-30$0
Liabilities. Value of operating payables at beginning of year2017-09-30$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2017-09-30No
Income. Non cash contributions2017-09-30$0
Value of net income/loss2017-09-30$3,765,607
Value of net assets at end of year (total assets less liabilities)2017-09-30$78,376,754
Value of net assets at beginning of year (total assets less liabilities)2017-09-30$74,611,147
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2017-09-30No
Were any loans by the plan or fixed income obligations due to the plan in default2017-09-30No
Amount of loans by the plan or fixed income obligations due to the plan which were in default/classified-as-uncollectible as of the close of the plan year2017-09-30$0
Were any leases to which the plan was party in default or uncollectible2017-09-30No
Amount of leases to which the plan was a party which were in default/classified-as-uncollectible during the year2017-09-30$0
Investment advisory and management fees2017-09-30$0
Value of interest in registered invesment companies (eg mutual funds) at end of year2017-09-30$844,048
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2017-09-30$816,486
Income. Interest from loans (other than to participants)2017-09-30$0
Interest earned on other investments2017-09-30$0
Income. Interest from US Government securities2017-09-30$0
Income. Interest from corporate debt instruments2017-09-30$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2017-09-30$10,883
Expenses. Payments to insurance carriers foe the provision of benefits2017-09-30$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2017-09-30$0
Net investment gain/loss from pooled separate accounts2017-09-30$0
Net investment gain or loss from common/collective trusts2017-09-30$0
Net gain/loss from 103.12 investment entities2017-09-30$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2017-09-30Yes
Was there a failure to transmit to the plan any participant contributions2017-09-30No
Has the plan failed to provide any benefit when due under the plan2017-09-30No
Assets. Invements in employer securities at end of year2017-09-30$120,090,094
Assets. Invements in employer securities at beginning of year2017-09-30$117,584,690
Contributions received in cash from employer2017-09-30$0
Employer contributions (assets) at end of year2017-09-30$0
Employer contributions (assets) at beginning of year2017-09-30$0
Income. Dividends from preferred stock2017-09-30$0
Income. Dividends from common stock2017-09-30$7,279,069
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2017-09-30$7,509,605
Contract administrator fees2017-09-30$60,581
Liabilities. Value of benefit claims payable at beginning of year2017-09-30$0
Did the plan have assets held for investment2017-09-30Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2017-09-30No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2017-09-30No
Aggregate proceeds on sale of assets2017-09-30$8,400,309
Aggregate carrying amount (costs) on sale of assets2017-09-30$8,012,227
Liabilities. Value of acquisition indebtedness at beginning of year2017-09-30$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2017-09-30Yes
Opinion of an independent qualified public accountant for this plan2017-09-30Disclaimer
Accountancy firm name2017-09-30SUMMERS, SPENCER & COMPANY, P.A.
Accountancy firm EIN2017-09-30481215584
2016 : CAPITOL FEDERAL FINANCIAL, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2016 401k financial data
Unrealized appreciation/depreciation of real estate assets2016-09-30$0
Unrealized appreciation/depreciation of other (non real estate) assets2016-09-30$16,194,742
Total unrealized appreciation/depreciation of assets2016-09-30$16,194,742
Total transfer of assets to this plan2016-09-30$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-09-30$43,790,029
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-09-30$44,983,870
Expenses. Interest paid2016-09-30$1,461,976
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-1022016-09-30$1,461,976
Total income from all sources (including contributions)2016-09-30$23,878,029
Total loss/gain on sale of assets2016-09-30$468,515
Total of all expenses incurred2016-09-30$9,719,851
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-09-30$8,196,442
Value of total corrective distributions2016-09-30$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-09-30$0
Value of total assets at end of year2016-09-30$118,401,176
Value of total assets at beginning of year2016-09-30$105,436,839
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-09-30$61,433
Total income from rents2016-09-30$0
Total interest from all sources2016-09-30$3,145
Total dividends received (eg from common stock, registered investment company shares)2016-09-30$7,211,627
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2016-09-30No
Total dividends received from registered investment company shares (eg mutual funds)2016-09-30$0
Administrative expenses professional fees incurred2016-09-30$0
Was this plan covered by a fidelity bond2016-09-30Yes
Value of fidelity bond cover2016-09-30$20,000,000
If this is an individual account plan, was there a blackout period2016-09-30No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2016-09-30$0
Were there any nonexempt tranactions with any party-in-interest2016-09-30No
Amount of non-exempt transactions with any party-in-interest2016-09-30$0
Contributions received from participants2016-09-30$0
Participant contributions at end of year2016-09-30$0
Participant contributions at beginning of year2016-09-30$0
Income. Received or receivable in cash from other sources (including rollovers)2016-09-30$0
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2016-09-30$0
Value of other receiveables (less allowance for doubtful accounts) at end of year2016-09-30$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2016-09-30$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2016-09-30$43,790,029
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2016-09-30$44,983,870
Other income not declared elsewhere2016-09-30$0
Administrative expenses (other) incurred2016-09-30$0
Liabilities. Value of operating payables at beginning of year2016-09-30$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2016-09-30No
Income. Non cash contributions2016-09-30$0
Value of net income/loss2016-09-30$14,158,178
Value of net assets at end of year (total assets less liabilities)2016-09-30$74,611,147
Value of net assets at beginning of year (total assets less liabilities)2016-09-30$60,452,969
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2016-09-30No
Were any loans by the plan or fixed income obligations due to the plan in default2016-09-30No
Amount of loans by the plan or fixed income obligations due to the plan which were in default/classified-as-uncollectible as of the close of the plan year2016-09-30$0
Were any leases to which the plan was party in default or uncollectible2016-09-30No
Amount of leases to which the plan was a party which were in default/classified-as-uncollectible during the year2016-09-30$0
Investment advisory and management fees2016-09-30$0
Value of interest in registered invesment companies (eg mutual funds) at end of year2016-09-30$816,486
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2016-09-30$952,311
