SEC Form 4 · accession 0001140361-17-004286
CARDINAL FINANCIAL CORP · CFNL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark A Wendel
Officer — EVP/Chief Financial Officer
Period of report
Jan 31, 2017
Accepted (ET)
Feb 3, 2017 · 10:05 am 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 Stock | Jan 31, 2017 | M | 1,360 | $0.00 | A | 18,894 | 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 UnitF1 | — | Jan 31, 2017 | M | 1,360 | D | — | — | Common Stock | 1,360 | 6,141 | D |
Explanation of responses
- F1Each Deferred Stock Unit was the economic equivalent of one share of CFNL common stock. On January 31, 2017, the Deferred Stock Units became payable in shares of common stock in accordance with the terms of the Cardinal Financial Corporation Employee Deferred Income Plan.