SEC Form 5 · accession 0001140361-16-052844
CARDINAL FINANCIAL CORP · CFNL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alice P Frazier
Officer — Chief Operating Officer
Period of report
Dec 31, 2015
Accepted (ET)
Feb 16, 2016 · 12:53 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001060523
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Deferred Stock UnitF1 | — | Jan 14, 2015 | A | 23 | A | — | — | Common Stock | 23 | 6,064 | D |
| Deferred Stock UnitF1 | — | Jan 29, 2015 | A | 2,210 | A | — | — | Common Stock | 2,210 | 8,274 | D |
| Deferred Stock UnitF2,F1 | — | Feb 3, 2015 | A | 277 | A | — | — | Common Stock | 277 | 8,550 | D |
| Deferred Stock UnitF1 | — | Feb 12, 2015 | A | 22 | A | — | — | Common Stock | 22 | 8,572 | D |
| Deferred Stock UnitF1 | — | Feb 26, 2015 | A | 21 | A | — | — | Common Stock | 21 | 8,593 | D |
| Deferred Stock UnitF1 | — | Mar 12, 2015 | A | 21 | A | — | — | Common Stock | 21 | 8,614 | D |
| Deferred Stock UnitF1 | — | Mar 30, 2015 | A | 21 | A | — | — | Common Stock | 21 | 8,634 | D |
| Deferred Stock UnitF1 | — | Apr 14, 2015 | A | 21 | A | — | — | Common Stock | 21 | 8,655 | D |
| Deferred Stock UnitF1 | — | Apr 29, 2015 | A | 20 | A | — | — | Common Stock | 20 | 8,675 | D |
| Deferred Stock UnitF2,F1 | — | May 5, 2015 | A | 47 | A | — | — | Common Stock | 47 | 8,722 | D |
| Deferred Stock UnitF1 | — | May 14, 2015 | A | 20 | A | — | — | Common Stock | 20 | 8,742 | D |
| Deferred Stock UnitF1 | — | May 28, 2015 | A | 20 | A | — | — | Common Stock | 20 | 8,762 | D |
| Deferred Stock UnitF1 | — | Jun 12, 2015 | A | 19 | A | — | — | Common Stock | 19 | 8,782 | D |
| Deferred Stock UnitF1 | — | Jun 29, 2015 | A | 19 | A | — | — | Common Stock | 19 | 8,801 | D |
| Deferred Stock UnitF1 | — | Jul 22, 2015 | A | 18 | A | — | — | Common Stock | 18 | 8,819 | D |
| Deferred Stock UnitF2,F1 | — | Jul 28, 2015 | A | 43 | A | — | — | Common Stock | 43 | 8,862 | D |
| Deferred Stock UnitF1 | — | Aug 7, 2015 | A | 18 | A | — | — | Common Stock | 18 | 8,879 | D |
| Deferred Stock UnitF1 | — | Aug 14, 2015 | A | 18 | A | — | — | Common Stock | 18 | 8,897 | D |
| Deferred Stock UnitF1 | — | Aug 31, 2015 | A | 19 | A | — | — | Common Stock | 19 | 8,916 | D |
| Deferred Stock UnitF1 | — | Sep 17, 2015 | A | 18 | A | — | — | Common Stock | 18 | 8,934 | D |
| Deferred Stock UnitF1 | — | Oct 2, 2015 | A | 18 | A | — | — | Common Stock | 18 | 8,952 | D |
| Deferred Stock UnitF1 | — | Oct 19, 2015 | A | 18 | A | — | — | Common Stock | 18 | 8,970 | D |
| Deferred Stock UnitF1 | — | Nov 2, 2015 | A | 18 | A | — | — | Common Stock | 18 | 8,988 | D |
| Deferred Stock UnitF2,F1 | — | Nov 2, 2015 | A | 43 | A | — | — | Common Stock | 43 | 9,031 | D |
| Deferred Stock UnitF1 | — | Nov 16, 2015 | A | 17 | A | — | — | Common Stock | 17 | 9,048 | D |
| Deferred Stock UnitF1 | — | Dec 1, 2015 | A | 17 | A | — | — | Common Stock | 17 | 9,065 | D |
| Deferred Stock UnitF1 | — | Dec 17, 2015 | A | 18 | A | — | — | Common Stock | 18 | 9,083 | D |
Explanation of responses
- F1Each Deferred Stock Unit is the economic equivalent of one share of CFNL common stock. The Deferred Stock Units become payable in shares of common stock in accordance with the terms of the Cardinal Financial Corporation Executive Deferred Income Plan.
- F2Company match to Deferred Stock Units in accordance with the terms of the Cardinal Financial Corporation Directors Deferred Income Plan.