Income. Interest from loans (other than to participants)2016-09-30$0
Interest earned on other investments2016-09-30$0
Income. Interest from US Government securities2016-09-30$0
Income. Interest from corporate debt instruments2016-09-30$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2016-09-30$3,145
Expenses. Payments to insurance carriers foe the provision of benefits2016-09-30$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2016-09-30$0
Net investment gain/loss from pooled separate accounts2016-09-30$0
Net investment gain or loss from common/collective trusts2016-09-30$0
Net gain/loss from 103.12 investment entities2016-09-30$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2016-09-30Yes
Was there a failure to transmit to the plan any participant contributions2016-09-30No
Has the plan failed to provide any benefit when due under the plan2016-09-30No
Assets. Invements in employer securities at end of year2016-09-30$117,584,690
Assets. Invements in employer securities at beginning of year2016-09-30$104,484,528
Contributions received in cash from employer2016-09-30$0
Employer contributions (assets) at end of year2016-09-30$0
Employer contributions (assets) at beginning of year2016-09-30$0
Income. Dividends from preferred stock2016-09-30$0
Income. Dividends from common stock2016-09-30$7,211,627
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-09-30$8,196,442
Contract administrator fees2016-09-30$61,433
Liabilities. Value of benefit claims payable at beginning of year2016-09-30$0
Did the plan have assets held for investment2016-09-30Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2016-09-30No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2016-09-30No
Aggregate proceeds on sale of assets2016-09-30$4,873,134
Aggregate carrying amount (costs) on sale of assets2016-09-30$4,404,619
Liabilities. Value of acquisition indebtedness at beginning of year2016-09-30$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2016-09-30Yes
Opinion of an independent qualified public accountant for this plan2016-09-30Disclaimer
Accountancy firm name2016-09-30SUMMERS, SPENCER & COMPANY, P.A.
Accountancy firm EIN2016-09-30481215584
2015 : CAPITOL FEDERAL FINANCIAL, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2015 401k financial data
Unrealized appreciation/depreciation of real estate assets2015-09-30$0
Unrealized appreciation/depreciation of other (non real estate) assets2015-09-30$2,517,748
Total unrealized appreciation/depreciation of assets2015-09-30$2,517,748
Total transfer of assets to this plan2015-09-30$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-09-30$44,983,870
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-09-30$46,140,133
Expenses. Interest paid2015-09-30$1,499,554
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-1022015-09-30$1,499,554
Total income from all sources (including contributions)2015-09-30$10,417,390
Total loss/gain on sale of assets2015-09-30$415,594
Total of all expenses incurred2015-09-30$14,502,524
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-09-30$12,947,861
Value of total corrective distributions2015-09-30$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-09-30$0
Value of total assets at end of year2015-09-30$105,436,839
Value of total assets at beginning of year2015-09-30$110,678,236
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-09-30$55,109
Total income from rents2015-09-30$0
Total interest from all sources2015-09-30$203
Total dividends received (eg from common stock, registered investment company shares)2015-09-30$7,483,845
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2015-09-30No
Total dividends received from registered investment company shares (eg mutual funds)2015-09-30$0
Administrative expenses professional fees incurred2015-09-30$0
Was this plan covered by a fidelity bond2015-09-30Yes
Value of fidelity bond cover2015-09-30$10,000,000
If this is an individual account plan, was there a blackout period2015-09-30No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2015-09-30$0
Were there any nonexempt tranactions with any party-in-interest2015-09-30No
Amount of non-exempt transactions with any party-in-interest2015-09-30$0
Contributions received from participants2015-09-30$0
Participant contributions at end of year2015-09-30$0
Participant contributions at beginning of year2015-09-30$0
Income. Received or receivable in cash from other sources (including rollovers)2015-09-30$0
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2015-09-30$0
Value of other receiveables (less allowance for doubtful accounts) at end of year2015-09-30$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2015-09-30$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2015-09-30$44,983,870
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2015-09-30$46,140,133
Other income not declared elsewhere2015-09-30$0
Administrative expenses (other) incurred2015-09-30$0
Liabilities. Value of operating payables at beginning of year2015-09-30$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2015-09-30No
Income. Non cash contributions2015-09-30$0
Value of net income/loss2015-09-30$-4,085,134
Value of net assets at end of year (total assets less liabilities)2015-09-30$60,452,969
Value of net assets at beginning of year (total assets less liabilities)2015-09-30$64,538,103
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2015-09-30No
Were any loans by the plan or fixed income obligations due to the plan in default2015-09-30No
Amount of loans by the plan or fixed income obligations due to the plan which were in default/classified-as-uncollectible as of the close of the plan year2015-09-30$0
Were any leases to which the plan was party in default or uncollectible2015-09-30No
Amount of leases to which the plan was a party which were in default/classified-as-uncollectible during the year2015-09-30$0
Investment advisory and management fees2015-09-30$0
Value of interest in registered invesment companies (eg mutual funds) at end of year2015-09-30$952,311
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2015-09-30$1,715,592
Value of interest in pooled separate accounts at end of year2015-09-30$0
Value of interest in pooled separate accounts at beginning of year2015-09-30$0
Income. Interest from loans (other than to participants)2015-09-30$0
Interest earned on other investments2015-09-30$0
Income. Interest from US Government securities2015-09-30$0
Income. Interest from corporate debt instruments2015-09-30$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2015-09-30$203
Expenses. Payments to insurance carriers foe the provision of benefits2015-09-30$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2015-09-30$0
Net investment gain/loss from pooled separate accounts2015-09-30$0
Net investment gain or loss from common/collective trusts2015-09-30$0
Net gain/loss from 103.12 investment entities2015-09-30$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2015-09-30Yes
Was there a failure to transmit to the plan any participant contributions2015-09-30No
Has the plan failed to provide any benefit when due under the plan2015-09-30No
Assets. Invements in employer securities at end of year2015-09-30$104,484,528
Assets. Invements in employer securities at beginning of year2015-09-30$108,962,644
Contributions received in cash from employer2015-09-30$0
