SEC Form 4 · accession 0001140361-16-046474
CARDINAL FINANCIAL CORP · CFNL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
J Hamilton Lambert
Director
Period of report
Dec 31, 2015
Accepted (ET)
Jan 5, 2016 · 1:39 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001060523
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Dec 31, 2015 | M | 1,131 | $0.00 | A | 64,817 | I | By Trust |
| Common Stock | holding | — | — | — | 28,617 | D | ||
| Common Stock | holding | — | — | — | 6,000 | I | By IRA |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Deferred Stock UnitF2 | — | Dec 31, 2015 | M | 1,131 | D | — | — | Common Stock | 1,131 | 50,108 | D |
Explanation of responses
- F1The total reported in Column 5 has been adjusted to correct an overstatement of total holdings by 6,000 shares first reflected in a Form 4 filed on November 27, 2015.
- F2Each Deferred Stock Unit was the economic equivalent of one share of CFNL common stock. On December 31, 2015, the Deferred Stock Units became payable in shares of common stock in accordance with the terms of the Cardinal Financial Corporation Directors Deferred Income Plan.