SEC Form 4 · accession 0001140361-17-000757
CARDINAL FINANCIAL CORP · CFNL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William E Peterson
Director
Period of report
Jan 3, 2017
Accepted (ET)
Jan 5, 2017 · 5:01 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 | Jan 3, 2017 | M | 6,178 | — | A | 70,635 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Deferred Stock UnitsF1 | — | Jan 3, 2017 | M | 6,178 | D | — | — | Common Stock | 6,178 | 18,323 | D |
Explanation of responses
- F1Each Deferred Stock Unit was the economic equivalent of one share of CFNL common stock. On January 3, 2017, 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.