Employer contributions (assets) at end of year2015-09-30$0
Employer contributions (assets) at beginning of year2015-09-30$0
Income. Dividends from preferred stock2015-09-30$0
Income. Dividends from common stock2015-09-30$7,483,845
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-09-30$12,947,861
Contract administrator fees2015-09-30$55,109
Liabilities. Value of benefit claims payable at beginning of year2015-09-30$0
Did the plan have assets held for investment2015-09-30Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2015-09-30No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2015-09-30No
Aggregate proceeds on sale of assets2015-09-30$8,834,190
Aggregate carrying amount (costs) on sale of assets2015-09-30$8,418,596
Liabilities. Value of acquisition indebtedness at beginning of year2015-09-30$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2015-09-30Yes
Opinion of an independent qualified public accountant for this plan2015-09-30Disclaimer
Accountancy firm name2015-09-30SUMMERS, SPENCER & COMPANY, P.A.
Accountancy firm EIN2015-09-30481215584
2014 : CAPITOL FEDERAL FINANCIAL, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2014 401k financial data
Unrealized appreciation/depreciation of real estate assets2014-09-30$0
Unrealized appreciation/depreciation of other (non real estate) assets2014-09-30$-5,619,251
Total unrealized appreciation/depreciation of assets2014-09-30$-5,619,251
Total transfer of assets to this plan2014-09-30$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-09-30$46,140,133
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-09-30$47,260,000
Expenses. Interest paid2014-09-30$1,535,950
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-1022014-09-30$1,535,950
Total income from all sources (including contributions)2014-09-30$3,529,223
Total loss/gain on sale of assets2014-09-30$-98,120
Total of all expenses incurred2014-09-30$11,408,810
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-09-30$9,812,309
Value of total corrective distributions2014-09-30$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)2014-09-30$82,871
Value of total assets at end of year2014-09-30$110,678,236
Value of total assets at beginning of year2014-09-30$119,677,690
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-09-30$60,551
Total income from rents2014-09-30$0
Total interest from all sources2014-09-30$0
Total dividends received (eg from common stock, registered investment company shares)2014-09-30$9,163,633
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2014-09-30No
Total dividends received from registered investment company shares (eg mutual funds)2014-09-30$0
Administrative expenses professional fees incurred2014-09-30$0
Was this plan covered by a fidelity bond2014-09-30Yes
Value of fidelity bond cover2014-09-30$10,000,000
If this is an individual account plan, was there a blackout period2014-09-30No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2014-09-30$0
Were there any nonexempt tranactions with any party-in-interest2014-09-30No
Amount of non-exempt transactions with any party-in-interest2014-09-30$0
Contributions received from participants2014-09-30$0
Participant contributions at end of year2014-09-30$0
Participant contributions at beginning of year2014-09-30$0
Income. Received or receivable in cash from other sources (including rollovers)2014-09-30$0
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2014-09-30$0
Value of other receiveables (less allowance for doubtful accounts) at end of year2014-09-30$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2014-09-30$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2014-09-30$46,140,133
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2014-09-30$47,260,000
Other income not declared elsewhere2014-09-30$0
Administrative expenses (other) incurred2014-09-30$0
Liabilities. Value of operating payables at beginning of year2014-09-30$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2014-09-30No
Income. Non cash contributions2014-09-30$0
Value of net income/loss2014-09-30$-7,879,587
Value of net assets at end of year (total assets less liabilities)2014-09-30$64,538,103
Value of net assets at beginning of year (total assets less liabilities)2014-09-30$72,417,690
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2014-09-30No
Were any loans by the plan or fixed income obligations due to the plan in default2014-09-30No
Amount of loans by the plan or fixed income obligations due to the plan which were in default/classified-as-uncollectible as of the close of the plan year2014-09-30$0
Were any leases to which the plan was party in default or uncollectible2014-09-30No
Amount of leases to which the plan was a party which were in default/classified-as-uncollectible during the year2014-09-30$0
Investment advisory and management fees2014-09-30$0
Value of interest in registered invesment companies (eg mutual funds) at end of year2014-09-30$1,715,592
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2014-09-30$3,020,269
Value of interest in pooled separate accounts at end of year2014-09-30$0
Value of interest in pooled separate accounts at beginning of year2014-09-30$399,770
Income. Interest from loans (other than to participants)2014-09-30$0
Interest earned on other investments2014-09-30$0
Income. Interest from US Government securities2014-09-30$0
Income. Interest from corporate debt instruments2014-09-30$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2014-09-30$0
Expenses. Payments to insurance carriers foe the provision of benefits2014-09-30$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2014-09-30$270
Net investment gain/loss from pooled separate accounts2014-09-30$-180
Net investment gain or loss from common/collective trusts2014-09-30$0
Net gain/loss from 103.12 investment entities2014-09-30$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2014-09-30Yes
Was there a failure to transmit to the plan any participant contributions2014-09-30No
Has the plan failed to provide any benefit when due under the plan2014-09-30No
Assets. Invements in employer securities at end of year2014-09-30$108,962,644
Assets. Invements in employer securities at beginning of year2014-09-30$116,257,651
Contributions received in cash from employer2014-09-30$82,871
Employer contributions (assets) at end of year2014-09-30$0
Employer contributions (assets) at beginning of year2014-09-30$0
Income. Dividends from preferred stock2014-09-30$0
Income. Dividends from common stock2014-09-30$9,163,633
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-09-30$9,812,309
Contract administrator fees2014-09-30$60,551
Liabilities. Value of benefit claims payable at beginning of year2014-09-30$0
Did the plan have assets held for investment2014-09-30Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2014-09-30No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2014-09-30No
Aggregate proceeds on sale of assets2014-09-30$3,903,734
Aggregate carrying amount (costs) on sale of assets2014-09-30$4,001,854
Liabilities. Value of acquisition indebtedness at beginning of year2014-09-30$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2014-09-30Yes
Opinion of an independent qualified public accountant for this plan2014-09-30Disclaimer
Accountancy firm name2014-09-30SUMMERS, SPENCER & COMPANY, P.A.
Accountancy firm EIN2014-09-30481215584
2013 : CAPITOL FEDERAL FINANCIAL, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2013 401k financial data
Unrealized appreciation/depreciation of real estate assets2013-09-30$0
Unrealized appreciation/depreciation of other (non real estate) assets2013-09-30$4,395,185
Total unrealized appreciation/depreciation of assets2013-09-30$4,395,185
Total transfer of assets to this plan2013-09-30$0
Total transfer of assets from this plan2013-09-30$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-09-30$47,260,000
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-09-30$50,086,818
Expenses. Interest paid2013-09-30$1,699,905
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-1022013-09-30$1,699,905
Total income from all sources (including contributions)2013-09-30$16,625,346
Total loss/gain on sale of assets2013-09-30$14,029
Total of all expenses incurred2013-09-30$11,308,513
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-09-30$9,551,553
Value of total corrective distributions2013-09-30$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-09-30$2,534,323
Value of total assets at end of year2013-09-30$119,677,689
Value of total assets at beginning of year2013-09-30$117,187,674
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-09-30$57,055
Total income from rents2013-09-30$0
Total interest from all sources2013-09-30$0
Total dividends received (eg from common stock, registered investment company shares)2013-09-30$9,682,719
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2013-09-30No
Total dividends received from registered investment company shares (eg mutual funds)2013-09-30$0
Administrative expenses professional fees incurred2013-09-30$0
Was this plan covered by a fidelity bond2013-09-30Yes
Value of fidelity bond cover2013-09-30$10,000,000
If this is an individual account plan, was there a blackout period2013-09-30No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2013-09-30$0
Were there any nonexempt tranactions with any party-in-interest2013-09-30No
Amount of non-exempt transactions with any party-in-interest2013-09-30$0
Contributions received from participants2013-09-30$0
Participant contributions at end of year2013-09-30$0
Participant contributions at beginning of year2013-09-30$0
Income. Received or receivable in cash from other sources (including rollovers)2013-09-30$0
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2013-09-30$0
Value of other receiveables (less allowance for doubtful accounts) at end of year2013-09-30$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2013-09-30$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2013-09-30$47,260,000
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2013-09-30$47,260,000
Other income not declared elsewhere2013-09-30$0
Administrative expenses (other) incurred2013-09-30$0
Liabilities. Value of operating payables at beginning of year2013-09-30$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2013-09-30No
Income. Non cash contributions2013-09-30$0
Value of net income/loss2013-09-30$5,316,833
Value of net assets at end of year (total assets less liabilities)2013-09-30$72,417,689
Value of net assets at beginning of year (total assets less liabilities)2013-09-30$67,100,856
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2013-09-30No
Were any loans by the plan or fixed income obligations due to the plan in default2013-09-30No
Amount of loans by the plan or fixed income obligations due to the plan which were in default/classified-as-uncollectible as of the close of the plan year2013-09-30$0
Were any leases to which the plan was party in default or uncollectible2013-09-30No
Amount of leases to which the plan was a party which were in default/classified-as-uncollectible during the year2013-09-30$0
Investment advisory and management fees2013-09-30$0
Value of interest in registered invesment companies (eg mutual funds) at end of year2013-09-30$3,020,269
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2013-09-30$324,811
Value of interest in pooled separate accounts at end of year2013-09-30$399,770
Value of interest in pooled separate accounts at beginning of year2013-09-30$421,179
Income. Interest from loans (other than to participants)2013-09-30$0
Interest earned on other investments2013-09-30$0
Income. Interest from US Government securities2013-09-30$0
Income. Interest from corporate debt instruments2013-09-30$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2013-09-30$0
Expenses. Payments to insurance carriers foe the provision of benefits2013-09-30$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2013-09-30$333
Net investment gain/loss from pooled separate accounts2013-09-30$-1,243
Net investment gain or loss from common/collective trusts2013-09-30$0
Net gain/loss from 103.12 investment entities2013-09-30$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2013-09-30Yes
Was there a failure to transmit to the plan any participant contributions2013-09-30No
Has the plan failed to provide any benefit when due under the plan2013-09-30No
Assets. Invements in employer securities at end of year2013-09-30$116,257,650
Assets. Invements in employer securities at beginning of year2013-09-30$116,441,684
Contributions received in cash from employer2013-09-30$2,534,323
Employer contributions (assets) at end of year2013-09-30$0
Employer contributions (assets) at beginning of year2013-09-30$0
Income. Dividends from preferred stock2013-09-30$0
Income. Dividends from common stock2013-09-30$9,682,719
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-09-30$9,551,553
Contract administrator fees2013-09-30$57,055
Liabilities. Value of benefit claims payable at beginning of year2013-09-30$0
Did the plan have assets held for investment2013-09-30Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2013-09-30No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2013-09-30No
Aggregate proceeds on sale of assets2013-09-30$5,690,728
Aggregate carrying amount (costs) on sale of assets2013-09-30$5,676,699
Liabilities. Value of acquisition indebtedness at beginning of year2013-09-30$2,826,818
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2013-09-30Yes
Opinion of an independent qualified public accountant for this plan2013-09-30Disclaimer
Accountancy firm name2013-09-30SUMMERS, SPENCER & COMPANY, P.A.
Accountancy firm EIN2013-09-30481215584
2012 : CAPITOL FEDERAL FINANCIAL, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2012 401k financial data
Unrealized appreciation/depreciation of real estate assets2012-09-30$0
Unrealized appreciation/depreciation of other (non real estate) assets2012-09-30$13,568,329
Total unrealized appreciation/depreciation of assets2012-09-30$13,568,329
Total transfer of assets to this plan2012-09-30$0
Total transfer of assets from this plan2012-09-30$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-09-30$50,086,818
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-09-30$52,758,668
Expenses. Interest paid2012-09-30$1,854,873
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-1022012-09-30$1,854,873
Total income from all sources (including contributions)2012-09-30$20,471,564
Total loss/gain on sale of assets2012-09-30$308,264
Total of all expenses incurred2012-09-30$8,911,472
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-09-30$7,006,335
Value of total corrective distributions2012-09-30$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-09-30$2,625,612
Value of total assets at end of year2012-09-30$117,187,674
Value of total assets at beginning of year2012-09-30$108,299,432
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-09-30$50,264
Total income from rents2012-09-30$0
Total interest from all sources2012-09-30$0
Total dividends received (eg from common stock, registered investment company shares)2012-09-30$3,969,667
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2012-09-30No
Total dividends received from registered investment company shares (eg mutual funds)2012-09-30$0
Administrative expenses professional fees incurred2012-09-30$0
Was this plan covered by a fidelity bond2012-09-30Yes
Value of fidelity bond cover2012-09-30$20,000,000
If this is an individual account plan, was there a blackout period2012-09-30No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2012-09-30$775,656
Were there any nonexempt tranactions with any party-in-interest2012-09-30No
Amount of non-exempt transactions with any party-in-interest2012-09-30$0
Contributions received from participants2012-09-30$0
Participant contributions at end of year2012-09-30$0
Participant contributions at beginning of year2012-09-30$0
Income. Received or receivable in cash from other sources (including rollovers)2012-09-30$0
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2012-09-30$0
Value of other receiveables (less allowance for doubtful accounts) at end of year2012-09-30$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2012-09-30$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2012-09-30$47,260,000
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2012-09-30$47,260,000
Other income not declared elsewhere2012-09-30$0
Administrative expenses (other) incurred2012-09-30$0
Liabilities. Value of operating payables at beginning of year2012-09-30$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2012-09-30No
Income. Non cash contributions2012-09-30$0
Value of net income/loss2012-09-30$11,560,092
Value of net assets at end of year (total assets less liabilities)2012-09-30$67,100,856
Value of net assets at beginning of year (total assets less liabilities)2012-09-30$55,540,764
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2012-09-30No
Were any loans by the plan or fixed income obligations due to the plan in default2012-09-30No
Amount of loans by the plan or fixed income obligations due to the plan which were in default/classified-as-uncollectible as of the close of the plan year2012-09-30$0
Were any leases to which the plan was party in default or uncollectible2012-09-30No
Amount of leases to which the plan was a party which were in default/classified-as-uncollectible during the year2012-09-30$0
Investment advisory and management fees2012-09-30$0
Value of interest in registered invesment companies (eg mutual funds) at end of year2012-09-30$324,811
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2012-09-30$2,700,338
Value of interest in pooled separate accounts at end of year2012-09-30$421,179
Value of interest in pooled separate accounts at beginning of year2012-09-30$440,118
Income. Interest from loans (other than to participants)2012-09-30$0
Interest earned on other investments2012-09-30$0
Income. Interest from US Government securities2012-09-30$0
Income. Interest from corporate debt instruments2012-09-30$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2012-09-30$0
Expenses. Payments to insurance carriers foe the provision of benefits2012-09-30$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2012-09-30$182
Net investment gain/loss from pooled separate accounts2012-09-30$-490
Net investment gain or loss from common/collective trusts2012-09-30$0
Net gain/loss from 103.12 investment entities2012-09-30$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2012-09-30Yes
Was there a failure to transmit to the plan any participant contributions2012-09-30No
Has the plan failed to provide any benefit when due under the plan2012-09-30No
Assets. Invements in employer securities at end of year2012-09-30$116,441,684
Assets. Invements in employer securities at beginning of year2012-09-30$105,158,976
Contributions received in cash from employer2012-09-30$2,625,612
Employer contributions (assets) at end of year2012-09-30$0
Employer contributions (assets) at beginning of year2012-09-30$0
Income. Dividends from preferred stock2012-09-30$0
Income. Dividends from common stock2012-09-30$3,969,667
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-09-30$7,006,335
Contract administrator fees2012-09-30$50,264
Liabilities. Value of benefit claims payable at beginning of year2012-09-30$0
Did the plan have assets held for investment2012-09-30Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2012-09-30No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2012-09-30No
Aggregate proceeds on sale of assets2012-09-30$3,463,920
Aggregate carrying amount (costs) on sale of assets2012-09-30$3,155,656
Liabilities. Value of acquisition indebtedness at end of year2012-09-30$2,826,818
Liabilities. Value of acquisition indebtedness at beginning of year2012-09-30$5,498,668
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2012-09-30Yes
Opinion of an independent qualified public accountant for this plan2012-09-30Disclaimer
Accountancy firm name2012-09-30SUMMERS, SPENCER & COMPANY, P.A.
Accountancy firm EIN2012-09-30481215584
2011 : CAPITOL FEDERAL FINANCIAL, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2011 401k financial data
Unrealized appreciation/depreciation of real estate assets2011-09-30$0
Unrealized appreciation/depreciation of other (non real estate) assets2011-09-30$675,566
Total unrealized appreciation/depreciation of assets2011-09-30$675,566
Total transfer of assets to this plan2011-09-30$0
Total transfer of assets from this plan2011-09-30$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-09-30$52,758,668
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-09-30$8,024,046
Expenses. Interest paid2011-09-30$1,664,289
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-1022011-09-30$1,664,289
Total income from all sources (including contributions)2011-09-30$12,401,390
Total loss/gain on sale of assets2011-09-30$163,245
Total of all expenses incurred2011-09-30$8,203,780
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-09-30$6,498,405
Value of total corrective distributions2011-09-30$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)2011-09-30$1,377,123
Value of total assets at end of year2011-09-30$108,299,432
Value of total assets at beginning of year2011-09-30$59,367,200
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-09-30$41,086
Total income from rents2011-09-30$0
Total interest from all sources2011-09-30$0
Total dividends received (eg from common stock, registered investment company shares)2011-09-30$10,186,102
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2011-09-30No
Total dividends received from registered investment company shares (eg mutual funds)2011-09-30$0
Administrative expenses professional fees incurred2011-09-30$0
Was this plan covered by a fidelity bond2011-09-30Yes
Value of fidelity bond cover2011-09-30$10,000,000
If this is an individual account plan, was there a blackout period2011-09-30No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2011-09-30$1,541,282
Were there any nonexempt tranactions with any party-in-interest2011-09-30No
Amount of non-exempt transactions with any party-in-interest2011-09-30$0
Contributions received from participants2011-09-30$0
Participant contributions at end of year2011-09-30$0
Participant contributions at beginning of year2011-09-30$0
Income. Received or receivable in cash from other sources (including rollovers)2011-09-30$0
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2011-09-30$0
Value of other receiveables (less allowance for doubtful accounts) at end of year2011-09-30$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2011-09-30$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2011-09-30$47,260,000
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2011-09-30$8,024,046
Other income not declared elsewhere2011-09-30$0
Administrative expenses (other) incurred2011-09-30$0
Liabilities. Value of operating payables at beginning of year2011-09-30$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2011-09-30No
Income. Non cash contributions2011-09-30$0
Value of net income/loss2011-09-30$4,197,610
Value of net assets at end of year (total assets less liabilities)2011-09-30$55,540,764
Value of net assets at beginning of year (total assets less liabilities)2011-09-30$51,343,154
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2011-09-30No
Were any loans by the plan or fixed income obligations due to the plan in default2011-09-30No
Amount of loans by the plan or fixed income obligations due to the plan which were in default/classified-as-uncollectible as of the close of the plan year2011-09-30$0
Were any leases to which the plan was party in default or uncollectible2011-09-30No
Amount of leases to which the plan was a party which were in default/classified-as-uncollectible during the year2011-09-30$0
Investment advisory and management fees2011-09-30$0
Value of interest in registered invesment companies (eg mutual funds) at end of year2011-09-30$2,700,338
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2011-09-30$1,434
Value of interest in pooled separate accounts at end of year2011-09-30$440,118
Value of interest in pooled separate accounts at beginning of year2011-09-30$464,864
Income. Interest from loans (other than to participants)2011-09-30$0
Interest earned on other investments2011-09-30$0
Income. Interest from US Government securities2011-09-30$0
Income. Interest from corporate debt instruments2011-09-30$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2011-09-30$0
Expenses. Payments to insurance carriers foe the provision of benefits2011-09-30$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2011-09-30$-899
Net investment gain/loss from pooled separate accounts2011-09-30$253
Net investment gain or loss from common/collective trusts2011-09-30$0
Net gain/loss from 103.12 investment entities2011-09-30$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2011-09-30Yes
Was there a failure to transmit to the plan any participant contributions2011-09-30No
Has the plan failed to provide any benefit when due under the plan2011-09-30No
Assets. Invements in employer securities at end of year2011-09-30$105,158,976
Assets. Invements in employer securities at beginning of year2011-09-30$58,900,902
Contributions received in cash from employer2011-09-30$1,377,123
Employer contributions (assets) at end of year2011-09-30$0
Employer contributions (assets) at beginning of year2011-09-30$0
Income. Dividends from preferred stock2011-09-30$0
Income. Dividends from common stock2011-09-30$10,186,102
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2011-09-30$6,498,405
Contract administrator fees2011-09-30$41,086
Liabilities. Value of benefit claims payable at beginning of year2011-09-30$0
Did the plan have assets held for investment2011-09-30Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2011-09-30No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2011-09-30No
Aggregate proceeds on sale of assets2011-09-30$100,738,506
Aggregate carrying amount (costs) on sale of assets2011-09-30$100,575,261
Liabilities. Value of acquisition indebtedness at end of year2011-09-30$5,498,668
Liabilities. Value of acquisition indebtedness at beginning of year2011-09-30$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2011-09-30Yes
Opinion of an independent qualified public accountant for this plan2011-09-30Disclaimer
Accountancy firm name2011-09-30SUMMERS, SPENCER & COMPANY P.A.
Accountancy firm EIN2011-09-30481215584

Form 5500 Responses for CAPITOL FEDERAL FINANCIAL, INC. EMPLOYEE STOCK OWNERSHIP PLAN

2021: CAPITOL FEDERAL FINANCIAL, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2021 form 5500 responses
2021-10-01Type of plan entitySingle employer plan
2021-10-01This submission is the final filingNo
2021-10-01This return/report is a short plan year return/report (less than 12 months)No
2021-10-01Plan is a collectively bargained planNo
2021-10-01Plan funding arrangement – InsuranceYes
2021-10-01Plan funding arrangement – TrustYes
2021-10-01Plan benefit arrangement – InsuranceYes
2021-10-01Plan benefit arrangement - TrustYes
2020: CAPITOL FEDERAL FINANCIAL, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2020 form 5500 responses
2020-10-01Type of plan entitySingle employer plan
2020-10-01This submission is the final filingNo
2020-10-01This return/report is a short plan year return/report (less than 12 months)No
2020-10-01Plan is a collectively bargained planNo
2020-10-01Plan funding arrangement – InsuranceYes
2020-10-01Plan funding arrangement – TrustYes
2020-10-01Plan benefit arrangement – InsuranceYes
2020-10-01Plan benefit arrangement - TrustYes
2019: CAPITOL FEDERAL FINANCIAL, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2019 form 5500 responses
2019-10-01Type of plan entitySingle employer plan
2019-10-01This submission is the final filingNo
2019-10-01This return/report is a short plan year return/report (less than 12 months)No
2019-10-01Plan is a collectively bargained planNo
2019-10-01Plan funding arrangement – InsuranceYes
2019-10-01Plan funding arrangement – TrustYes
2019-10-01Plan benefit arrangement – InsuranceYes
2019-10-01Plan benefit arrangement - TrustYes
2018: CAPITOL FEDERAL FINANCIAL, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2018 form 5500 responses
2018-10-01Type of plan entitySingle employer plan
2018-10-01This submission is the final filingNo
2018-10-01This return/report is a short plan year return/report (less than 12 months)No
2018-10-01Plan is a collectively bargained planNo
2018-10-01Plan funding arrangement – InsuranceYes
2018-10-01Plan funding arrangement – TrustYes
2018-10-01Plan benefit arrangement – InsuranceYes
2018-10-01Plan benefit arrangement - TrustYes
2017: CAPITOL FEDERAL FINANCIAL, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2017 form 5500 responses
2017-10-01Type of plan entitySingle employer plan
2017-10-01This submission is the final filingNo
2017-10-01This return/report is a short plan year return/report (less than 12 months)No
2017-10-01Plan is a collectively bargained planNo
2017-10-01Plan funding arrangement – InsuranceYes
2017-10-01Plan funding arrangement – TrustYes
2017-10-01Plan benefit arrangement – InsuranceYes
2017-10-01Plan benefit arrangement - TrustYes
2016: CAPITOL FEDERAL FINANCIAL, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2016 form 5500 responses
2016-10-01Type of plan entitySingle employer plan
2016-10-01This submission is the final filingNo
2016-10-01This return/report is a short plan year return/report (less than 12 months)No
2016-10-01Plan is a collectively bargained planNo
2016-10-01Plan funding arrangement – InsuranceYes
2016-10-01Plan funding arrangement – TrustYes
2016-10-01Plan benefit arrangement – InsuranceYes
2016-10-01Plan benefit arrangement - TrustYes
2015: CAPITOL FEDERAL FINANCIAL, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2015 form 5500 responses
2015-10-01Type of plan entitySingle employer plan
2015-10-01This submission is the final filingNo
2015-10-01This return/report is a short plan year return/report (less than 12 months)No
2015-10-01Plan is a collectively bargained planNo
2015-10-01Plan funding arrangement – InsuranceYes
2015-10-01Plan funding arrangement – TrustYes
2015-10-01Plan benefit arrangement – InsuranceYes
2015-10-01Plan benefit arrangement - TrustYes
2014: CAPITOL FEDERAL FINANCIAL, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2014 form 5500 responses
2014-10-01Type of plan entitySingle employer plan
2014-10-01This submission is the final filingNo
2014-10-01This return/report is a short plan year return/report (less than 12 months)No
2014-10-01Plan is a collectively bargained planNo
2014-10-01Plan funding arrangement – InsuranceYes
2014-10-01Plan funding arrangement – TrustYes
2014-10-01Plan benefit arrangement – InsuranceYes
2014-10-01Plan benefit arrangement - TrustYes
2013: CAPITOL FEDERAL FINANCIAL, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2013 form 5500 responses
2013-10-01Type of plan entitySingle employer plan
2013-10-01This submission is the final filingNo
2013-10-01This return/report is a short plan year return/report (less than 12 months)No
2013-10-01Plan is a collectively bargained planNo
2013-10-01Plan funding arrangement – InsuranceYes
2013-10-01Plan funding arrangement – TrustYes
2013-10-01Plan benefit arrangement – InsuranceYes
2013-10-01Plan benefit arrangement - TrustYes
2012: CAPITOL FEDERAL FINANCIAL, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2012 form 5500 responses
2012-10-01Type of plan entitySingle employer plan
2012-10-01This submission is the final filingNo
2012-10-01This return/report is a short plan year return/report (less than 12 months)No
2012-10-01Plan is a collectively bargained planNo
2012-10-01Plan funding arrangement – InsuranceYes
2012-10-01Plan funding arrangement – TrustYes
2012-10-01Plan benefit arrangement – InsuranceYes
2012-10-01Plan benefit arrangement - TrustYes
2011: CAPITOL FEDERAL FINANCIAL, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2011 form 5500 responses
2011-10-01Type of plan entitySingle employer plan
2011-10-01This submission is the final filingNo
2011-10-01This return/report is a short plan year return/report (less than 12 months)No
2011-10-01Plan is a collectively bargained planNo
2011-10-01Plan funding arrangement – InsuranceYes
2011-10-01Plan funding arrangement – TrustYes
2011-10-01Plan benefit arrangement – InsuranceYes
2011-10-01Plan benefit arrangement - TrustYes
2010: CAPITOL FEDERAL FINANCIAL, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2010 form 5500 responses
2010-10-01Type of plan entitySingle employer plan
2010-10-01This submission is the final filingNo
2010-10-01This return/report is a short plan year return/report (less than 12 months)No
2010-10-01Plan is a collectively bargained planNo
2010-10-01Plan funding arrangement – InsuranceYes
2010-10-01Plan funding arrangement – TrustYes
2010-10-01Plan benefit arrangement – InsuranceYes
2010-10-01Plan benefit arrangement - TrustYes

Insurance Providers Used on plan

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number520097
Policy instance 1
Insurance contract or identification number520097
Number of Individuals Covered791
Insurance policy start date2021-10-01
Insurance policy end date2022-09-30
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number520097
Policy instance 1
Insurance contract or identification number520097
Number of Individuals Covered800
Insurance policy start date2020-10-01
Insurance policy end date2021-09-30
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number520097
Policy instance 1
Insurance contract or identification number520097
Number of Individuals Covered0
Insurance policy start date2019-10-01
Insurance policy end date2020-09-30
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number520097
Policy instance 1
Insurance contract or identification number520097
Number of Individuals Covered713
Insurance policy start date2018-10-01
Insurance policy end date2019-09-30
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number520097
Policy instance 1
Insurance contract or identification number520097
Number of Individuals Covered716
Insurance policy start date2017-10-01
Insurance policy end date2018-09-30
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number520097
Policy instance 1
Insurance contract or identification number520097
Number of Individuals Covered623
Insurance policy start date2015-10-01
Insurance policy end date2016-09-30
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number520097
Policy instance 1
Insurance contract or identification number520097
Number of Individuals Covered603
Insurance policy start date2014-10-01
Insurance policy end date2015-09-30
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $19
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $0
Amount paid for insurance broker fees19
Additional information about fees paid to insurance brokerPRORATED INCENTIVE, NOT DEDUCTED FROM PLAN
Insurance broker organization code?3
Insurance broker nameHEFFNER, JASON W.
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number520097
Policy instance 1
Insurance contract or identification number520097
Number of Individuals Covered616
Insurance policy start date2013-10-01
Insurance policy end date2014-09-30
Total amount of commissions paid to insurance brokerUSD $250
Total amount of fees paid to insurance companyUSD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $125
Amount paid for insurance broker fees0
Insurance broker organization code?3
Insurance broker nameUMBARGER II, ROGER K.
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number520097
Policy instance 1
Insurance contract or identification number520097
Number of Individuals Covered623
Insurance policy start date2012-10-01
Insurance policy end date2013-09-30
Total amount of commissions paid to insurance brokerUSD $1,030
Total amount of fees paid to insurance companyUSD $21
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $515
Amount paid for insurance broker fees21
Additional information about fees paid to insurance brokerPRORATED INCENTIVE, NOT DEDUCTED FROM PLAN
Insurance broker organization code?3
Insurance broker nameUMBARGER II, ROGER K.
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number520097
Policy instance 1
Insurance contract or identification number520097
Number of Individuals Covered0
Insurance policy start date2011-10-01
Insurance policy end date2012-09-30
Total amount of commissions paid to insurance brokerUSD $536
Total amount of fees paid to insurance companyUSD $65
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number520097
Policy instance 1
Insurance contract or identification number520097
Number of Individuals Covered648
Insurance policy start date2010-10-01
Insurance policy end date2011-09-30
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $23
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No

Potentially related plans

Was this data useful?
If you found the data here useful, PLEASE HELP US. We are a start-up and believe in making information freely available. By linking to us, posting on twitter, facebook and linkedin about us and generally spreading the word, you'll help us to grow. Our vision is to provide high quality data about the activities of all the companies in the world and where possible make it free to use and view. Finding and integrating data from thousands of data sources is time consuming and needs lots of effort. By simply spreading the word about us, you will help us.

Please use the share buttons. It will only take a few seconds of your time. Thanks for helping

Information Disclaimer
The information provided on this website is not advice, endorsement or recommendation
The information published is supplied by third parties so we make no warranty on the accuracy, completeness etc. This information is provided "as-is". The information is subject to change as we obtain updates and corrections from the primary information sources.
You are free to use the information for your own personal research on the understanding to do so is at your own risk.

See full terms and conditions

Copyright © Market Footprint Ltd
Contact us   Datalog Company Directory
401k Lookup     VAT Lookup S3